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MBA (Airline Operations Unit-5)


Unit 1 Airport Surface Operations...........................................................................................................1

Unit 2 Crew Alerting Management....................................................................................................... 41

Unit 3 Hazardous Material Transportation.......................................................................................57

Unit 4 Administrative Practices & Procedure...................................................................................73

Unit 5 Aircraft Rescue & Fire Fighting System.............................................................................113

Unit 6 ICAO Standard & Recommended Practices.......................................................................135

Unit 7 Civil Aviation Security...............................................................................................................149

Unit 8 Role of DGCA/BCAS in Aviation Safety and Security...................................................167

Unit 9 Aviation Safety Human Factor...............................................................................................173

Unit 10 Air Operation Areas Safety Management..........................................................................191

Unit 11 Air Transport Safety Management Principle....................................................................209

Unit 12 Principles of System Safety......................................................................................................239

Unit 13 Reliability Fundamental Theories.........................................................................................259

UNIT 1 Airport Surface Operations 1

Unit 1 Notes
Airport Surface Operations __________________
Part-I __________________
AIRPORT LAYOUT __________________

Aerodrome or airport is defined as a defined area on land or
water (including any buildings, installations and equipment)
intended to be used either wholly or in part for the arrival,
departure and surface movement of aircraft.
Airport is a wide term, used in a broad manner. Normally,
what a passenger feels that the airport consists of only the
terminal building where he purchases his air ticket, boards
and disembarks the plane. In fact the terminal building is
just one part of the airport, and in totality it includes a lot
many   other   features,   some   of   them   extremely   important,
such as runways, taxiways, apron, air traffic control, apron
(With   Parking   Stands),   Hangar,   Radio   Navigational   aids,
Communication facilities etc. etc.
2 Aviation Safety and Security Management

Notes Normally   the   airport   is   divided   into   two   basic   parts,   'city
__________________ side' and 'air side'. 'City side' is what a travelling passenger
__________________ is well familiar with and includes airport terminal building,
__________________ ticket   counters,   airline   and   other   offices,   waiting   halls,
__________________ security   lounges,   customs,   immigration,   outside   car   park,
__________________ cargo building, outside roads etc. The 'air side' consists of the
__________________ areas   of   the   airport   used   mainly   for   aircraft   operation
__________________ purposes like runways, taxiways, apron, Radio Navigational
__________________ aids, landing aids etc.
__________________ In   addition,   Airport   support   elements   include   air   traffic
__________________ control   tower,   aircraft   rescue   and   fire   fighting   (ARFF)
facilities, airport administration facilities, fuel storage, City
maintenance facilities, Medical Centre, Catering and utility
systems etc.
To start with we can discuss these items one by one in brief.


Runway  (RWY)  is   a   defined   rectangular   area   on   a   land

aerodrome used for landing and take­off of aircraft. Runways
on   an   established   aerodrome   may   be   a   man­made   surface
(often asphalt, concrete, or a mixture of both), and for small
aerodromes it could also be a natural surface (grass, dirt, or
UNIT 1 Airport Surface Operations 3

The   runways   are   named   according   to   their   Magnetic
Bearings   (the   direction   it   is   "pointing   towards")   with
reference   to   North   rounded   to   nearest   100.   The   runway __________________

number is the whole number nearest one­tenth the magnetic __________________

azimuth of the centre line of the runway, measured clockwise __________________

from the magnetic north. As two 'ends of the runway' point __________________

out   in   two   different   directions   (Each   separated   by   1800), __________________

thus   each   runway   has   two   names   separated   by   1800.   For __________________

example   the   Runways   at   Delhi   (IGI   Airport)   are   09/27   & __________________
10/28 and Runways at Mumbai are 09/27 & 14/32. __________________

Each   digit   of   runway   name   is   pronounced   separately   for

clarity   in   radio   communications.   Thus,   Runway   Three   Six
would   be   aligned   in   roughly   a   360   degrees   direction   (i.e.
magnetic north), Runway Nine would be used for a runway
with a 94 degree­alignment (i.e. close to magnetic east), and
Runway One Seven for 168 degrees. Thus, Runway One Zero
(100°) becomes Runway Two Eight (280°) when used in the
opposite   direction   and   Runway   One   Eight   (180°)   becomes
Runway   Three   Six   (360°).   For   runways   less   than   100°
include the leading "zero", e.g. Runway Zero Two or Runway
Zero One Left.
4 Aviation Safety and Security Management

Notes If   there   is   more   than   one   runway   pointing   in   the   same

__________________ direction   (parallel   runways),   each   runway   is   identified   by
__________________ appending  Left,  Centre  and Right to the Runway  number.
__________________ For example, at Kolkata Airport, the Runways One Nine Left
__________________ (19L),   Zero   One   Right   (01R),   and   One   Nine   Right   (19R).
__________________ Runway Zero One Left (01L).
__________________ From left to right­A pair of parallel runways 35L/17R & 35R/
For   aircraft   it   is   advantageous   to   perform   take­offs   and
landings into the wind to reduce take off roll and reduce the
ground speed needed to attain flying speed. Larger airports
usually   may   have   more   than   one   runway   in   different
directions,  so  that  one can  be  selected that  is  most   nearly
aligned with the wind. Airports with one runway are often
constructed to be aligned with the prevailing wind.
Runway   dimensions   vary  from   as   small   as   800   ft   (244   m)
long   and   25   ft   (8   m)   wide   in   smaller   general   aviation
airports, to 18,000 ft (5,486 m) long and 250 ft (76 m) wide at
large   international   airports   built   to   accommodate   large
passenger jets. In India major passenger airports are having
runways with length 4500 ft to less than 13000 ft. Runway
dimensions can be measured in feet or in meters depending
on your location in the world.
Runways can be further categorized into the following types;

A runway intended for the operation of aircraft using visual
approach procedures.

One   of   the   following   types   of   runways   intended   for   the

operation of aircraft using instrument approach procedures:
Non­precision approach runway:  An instrument  runway
served by visual aids and a non­visual aid providing at
least   directional   guidance   adequate   for   a   straight­in
UNIT 1 Airport Surface Operations 5

5888 Precision approach runway, category I: An instrument Notes

runway   served   by   ILS   and/or   MLS   and   visual   aids __________________
intended   for   operations   with   a   decision   height   not   lower __________________
than 60 m (200 ft) and either a visibility not less than 800 __________________
m or a runway visual range not less than 550 m. __________________
5889 Precision   approach   runway,   category   II:  An
instrument   runway   served   by   ILS   and/or   MLS   and
visual   aids   intended   for   operations   with   a   decision
height lower than 60 m (200 ft) but not lower than 30 m
(100 ft) and a runway visual range not less than 350 m.
5890 Precision   approach   runway,   category   III:  An
instrument runway served by ILS and/or MLS to and
along the surface of the runway and:
A – intended for operations with a decision height lower
than 30 m (100 ft), or no decision height and a 
runway visual range not less than 200 m.
B –  intended for operations with a decision height lower
than 15 m (50 ft), or no decision height and a runway
visual range less than 200 m but not less than 50 m.

C – intended for operations with no decision height and 
no runway visual range limitations.

Take   off   Run   Available   (TORA):  The   length  of   runway

declared   available   and   suitable   for   the   ground   run   of   an
airplane taking off.
Take off Distance Available (TODA):  The length of the
take off run available plus the length of the clearway, where
provided (the clearway  length  allowed  must  lie within the
aerodrome or airport boundary).
Accelerate Stop Distance Available (ASDA): The length
of the take off run available plus the length of the stopway,
where provided.
Landing Distance Available (LDA): The length of runway
which is declared available and suitable for the ground run
of an aeroplane landing.
6 Aviation Safety and Security Management

23 The  Runway Stripw  is the cleared, grassy area around
the paved runway. It is kept free from any obstacles that
might impede flight or ground roll of aircraft, although the
grass is not always necessarily in good condition. The grass
is often marked with white cones or gables.

24 The  Runway  is   the   entire   paved   surface,   which

typically features threshold markings, numbers, centre
lines, and overrun areas at both ends.
25 Stopways  also   known   as   overrun   areas   are   also
constructed at the end of runways as emergency space
to   slowly   stop   planes   that   overrun   the   runway   on   a
landing   gone   wrong,   or   to   slowly   stop   a   plane   on   an
aborted take­off or a take­off gone wrong. Stopways are
often   not   as   strong   as   the   main   paved   surface   of   the
runway and are marked  with yellow  chevrons. Planes
are   not   allowed   to   taxi,   take­off   or   land   on   stopways,
except in an emergency.

26 Threshold. The beginning of that portion of the runway
usable for landing.
27 Displaced threshold means that a threshold not located
at the extremity of a runway. Displaced threshold is the
point   at   the   end   of   the   runway.   In   major  airports,   it   is
usually  marked with white paint  arrows  that  lead up  to
the   displaced   threshold   (see   diagram).   Smaller   runways
may not have markings to indicate the displaced threshold.
A displaced threshold may be used for taxiing and take off
but not for landing, because
UNIT 1 Airport Surface Operations 7

obstacles just before the runway,  runway strength, or Notes

noise   restrictions   may   make   the   area   unsuitable   for __________________

landings. __________________

The centre line is shown with white broken lines. Runway  __________________
lights are also white in colour.

8 Aviation Safety and Security Management

Notes A taxiway is a path on an airport connecting runways with
__________________ ramps, hangars, terminals and other facilities. They mostly
__________________ have   hard   surface   such   as   asphalt   or   concrete,   although
__________________ smaller   airports   sometimes   use   gravel   or   grass.   At   most
__________________ airports, taxiways are designated by letters such as Taxiway
__________________ 'A',   Taxiway   'C',   Taxiway   'B­4'   etc.   Busy   airports   typically
__________________ construct high­speed or rapid­exit taxiways in order to allow
__________________ aircraft  to leave the runway at higher  speeds. This  allows
the   aircraft   to   vacate   the   runway   quicker,   permitting
another to land in a shorter space of time.
__________________ Taxiway markings are shown by yellow continuous lines.

23 Double yellow lines mark the boundary between areas 
under jurisdiction of ATC and the parking areas.
24 A single solid yellow line marks the taxiway centre line.

25 Two   parallel   dashed   yellow   lines   followed   by   two

parallel  solid yellow  lines  indicate a  hold  line.  A  hold
line marks the intersection of a taxiway and a runway.
Taxy Holding position lines are marked across the width
of a taxiway. These markings should not be crossed to
enter into the runway until a clearance is received from
the tower.

Rotating Beacons
Pilots   identify   airports   at   night   by   looking   for   rotating
beacons.   Civil   airport   beacons   flash   alternating   white   and
green lights. Military airports flash two white lights followed
by   a   green   light.   Seaplane   landing   areas   and   lighted
heliports  use  different  sequences.   If   the  rotating  beacon  is
turned   on   during   the   day,   it   usually   indicates   that   IFR
conditions prevail, but this isn't always the case.
UNIT 1 Airport Surface Operations 9

Apron Notes

The airport apron is a defined area, on a land aerodrome,
intended to accommodate aircraft for purposes of loading or
unloading   and   boarding   of   passengers,   mail   or   cargo,
fuelling, parking or maintenance. The use of the apron may
be controlled by the apron control service

The apron is designated by the ICAO as not being part of the
manoeuvring   area,   but   a   part   of   the   movement   area.   All
vehicles, aircraft and people using the apron are referred to
as apron traffic.

In fact, the pre­flight activities are done in Ramps; and areas
for   parking   &   maintenance   are   called   aprons.   However,
normally   the   words   "Apron"   and   "Ramp"   are   used
interchangeably. Passenger gates are the main feature of a
terminal ramp.
'Aircraft stand' is a designated area on an apron intended to
be used for parking an aircraft. Also known as "Parking Bay"
or   "Gate".   Aircraft   stands   are   named   as   "Stand   Nos"   1,2,
3, ...,31,..,45 etc.

Apron flood-lighting
Apron floodlighting is provided on an apron, on a de­icing/
anti­icing   facility   and   on   a   designated   isolated   aircraft
parking position intended to be used at night.
10 Aviation Safety and Security Management

Notes Apron floodlights should be located so as to provide adequate
__________________ illumination on all apron service areas, with a minimum of
__________________ glare   to   pilots   of   aircraft   in   flight   and   on   the   ground,
__________________ aerodrome   and   apron   controllers,   and   personnel   on   the
__________________ apron. The arrangement and aiming of floodlights should be
__________________ such that an aircraft stand receives light from two or more
__________________ directions to minimize shadows.
Terminal Building

An  airport   terminal  is   a   building   at   an   airport   where

passengers transfer between ground transportation and the
facilities   that   allow   them   to   board   and   disembark   from
Within the terminal  building,  passengers  purchase  tickets,
transfer   their   luggage,   and   go   through   security.   Smaller
airports have one terminal while larger airports may have
several   terminals.   Some  larger   airports   have   one  terminal
that   is   connected   to   multiple   concourses   via   walkways,
Aerobridges (Also called skybridges), or underground tunnels
Most airport terminals are built in a plain style. However,
some,   such   as   Baghdad   International   Airport,   are
monumental   in   stature,   while   others   are   considered
architectural masterpieces, such as Terminal 1 at Charles de
Gaulle airport near Paris or Terminal 5 at New York's JFK
Airport.   A   few   are   designed   to   reflect   the   culture   of   a
particular area. For example, in India, Jodhpur Airport
UNIT 1 Airport Surface Operations 11

terminal looks like a Rajshthani Fort, while the terminal at Notes

Dimapur (Nagaland Airport) looks like a Naga House. __________________
Mostly airport terminals open directly onto the tarmac and __________________
passengers   are   able   to   proceed   to   the   aircraft   either   by __________________
walking  or  by   taking   a  bus   to  their   aircraft.   However,   on __________________
some large airports, aircraft may be parked to remote aprons __________________
or on remotely located bays, where Passengers can be taken __________________
by   a   surface   transport.   Now   modern   airports   have   many __________________
"Aerobridges" to join directly into the aircraft. __________________

Control tower

A  control tower, or more specifically an air traffic control
tower (ATC Tower), is the name of the air traffic control unit
responsible for movements around an airport, and is also the
name of the building from which the unit operates.
Airport Control tower is generally a high rise structure above
other   buildings   at   an   airport   to   give   air   traffic   controllers   a
view of aircraft moving on the ground and in the air around the
airport.   Control   tower   structures   usually   have   glass   (Or
transparent) windows to give an all round view

Control Towers typically contain the following:

23 radios for communication with aircraft, linked to 
controllers' headsets or to microphones and speakers;
24 a telephone system that connects dedicated voice lines
12 Aviation Safety and Security Management

Notes and   public   telephone   lines   via   quick­dial   systems   to

__________________ controllers'   headsets,   allowing   them   to   talk   to   other
__________________ controllers and outside parties;
0 a strip board allowing Flight Progress Strips to be used
(however in some towers these have been replaced by a
computerised system);
__________________ 1 a 'very pistol' for exhibiting light signals to the aircraft 
__________________ in the event of a radio communication failure;
__________________ 2 wind and pressure gauges.
3 Various other, optional equipment.

In addition modern control towers may also include the 
0 an Aerodrome Traffic Monitor with a small radar display.

1 a Surface Movement Radar displaying aircraft and vehicles
on the airport to assist controllers at night and in poor
2 computerised meteorological information or a met observer,
flight data and briefing systems.

UNIT 1 Airport Surface Operations 13

A hangar is an enclosed tall and massive structure designed Notes
to   hold   aircraft   in   protective   storage,   for   the   purpose   of __________________
maintenance, repair, overhaul, inspection, storage and other __________________

purposes. __________________
Visual Approach Slope Indicator System (VASIS) and
Precision Approach Path Indicator (PAPI) __________________
Visual approach slope indicator System (VASIS):  This
is an airport lighting facility which provides visual gliding
guidance   to   aircraft   during   approach   and   landing,   by
radiating a pattern of high intensity red and white focused
light beams which indicate to the pilot that he/she is above,
on, or below the glide path.
These   lights   may   be   visible   from   up   to   eight   kilometres
during the day and up to 32 kilometres or more at night.

Precision Approach Path Indicator (PAPI)

PAPI uses the same basic principle as a VASI, but the white
and   red   lights   are   arranged   in   a   single   row.   It   is   a   light
system   positioned   beside   the   runway   that   consists   of   two,
three, or four boxes of lights that provide a visual indication
to   the   pilot   on   the   glide   path   for   the   associated   runway.
These lights radiate a high intensity red or white beam to
indicate   whether   the   pilot   is   above   or   below   the   required
approach path to the runway.
14 Aviation Safety and Security Management

The PAPI is usually located on the left side of the runway
__________________ and has an effective visual range of 5 NM (8 kms) during the
__________________ day and 20 NM (32 kms) at night similar to VASIS.

Each light box of lights of PAPI is equipped with an optical
apparatus that splits light output into two segments, red and
white. Depending on the angle of approach, the lights will
appear either red or white to the pilot. Ideally the total of
lights   will   change   from   white   to   half   red,   moving   in
succession from right to left side. The pilot will have reached
the normal glidepath (usually around 3 degrees) when there
is   an   even   split   in   red   and   white   lights.   If   an   aircraft   is
beneath the glidepath, red lights will outnumber white; if an
aircraft is above the glidepath, more white lights are visible.
Now a days mostly PAPIs are used in place of VASIS.

A symbol or group of symbols displayed on the surface of the
movement area in order to convey aeronautical information.
UNIT 1 Airport Surface Operations 15

Aeronautical Ground Lighting (AGL) Notes

Aeronautical Ground Lighting (AGL) is the generic term used
to describe the various lighting systems that are provided on an
aerodrome for the guidance of pilots operating aircraft both at
night and in low visibility conditions.

Runways centre line markings are white stripes with broken __________________
lines. They come in three basic types:
23 A   visual   runway,   which   is   used   only   for   VFR   flights,
usually has a threshold marking, a runway number, and
stripes   designating   the   centre   line   and   the   runway
edges.   It   may   also   have   fixed­distance   markers­two
large, white rectangles on either side of the centre line
about 1,000 ft (305 m) from the threshold.
24 An   Instrument   Runway   (non­precision   approach)
supports both VFR and IFR traffic. As indicated by its
name, this type of runway is served by a non­precision
instrument approach, usually a VOR or NDB approach.
In addition to the markings used on a visual runway, a
non­precision runway also has threshold markings.
25 An Instrument Runway (precision approach) supports a
precision approach, usually an ILS. Precision runways
have   all   the   marks   found   on   a   non­precision   runway,
plus touchdown zone markings. These marks appear at
500­ft   (150   m)   increments,   beginning   500   ft   from   the
threshold. These additional marks help pilots make the
transition   from   instrument   to   visual   flight   and   define
the proper touchdown point for an aircraft flying an ILS.

Runway   thresholds   are   marked   by   green   lights   at   the

landing end and red lights at the departure end. White lights
define   runway   edges.   At   a   runway   served   by   a   precision
instrument approach such as an instrument landing system
(ILS), the white edge lights alternate with red lights starting
1,000 ft from the end of the runway and then change to all
red for the last 500 ft.
16 Aviation Safety and Security Management


All   runways  used  for  night   use  have  Edge,   Threshold  and
End Lighting. Centre line and Touchdown Zone Lighting is
provided as additional guidance in support of low visibility

Runway Edge Lighting

Runway Edge Lighting is located along the edges of the area
declared for use as the runway delineated by edge markings,
and may be provided either by elevated or by flush fitting
lamp fixtures. At some aerodromes where elevated runway
UNIT 1 Airport Surface Operations 17

edge lights are employed, the light fixtures may be located on Notes

the grass shoulder just beyond the declared runway width. __________________
Runway Edge Lighting is white except in the following 
0 Caution Zone Lighting __________________
On ILS equipped runways without centre line lighting,
Yellow edge lighting is installed on the upwind 600 m or
one   third   of   the   lighted   runway   length   available,
whichever   is   the   less.   The   Yellow   'caution   zone'   so
formed   gives   a   visual   warning   of   the   approaching
runway end.

1 Pre­Threshold Lighting

Where   a   landing   threshold   is   displaced,   but   the   pre­

threshold   area   is   available   for   the   take­off   run,   the
lights between the beginning of the runway pavement
and   the   displaced   threshold   show   red   from   the
approach. Pilots taking off in such a situation would see
red   edge   lights   up   to   the   green   threshold   then   edge
lights beyond. Where a starter extension, narrower than
its associated runway is provided, blue edge lighting is
normally used to mark the edges.

2 Runway Exit Lighting

One or two omni­directional blue lights may replace or
supplement the edge lights in order to indicate an exit

3 Stopway Lighting

Where stopway is provided at the end of a runway, the
declared   stopway   is   delineated   by   red   edge   and   end
lighting  showing  ONLY  in  the  direction  of  landing.  A
stopway is provided for emergency use only and is not
normally suitable for routine use.

Taxiway Lights

Taxiway edge lights are blue in colour. However, centre line 
taxiway way lights are green in colour.
18 Aviation Safety and Security Management


Taxiway Lights-Blue (Edge Lights), Green (Centre Line)

Runways served by instrument approach procedures usually
have   approach   lights   to   help   pilots   identify   the   runway
environment   during   low­visibility   conditions.   Approach
lights greatly increase a pilot's chances of seeing the runway
and making a safe landing.
Varieties of approach lighting systems, based on the centre
line and cross bar concept, are in use at aerodromes. These
systems range from the simple low intensity centre line and
cross bar intended to serve visual runways at night only, to
the precision approach lights consisting of centre line and 5
cross bars for day and night use on ILS equipped runways.
Simple approach lighting systems normally commence 500 m
prior to the runway threshold whilst the precision approach
commences 900 m prior to runway threshold. Where, because
of the geography of the approach, it is not possible to install
a   full   system,   a   shortened   system   is   employed   and   the
Runway   Visual   Range   (RVR)   minima   associated   with   the
instrument approach procedure adjusted accordingly. Except
where   supplemented   by   red   side   barrettes   as   described
below, approach lighting is white in colour.
UNIT 1 Airport Surface Operations 19


Types of Approach Lights

Following approach lighting system (ALS) are used.

0 Green threshold lights mark the beginning of the runway.
1 A   long   line   of   lead­in   lights   aligned   with   the   runway
centre­line.   The   lead­in   lights  extend   from   the   end   of
the runway into the approach area.
20 Aviation Safety and Security Management

Notes 3. Alignment   bars   perpendicular   to   the   lead­in   lights   that

__________________ help   the   pilot   quickly   determine   if   the   airplane   is
__________________ properly aligned with the runway.

These lights can be seen on the high­rise buildings and tall
chimneys,   TV   Antennas,   HT   Lines   acting   as   an   alert
warning   for   aircraft   flying   in   the   area.   For   aircraft   flying
during night or in poor visibility, flashing or fixed lights are
installed on such structures.
UNIT 1 Airport Surface Operations 21


Radio   Communication/Navigation   Facilities   & __________________

Landing Aids

Radio   is   used   frequently   in   aviation   for   air   ground

communication,   for   Radio   Navigation   Facilities   and   for
landing aids. Radio waves are of following types;

Name Frequency Application

Low Freq (LF) Less than 300 KHz Loran's

Medium Freq (MF) Between 300 KHz to 3 MHz NDB

High Freq (HF) Between 3 MHz to 30 MHz Long Distance Air/

Ground Communication

Very High Freq Between 30 MHz to 300 MHz VOR, Short Distance Air
(VHF) Ground Comm.
Ultra High Freq Between 300 MHz to 3000 ILS, DME, RADAR
Exta or Super High Between 3 GHz to 30 GHz
Freq (SHF)
Non-Directional Beacon (NDB)
Non­directional   beacon   (NDB):  is   a   radio   beacon
transmitting non­directional signals that a pilot of an aircraft
equipped   with   direction   finding   equipment   can   determine
his/ her bearing to or from the radio beacon and "home" on or
track to or from the station. It is similar to a radio broadcast
station in a known location, used as an aviation navigational
aid. NDBs are operated on a frequency between 190 kHz and
1750 kHz. Each NDB is identified by a one, two, or three­
letter Morse code call sign.
22 Aviation Safety and Security Management

Notes NDBs have one major advantage over the more sophisticated
__________________ VOR: NDB signals follow the curvature of the earth, so they
__________________ can be received at much greater distances at lower altitudes.
__________________ However,   the  NDB  signal   is   affected  more  by   atmospheric
__________________ conditions,   mountainous   terrain,   coastal   refraction   and
__________________ electrical storms, particularly at long range. However, it is
__________________ not possible for an aircraft pilot to know the exact bearing of
__________________ the aircraft. Hence at most of the airports, they are using
__________________ VOR, comparatively a superior radio navigational aid.
__________________ VHF omnidirectional range (VOR)
__________________ VOR, short for VHF Omni­directional Radio Range, is a
type of radio navigation system for aircraft. VOR broadcasts
a VHF radio composite signal including the station's Morse
code identifier, and data that allows the airborne receiving
equipment to derive the magnetic bearing from the station to
the aircraft (direction from the VOR station in relation to the
earth's magnetic North). This line of position is known as the
"radial". The intersection of two radials from different VOR
stations on a chart allows for a "fix" or specific position of the
The VOR was designed to provide 360 courses to and from
the   station   selectable   by   the   pilot.   The   VOR's   major
advantage   is   that   the  radio  signal   provides   a  reliable   line
(radial)   to   or   from   the   station   which   can   be   selected   and
easily followed by the pilot.
VORs operate in the range of VHF Frequencies, and thus are
relatively free from in­built deficiencies of MF (As in NDB)
such as static interference, man made and electrical noise,
less course bending around terrain features and coastlines,
and less interference from bad weather & thunderstorms etc.
Because of their VHF frequency, VOR stations rely on "line
of sight" ­­ if the transmitting antenna could not be seen on a
perfectly   clear   day   from   the   receiving   antenna,   a   useful
signal   would  not  be  received.   This   limits   VOR  (and  DME)
range to the horizon, or closer if mountains intervene. This
means   that   an   extensive   network   of   stations   is   needed   to
provide reasonable coverage along main air routes.
UNIT 1 Airport Surface Operations 23

VORs   are   assigned   radio   channels   between   108.0   MHz Notes

(megahertz) and 117.95 MHz (with 50­kHz spacing); this is __________________
in the VHF (very high frequency) range. __________________

The   VOR   system   uses   the   phase   relationship   between   a __________________

reference­phase   and   a   rotating­phase   signal   to   encode __________________

direction. The carrier signal is omni­directional and contains __________________

the amplitude modulated (AM) station Morse code or voice __________________
identifier. The phase angle is equal to the direction from the __________________
station to the airplane, in degrees from local magnetic north, __________________
and is called the "radial." __________________

Distance measuring equipment __________________

D­VOR/DME ground station

Distance   Measuring   Equipment   (DME):  It   is   an

equipment  (airborne   and   ground)   used   to   measure,   in
nautical miles, the slant range distance of an aircraft from
the DME navigational aid. It  is a transponder­based radio
navigation technology that measures distance by timing the
propagation delay of VHF or UHF radio signals.
DME functions on the same principle as a Secondary Radar,
except   in   reverse.   Aircraft   use   DME   to   determine   their
distance   from   a   land­based   transponder   by   sending   and
receiving   pulse   pairs   ­   two   pulses   of   fixed   duration   and
separation. The ground stations are typically co­located with
VORs.   Sometimes   DME   is   also   co­located   with   an   ILS
localizer   where   it   provides   an   accurate   distance   function,
similar to that otherwise provided by ILS Marker Beacons.

The Instrument Landing System (ILS) is a ground­based
instrument approach system which provides precise
24 Aviation Safety and Security Management

Notes guidance   to   an   aircraft   approaching   a   runway,   using   a

__________________ combination   of   radio   signals   and,   in   many   cases,   high­
__________________ intensity   lighting   arrays   to   enable   a   safe   landing   during
__________________ Instrument   meteorological   conditions   (IMC),   such   as   low
__________________ clouds or reduced visibility due to fog, rain, or blowing snow.
__________________ An   ILS   consists   of   two   independent   sub­systems,   one
__________________ providing   lateral   guidance   (Localizer),   the   other   vertical
__________________ guidance (Glideslope or GlidePath) to aircraft approaching a
__________________ runway.

A   localizer   (LOC,   or   LLZ   in   Europe)   antenna   array   is

normally   located   beyond   the   departure   end   of   the   runway
and   generally   consists   of   several   pairs   of   directional
antennas.   It   provides   lateral   guidance   to   the   landing
aircraft, by the help of radio signals that assist the aircraft to
come in line of the runway. Two signals are transmitted on a
carrier   frequency   between   108.10   MHz   and   111.975   MHz.
One is modulated at 90 Hz, the other at 150 Hz (Known as
Yellow   and   Blue   rays)   and   these   are   transmitted   from
separate but co­located antennas. Each antenna transmits a
fairly  narrow   beam,   one  slightly  to  the  left   of   the  runway
centre line, the other to the right.
UNIT 1 Airport Surface Operations 25

The localizer receiver on the aircraft measures the Difference in Notes
the   Depth   of   Modulation   (DDM)   of   the   90   Hz   and   150   Hz __________________
signals. For the localizer, the depth of modulation for each of __________________
the   modulating   frequencies   is   20   percent.   The   difference __________________
between the two signals varies depending on the position of the __________________
approaching aircraft from the centre line. __________________

If there is a predominance of either 90Hz or 150Hz modulation, __________________

the aircraft is off the centre line. In the cockpit, the needle on __________________

the   Horizontal   Situation   Indicator,   or   HSI   (The   Instrument __________________

part of the ILS), will show that the aircraft needs to fly left or __________________

right to correct the positional error to fly down the centre of the __________________

runway. If the DDM is zero the receiver aerial and therefore,
the aircraft, is on the centre line of the localizer coinciding with
the physical runway centre line.

A glideslope or Glidepath (GP) provides vertical guidance to
the landing aircraft by the help of radio signals that assist
the aircraft to come at the right angle of descent for touch
down on the runway. Glidepath antenna array is sited to one
side   of   the   runway   touchdown   zone.   The   GP   signal   is
transmitted on a carrier frequency between 329.15 and 335
MHz using a technique similar to that of the localizer. The
centre line of the  glideslope signal is arranged to define a
glideslope of approximately 3° above the horizon.
Localizer   and   glideslope   carrier   frequencies   are   paired   so
that only one selection is required to tune both receivers.
These signals are displayed on an instrument in the cockpit.
The pilot controls the aircraft so that the indications on the
instrument remain cantered on the display. This ensures the
aircraft is following the ILS centre line.

There are two Markers provided on the ILS Path known as
Outer marker and Middle Marker to give the distance of the
aircraft  from  touch  down.  They  are equipped  with audible
and visible signals to the pilot.
The outer marker is normally located 7.2 km (4 NM) from
the threshold except that, where this distance is not
26 Aviation Safety and Security Management

Notes practicable,   the   outer   marker   may   be   located   between   6.5

__________________ and 11.1 km (3.5 and 6 NM) from the threshold. The Middle
__________________ marker is normally located so as to indicate, in low visibility
__________________ conditions, the missed approach point, at a distance of 1050
__________________ m from the threshold.
__________________ There   are  three  categories   of   ILS   which  support   similarly
__________________ named categories of operation.
__________________ 23 Category   I:  A   precision   instrument   approach   and
__________________ landing with a decision height not lower than 60 m (200
ft)   above   touchdown   zone   elevation   and   with   either   a
visibility not less than 800 m or a runway visual range
not less than 550 m.
24 Category   II:  Category   II   operation:   A   precision
instrument approach and landing with a decision height
lower   than   60   m   (200   ft)   above   touchdown   zone
elevation   but   not   lower   than   30   m   (100   ft),   and   a
runway visual range not less than 350 m.
25 Category III: is further subdivided

23 Category III A: A precision instrument approach 
and landing with:
23 a   decision   height   lower   than   30   m   (100   ft)
above touchdown zone elevation, or no decision
height; and
24 a runway visual range not less than 200 m.

24 Category III B: A precision instrument approach 
and landing with:
23 a decision height lower than 15 m (50 ft) above
touchdown   zone   elevation,   or   no   decision
height; and
24 a runway visual range less than 200 m but not
less than 50 m.
25 Category   III   C:  A   precision   instrument   approach
and landing with no decision height and no runway
visual range limitations. A Category III C system is
capable of using an aircraft's autopilot to land the
UNIT 1 Airport Surface Operations 27

aircraft and can also provide guidance along the  Notes

runway surface. __________________
Microwave   landing   system   (MLS):  a   precision
instrument  approach   system   that   provides   precision
guidance in azimuth, elevation, and distance measurement.
In Europe this is used at many airports.
Radar  is   a   system   that   uses   electromagnetic   waves   to
identify   the   range,   altitude,   direction,   or   speed   of   both
moving   and   fixed   objects   such   as   aircraft,   ships,   motor
vehicles,   weather   formations,   and   terrain.   A   transmitter
emits   radio   waves,   which   are   reflected   by   the   target   and
detected by a receiver, typically in the same location as the
transmitter. The time taken by the Radar waves to go to the
target   (aircraft)   and   come   back   is   measured   to   get   the
distance (Height) of the aircraft.
Radar   can   be   of   two   types.   Primary   Radar   shows   all   the
objects,   whether   fixed   or   moving;   Secondary   Surveillance
Radar (SSR) shows only those targets (Aircraft), which reply
the signals sent by the other aircraft. Thus SSR eliminates
undesirable clutters.
Radar   is   used   in   many   contexts,   including   meteorological
detection of precipitation, air traffic control. The pilot uses
the   weather   radar   installed   in   the   aircraft   to   know   the
surrounding   weather   and   the   ATC   uses   it   for   proving
separation between the aircraft.
28 Aviation Safety and Security Management

Notes Light signal from aerodrome control
Green flashes
__________________ Permission to cross landing area or to move onto taxiway
Steady red
__________________ Stop
Red flashes
__________________ Move off the landing area or taxiway and watch out for aircraft
White flashes

Vacate   manoeuvring   area   in   accordance   with   local

In emergency conditions or if the signals in are not observed,
the   signal   given   hereunder   shall   be   used   for   runways   or
taxiways equipped with a lighting system and shall have the
meaning indicated therein.

Flashing runway or taxiway lights

Vacate the runway and observe the tower for light signal


Manoeuvring area:  That part of an aerodrome to be used
for   the   take­off,   landing   and   taxiing   of   aircraft,   excluding
Movement area:  That part of an aerodrome to be used for
the take­off, landing and taxiing of aircraft, consisting of the
manoeuvring area and the apron(s).

While operating at the airport area, the aircraft; landing, taking
off,  taxiing,  and parked on  the apron are  to  be provided  safe
separation from other movements. On the other hand, a large
number of vehicle movements at the operational area make the
things difficult. The Air Traffic Controller is
UNIT 1 Airport Surface Operations 29

required   to   ensure   that   all   the   traffic   movements   on   the Notes

ground   are   controlled   in   a   safe   manner   through   ATC __________________

instructions. __________________
Accordingly the ATC or the ground control units have been
entrusted   to   organize   the   vehicular   and   aircraft   traffic   in
such a manner that there are no conflicts and no incidents &
accidents within its control.
Designated   positions   of   aircraft   in   the   aerodrome __________________
traffic and taxi circuits. __________________
The   following   positions   of   aircraft   in   the   traffic   and   taxi
circuits are the positions where the aircraft normally receive
aerodrome   control   tower   clearances   from   ATC.   Where
practicable, all clearances should be issued without waiting
for the aircraft to initiate the call.

Position 1: Taxi clearances given.

Position 2:  If conflicting traffic, the departing aircraft is held
at this position. Otherwise T/O clearance is issued by ATCO.

Position 3:  T/O clearance is issued here, if not practicable
at position 2.
Position 4: Clearance to land is issued here as practicable.

Position 5: Clearance to taxi to apron is issued here.

Position 6: Parking information issued here.
30 Aviation Safety and Security Management


__________________ CONDITIONS.
Essential   information   on   aerodrome   conditions   is
information pertaining to airport surface & movement area
or any facilities usually associated issued by ATC to aircraft,
which are necessary to safety of aircraft operation. This may
__________________ 23 construction or maintenance work on, or immediately 
__________________ adjacent to the movement area;
__________________ 24 rough or broken surfaces on a runway, on a taxiway or 
on apron.
25 water, snow, slush or ice on a runway, on a taxiway or 
on apron.
26 other temporary hazards, including parked aircraft and 
birds on the ground or in the air.
27 failure or irregular operation of aerodrome lighting 
28 any other pertinent information.

Traffic on the manoeuvring area

Use of Runway­Holding Positions

Taxing   aircraft   should   be   held   at   the   runway   holding

position, till the runway is reported as clear, and only then it
should be allowed to enter the runway.
UNIT 1 Airport Surface Operations 31


Entry to the Manoeuvring Area __________________
The movement of persons or vehicles including towed aircraft __________________
on the manoeuvring area of an aerodrome shall be controlled by __________________
the   aerodrome   control   tower   as   necessary   to   avoid   hazard   to __________________

them or to aircraft landing, taxiing or taking off. __________________
Persons, including drivers of all vehicles, shall be required to
obtain   authorization   from   the   aerodrome   control   tower
before entry to the manoeuvring area.
Notwithstanding such an authorization, entry to a runway
or runway strip or change in the operation authorized shall
be   subject   to   a   further   specific   authorization   by   the
aerodrome control tower.
In   conditions   where   low   visibility   procedures   are   in
23 persons and vehicles operating on the manoeuvring area
of   an   aerodrome   shall   be   restricted   to   the   essential
minimum, and particular regard shall be given to the
requirements   to   protect   the   ILS   sensitive   areas   when
Category   II   or   Category   III   A   precision   instrument
operations are in progress;
24 the vehicles shall remain at safe distance from taxiing 
Priority on the Manoeuvring Area
Emergency   vehicles   proceeding   to   the   assistance   of   an
aircraft   in   distress   shall   be   afforded   top   priority   over   all
other   surface   movement   traffic.   All   movement   of   surface
traffic should, to the extent practicable, be halted until it is
determined that the progress of the emergency vehicles will
not be impeded.
Vehicles   on   the   manoeuvring   area   shall   be   required   to
comply with the following rules:
23 vehicles, vehicles towing aircraft and pedestrians shall
give   way   to   aircraft   which   are   landing,   taking   off   or
32 Aviation Safety and Security Management

Notes (b) vehicles shall give way to other vehicles towing aircraft;

(c) vehicles shall give way to other vehicles in accordance
__________________ with ATS unit instructions;
(d) notwithstanding the provisions of a), b) and c), vehicles
__________________ and  vehicles  towing  aircraft  shall  comply  with
__________________ instructions issued by the aerodrome control tower.
When an aircraft is landing or taking off, vehicles shall not
__________________ be permitted to hold closer to the runway­in use than:
23 at a taxiway/ runway intersection ­ at a runway holding 
position; and
24 at a location other than a taxiway/ runway intersection ­
at   a   distance   equal   to   the   separation   distance   of   the
runway­holding position.

Communication Requirements and Visual Signals

At   controlled   aerodrome   vehicles   employed   on   the
manoeuvring area shall be capable of maintaining two­way
radio   communication   with   the   aerodrome   control   tower,
except   when   the   vehicle   is   occasionally   used   on   the
manoeuvring area and is:
23 accompanied by a vehicle with the required 
communications capability, or
24 employed in accordance with a prearranged plan 
established with the aerodrome control tower.

Light signal from aerodrome control

Permission to cross landing area or to move onto taxiway


Move off the landing area or taxiway and watch out for aircraft

Vacate manoeuvring area in accordance with local 
UNIT 1 Airport Surface Operations 33

In emergency conditions or if the signals in are not observed, Notes
the   signal   given   hereunder   shall   be   used   for   runways   or __________________
taxiways equipped with a lighting system and shall have the __________________
meaning indicated therein. __________________
Vacate the runway and observe the tower for light signal __________________
General __________________
Aircraft  in  the traffic circuit shall be controlled to provide __________________
the separation minima except that:
23 aircraft in formation are exempted from the separation
minima with respect to separation from other aircraft of
the same flight;
24 aircraft operating in different areas or different runways
on aerodromes suitable for simultaneous landings or take­
offs are exempted from the separation minima;
25 separation minima shall not apply to aircraft operating 
under military necessity.
Sufficient   separation   shall   be   effected   between   aircraft   in
flight in the traffic circuit to allow the spacing of arriving
and departing aircraft.

Entry into traffic circuit

The clearance to enter the traffic circuit should be issued to
an   aircraft   depending   on   the   circumstances   and   traffic
conditions.   An   arriving   aircraft   executing   an   instrument
approach shall normally be cleared to land straight in unless
visual manoeuvring to the landing runway is required.

Priority for landing

In cases of emergency the ATC should render all assistance
Priority shall be given to:
23 an   aircraft   which   anticipates   being   compelled   to   land
because   of   factors   affecting   the   safe   operation   of   the
aircraft (engine failure, shortage of fuel, etc.);
34 Aviation Safety and Security Management

Notes 23 hospital aircraft or aircraft carrying any sick or seriously 
__________________ injured persons requiring urgent medical attention;
24 aircraft engaged in search and rescue operations;
__________________ (d) VVIP aircraft.
An aircraft landing or in the final stages of an approach to
land shall normally have priority over an aircraft intending
to depart from the same or an intersecting runway.


Departure sequence
Departures shall normally be cleared in the order in which
they   are   ready   for   take­off,   except   that   deviations   may  be
made from this order of priority to facilitate the maximum
number of departures with the least average delay. Factors
which   should   be   considered   in   relation   to   the   departure
sequence include, inter­alia:
23 types of aircraft and their relative performance;

24 routes to be followed after take­off;

25 any specified minimum departure interval between 
26 need to apply wake turbulence separation minima;

27 aircraft which should be afforded priority; and

28 aircraft subject to ATFM requirements.

Separation of departing aircraft.

A   departing   aircraft   will   not   normally   be   permitted   to
commence take­off until the preceding departing aircraft has
crossed the end of the runway­in­use or has started a turn or
until all preceding landing aircraft are clear of the runway­
Take­off clearance.
UNIT 1 Airport Surface Operations 35

Take­off clearance may be issued to an aircraft when there is Notes
reasonable assurance that the separation will exist when the __________________

aircraft commences take­off. __________________
When   an   ATC   clearance   is   required   prior   to   take   off,   the
take­off   clearance   shall   not   be   issued   until   the   ATC
clearance has been transmitted to and acknowledged by the
aircraft concerned.
The take­off clearance shall be issued when the aircraft is __________________
ready   for   take­off   and   at   or   approaching   the   departure __________________
runway,   and   the   traffic   situation   permits.   To   reduce   the __________________
potential for misunderstanding, the take­off clearance shall
include the designator of the departure runway.
In   the   interest   of   expediting   traffic,   a   clearance   for
immediate   take­off   may   be   issued   to   an   aircraft   before   it
enters   the   runway.   On   acceptance   of   such   clearance   the
aircraft   shall   taxi   out   to   the   runway   and   take   off   in   one
continuous movement.


Separation of landing aircraft and preceding landing
and departing aircraft using the same runway.

A landing aircraft will not normally be permitted to cross the
runway threshold on its final approach until the preceding
departing aircraft has crossed the end of the runway­in­use,
or has started a turn, or until all preceding landing aircraft
are clear of the runway­in­use.
36 Aviation Safety and Security Management

Notes Clearance to land.

An aircraft may be cleared to land when there is reasonable
assurance   that   the  separation   will   exist   when   the   aircraft
crosses the runway threshold, provided that a clearance to
land  shall  not  be  issued  until  a  preceding  landing  aircraft
__________________ has crossed the  runway threshold. To reduce the potential
__________________ for   misunderstanding,   the   landing   clearance   shall   include
__________________ the designator of the landing runway.
__________________ Landing and roll-out manoeuvres.
__________________ When necessary or desirable in order to expedite traffic, a
landing aircraft may be requested to:
23 hold short of an intersecting runway after landing;

24 land beyond the touchdown zone of the runway;

25 vacate the runway at a specified exit taxiway;

26 expedite vacating the runway.


Control of aerodrome surface traffic in conditions of
low visibility.

In   conditions   where   low   visibility   procedures   are   in

operation,   persons   and   vehicles   operating   on   the
manoeuvring area of an aerodrome shall be restricted to the
essential minimum, and particular regard shall be given to
the requirements to protect the ILS sensitive area(s) when
Category   II   or   Category   III   A   precision   instrument
operations are in progress.
When   there   is   a   requirement   for   traffic   to   operate   on   the
manoeuvring  area  in conditions   of   visibility  which  prevent
the aerodrome control tower from applying visual separation
between   aircraft,   and   between   aircraft   and   vehicles,   the
following shall apply:
At the intersection of taxiways, an aircraft or vehicle on a
taxiway  shall   not   be  permitted   to  hold   closer   to   the   other
taxiway   than   the   holding   position   limit   defined   by   a
clearance bar, stop bar or taxiway intersection marking.
UNIT 1 Airport Surface Operations 37

Subject to the provisions in, the vehicles shall remain at safe Notes

distance from taxiing aircraft. __________________
(VFR) OPERATIONS. __________________

Aircraft   may   be   permitted   to   fly   VFR   at   certain   airports. __________________

However, Any or all VFR operations on and in the vicinity of __________________

an   aerodrome   may   be   suspended   by   the   ATC,   if __________________

circumstances warrants so, in the interest of safety or other __________________

reasons. __________________
All aeronautical ground lights shall be operated

5888 during the time from sunset to sun rise;

5889 during time from sunrise to sunset when visibility is 
3000 m or less;
5890 when requested by pilot. When so requested, further
adjustment   of   the   intensity   light   shall   also   be   made
whenever possible.
5891 at   any   other   time   when   their   use,   based   on   weather
conditions, is considered desirable for the safety of air
Lights   on   and   in   the   vicinity   of   aerodromes   that   are   not
intended for enroute navigation purposes may be turned off,
subject   to   further   provisions   hereafter,   if   no   likelihood   of
either regular or emergency operation exists, provided that
they can be again brought into operation at least one hour
before the expected arrival of an aircraft.
The   lights   of   a   visual   approach   slope   indicator   system
(VASIS)   or   PAPI   shall   be   operated   during   the   hours   of
daylight   as   well   as   of   darkness   and   irrespective   of   the
visibility   conditions   when   the   associated   runway   is   being
38 Aviation Safety and Security Management

Notes Runway lighting.

Runway lighting shall not be operated if that runway is not
in   use   for   landing,   take­off   or   taxiing   purposes,   unless
required for runway inspections or maintenance.
23 at   aerodromes   where   air   traffic   control   service   is
provided and where lights are centrally controlled, the
lights of one runway shall remain lighted after take­off
as long as is considered necessary for the return of the
aircraft   due   to   an   emergency   occurring   during   or

immediately after take­off;
24 at   aerodromes   without   air   traffic   control   service   or
without   centrally   controlled   lights,   the   lights   of   one
runway shall remain lighted until such time as would
normally   be   required   to   reactivate   the   lights   in   the
likelihood   of   the   departing   aircraft   returning   for   an
emergency landing, and in any case not less than fifteen
minutes after take­off.

Taxiway lighting.
Where   required   to   provide   taxi   guidance,   taxiway   lighting
shall be turned on in such order that a continuous indication
of   the   taxi   path   is   presented   to   taxiing   aircraft.   Taxiway
lighting or any portion thereof may be turned off when no
longer needed.

Obstacle lighting.
Obstacle   lighting   associated   with   the   approach   to   or
departure from a runway or channel, where the obstacle does
not   project   through   the inner   horizontal   surface should  be
turned off and on simultaneously with the runway lights.
Un­serviceability   lights   may   not   be   turned   off   while   the
aerodrome is open.

5888 ICAO   Annex   14   to   the   Convention   on
International   Civil   Aviation­Volume   I­'   Aerodrome
Design and Operations', Fourth Edition, July 2004
UNIT 1 Airport Surface Operations 39

23 Civil   Aviation   Requirements,   Section­4,   Aerodrome Notes

Standards & Air Traffic Services, Series 'B', Part I dated __________________
31st   July,   2006­:   Aerodrome   Design   And   Operations, __________________
issued by Office Of Director General Of Civil Aviation. __________________
24 ICAO Aerodrome Design Manual (ICAO Doc 9157), Part
1  ­  Runways,   Part   2  ­   Taxiways,   Aprons   and   Holding
Bays, Part 3 ­ Pavements, Part 4 ­ Visual Aids, Part 5 ­
Electrical Systems.
25 ICAO Manual of Surface Movement Guidance and 
Control Systems (SMGCS) (ICAO Doc 9476) __________________
26 Airports Authority of India ATS Manual.

27 ICAO   Annex   10   ­Volume   I­Aeronautical

Telecommunications­   Radio   Navigation   Aids,   Fifth
Edition ­ July 1996

General Questions
0 Describe   the   functioning   of   a   Visual   Approach   Slope
Indicator System (VASIS) or a Precision Approach Path
Indicator (PAPI)
1 What is an ILS (Instruments Landing System)? What 
are its main features?
2 What   are   the   different   types   of   aircraft   emergencies?
What are the actions taken by various ground agencies
to handle such emergencies?

Objective Type Questions.

0 Two parallel runways located in North/South direction 
will be named as ­­­­­ and ­­­­­.
1 Precision Approach Runway Cat II is a kind of

0 Instrument runway

1 Non­ Instrument runway

2 Grassy runway

3 Unlighted Runway
40 Aviation Safety and Security Management

Notes 0 An aircraft is landing on Runway 09 at an airport. This
__________________ means that the aircraft is approaching from; ­­­­ to ­­­­­­
1 VOR & DME are used for getting the ­­­­­­ & ­­­­­­­­­ of 
the aircraft from an airport.
__________________ 2 Top Priority for landing should be given to the aircraft
__________________ 23 Aircraft experiencing in­flight emergency like engine 
failure, fire, shortage of fuel etc.
23 The Taxiway markings are shown by broken white lines
__________________ and the colour of taxiway edge lights is ­­­­­­
24 The NDB (Non Directional Beacon) is used by aircraft 
for communication with ATC. (True or False)
25 Displaced Threshold mean;

23 A threshold not located at the extremity of a runway.

24 A runway not aligned properly.

25 A runway located very far from the airport.

26 A misplaced taxiway

Answers to Objective Type of questions

23 18L/36R, 18R/36L

24 i. Instrument runway

25 West to East

26 Direction & Distance

27 Aircraft experiencing in­flight emergency like engine 
failure, fire, shortage of fuel etc.
28 Blue

29 False


23 A threshold not located at the extremity of a runway.
UNIT 2 Crew Alerting Management 41

Unit 2 Notes
Crew Alerting Management __________________
General __________________
Aircraft   while   in   flight   is   prone   to   various   types   of __________________
emergency situations, which become risky if not attended in __________________
time.   The   flight   crew   members   (Pilots,   Co­pilots,   Flight __________________
Engineers, Cabin crew, stewards etc.) are expected to handle
such situations of their own, since it may not be possible to
provide any kind of fruitful assistance by ground personnel
in   the   air.   However,   under   such   circumstances,   ground
people   (ATC,   Airlines,   Fire   Staff,   Ground   handling   staff,
Military and Defence authorities etc.) make efforts to allow
the   aircraft   to   land   in   a   safe,   expeditious   and   efficient
manner   and   then   provide   full   ground   assistance;   and   also
help in search & rescue efforts.
In order to resolve any such eventuality, the best possible
assistance that can be given to the pilot by the system is in
the form of an early warning, so that he is able to take the
necessary preventive action at the earliest. In order to meet
this requirement, modern aircraft are equipped with various
facilities and gadgets, which provide early alert warning of
an emergency situation in the aircraft.
Some such installations are given below;

If the speed of the aircraft becomes dangerously low (Known
as stalling speed) this particular warning appears, so that
the pilot can take preventing action to increase the speed of
the aircraft.

In the event of fire in the aircraft the Fire Warning appears
in the form on bell, buzzer and light, thereby causing the
42 Aviation Safety and Security Management

Notes pilot   to   apply   fire   extinguishers   and   can   take   other

__________________ preventing actions.
__________________ If any of the aircraft doors remain open during flight, “Door
__________________ warning” comes and suitable necessary actions are taken by
__________________ the air crew.
__________________ It is an integrated system used in modern aircraft to provide
__________________ aircraft   crew   with   aircraft   engines   and   other   systems
instrumentation and crew annunciations.
EICAS   typically   includes   instrumentation   of   various   engine
parameters,   including   for   example   Revolution   per   Minute
(RPM), temperature values, fuel flow & quantity, oil pressure
etc. Typical other aircraft systems monitored by EICAS are for
example   hydraulic,   pneumatic,   electrical,   de­icing,
environmental and control surface systems. As EICAS has high
connectivity, it provides data acquisition and routing.

EICAS  is  a  key  function  of   a Glass  cockpit  system,   which

replaces all analogue gages with software­driven electronic
displays. Most of the display area is used for navigation and
orientation displays, but one display or a section of a display
is set aside specifically for EICAS.
The   Crew   Alerting   System   (CAS)   is   used   in   place   of   the
annunciator panel on older systems. Rather than signalling
a system failure by turning on a light behind a translucent
button, failures are shown as a list of messages is shown in a
small   window  near  the other  EICAS   indications.  The CAS
system   is,   in   essence,   and   electronic   version   of   the   light
Warning system of old generation aircraft.

Ground   proximity   warning   system   (GPWS)   is   a   system

designed   to   alert   pilots   if   their   aircraft   is   in   immediate
danger   of   flying   into   the   ground   or   high   terrain.   Another
common name for such a system is ground­collision warning
system (GCWS).
UNIT 2 Crew Alerting Management In   2002   an
advanced version of
The   system   monitors  an   aircraft’s   height   above   ground   as
determined   by   a   radar   altimeter.   A   computer   then   keeps GPWS,   known   as
track of these readings, calculates trends, and will warn the “Enhanced   Ground
captain with visual and audio messages if the aircraft is in Proximity   Warning
certain defined flying configurations (“modes”), like  “Whoop System”   (EGPWS)
Whoop Pull up”. or “Terrain
The modes are:

Risk Warning (Aural/Visual)

0 Excessive descent rate (“PULL UP” “SINKRATE”)

1 Excessive terrain closure rate (“TERRAIN” “PULL UP”)

2 Altitude loss after take off (“DON’T SINK”)

3 Unsafe terrain clearance (“TOO LOW ­ TERRAIN” 


4 Excessive deviation below glide slope (“GLIDE 

5 Bank angle protection (“BANK ANGLE”)­[With EGPWS]

6 Wind shear protection (“WINDSHEAR”)­[With EGPWS]

Prior   to   the   development   of   GPWS   in   US,   large   passenger

aircraft   were   involved   in   3.5   fatal   CFIT   accidents   per   year,
falling to 2 per year in the mid­1970s. Since the U.S. Federal
Aviation Administration required large airplanes to carry such
equipment   in   1974,   there   has   not   been   a   single   passenger
fatality, in a CFIT crash by a large jet in U.S. airspace. In 2000
the FAA extended this requirement to smaller commuter planes
as well. In India also, DGCA has made it mandatory for civil
aircraft to be equipped with GPWS.

Basic   GPWS,   however,   provide   warning   for   the   obstacles,

which   are   directly   below   the   aircraft,   and,   it   does   give
information about the obstructions just ahead of it. Thus if
there is a sudden change in terrain, such as a steep slope,
GPWS will not detect the aircraft closure rate until it is too
late for evasive action.

44 Aviation Safety and Security Management

Notes avoidance   System   (TAWS)”   based   on   new   technology   was

__________________ introduced,   which   could   solve   this   problem   by   presenting
__________________ information about obstacles ahead of the aircraft. In addition
__________________ it   could   also   give   warnings   about   the   wind   shear   and
__________________ excessive bank angle on approach.
__________________ On   12th   Nov.   96,   a   tragic   aircraft   accident   occurred   over
__________________ Village Charkhi Dadari near Delhi. On that day one B747 of
__________________ Saudi   Arab   Airlines   and   an   IL­76   aircraft   of   Kazakhstan
__________________ Airlines   collided   in   the   air   while   Saudia   was   climbing   to
14,000ft and Kazakh was descending to 15,000ft. All the 351
innocent passengers and crew of both the aircraft got killed
and the debris of the ill­fated aircraft mingled with the dead
bodies fell over the fields. The mid­air collision left the world
It   was   evident   that   at   least   one   of   the   aircraft   was   not
maintaining  proper height. Since Delhi  Air Traffic  Control
was   not   equipped   with   the   Secondary   Surveillance   Radar
(SSR), ATC was not aware of the heights maintained by the
two aircraft, as the Primary Radar available with Delhi ATC
does   not   show   the   heights   of   the   aircraft   over   the   Radar
screen.   And   then   questions   were   raised   whether   the   sad
mishap somehow could have been averted.
Within   six   months   of   the   Saudia­Kazakh   mid­air,   another
incident was reported. ‘Air­Force One’ (also known as the ‘flying
White’ House), the VIP Jumbo jet (B747­200) aircraft which is
the official aircraft used by the President of the United States,
came dangerously close to another US Cargo plane while they
were about 400 Kms off the European Coast.
These aircraft were operating flights between USA and Europe
on reciprocal tracks and they came close to each other within 2
to 3 nautical miles (4 to 6 Kms) laterally and less than 1000 ft.
vertically.   At   a   combined   speed   of   about   1500­2000   Kms   an
hour (or about 25 to 30 Kms per minute), these aircraft should
have   been   hardly   15   to   20   seconds   away   from   each   other
creating   a   critically   dangerous   situation.   However   immediate
alert warnings in the cockpit were given by the state­of­the­art
equipment known as “Traffic Alert Collision
UNIT 2 Crew Alerting Management 45

Avoidance System (TCAS)” and the pilots could manoeuvre Notes
the aircraft safely taking them out of danger. Thus because __________________
of the presence of a particular equipment, a possible disaster __________________
could be averted. __________________
This   important   equipment   TCAS   (also   called   Airborne
Collision   Avoidance   System   or   ACAS)   is   thus   getting   the
recognition as one of the primary requirement for the safety
of the passenger aircraft.
ACAS or Airborne Collision Avoidance System is an air­to­
air communication system that gives audio visual warnings
in the cockpit in the event of a potential danger being faced
in the form of a conflicting aircraft dangerously coming in
the close proximity. ACAS provides avoidance protection &
air   space   situational   awareness   for   the   aircraft   and   is
completely   independent   of   ground­based  equipment.   ACAS
can   track   as  many  as   45   aircraft   and   display   up   to   30  of
them at a time.
ACAS   works   on   the   principal   of   Secondary   Surveillance
Radar (SSR), where in radio signals are sent and received in
the form of questions­answers (or Interrogator­transponder)
between   the   aircraft   and   the   ground   control   (Air   Traffic
Control Centre). The only difference between SSR and the
ACAS is that, while in case of a SSR the question­answer is
between   ground   and   the   aircraft,   in   case   of   ACAS   the
interrogation is between aircraft to aircraft.

There are 3 type of ACAS equipment presently available.

ACAS­I  provides   traffic   information   (Known   as   Traffic

Advisories or TAs) and it acts as an aid to “SEE & AVOID
ACTION”.   This   type   of   warning   is   known   as   traffic
advisories (TAs). However, this equipment does not have the
capability for generating Resolution Advisories (RAs), which
is the advisory type of manoeuvre for altering the flight path
for  avoiding  the   conflict.   ACAS   is  found   to  be   very   useful
equipment   for   the   pilot   as   it   immediately   issues   alert
warnings for avoidance of collision. This warning issued by
ACAS­I, known as Traffic Advisories (TA) is in the form of
46 Aviation Safety and Security Management

Notes lights as well as audio signals. Audio Signal is a synthesized
__________________ human   voice   in   the   form   of   different   kinds   of   spoken
__________________ warnings (sometime it appears as if some ghost is shouting).
__________________ For example:
__________________ In other words, ACAS­I can issue only “TRAFFIC TRAFFIC”
__________________ aural   warnings   and   the   relevant   visual   warnings,   but   it
__________________ cannot   advise   the   pilot   to   take   steps   for   avoiding   the
__________________ conflicting   traffic.   ACAS   I   is   intended   for   use   in   smaller
__________________ commuter and general aviation aircraft.
ACAS­II:  This   equipment   provides   coordinated   vertical
Resolution   Advisories   (RAs)   such   as   “CLIMB,   CLIMB”   in
addition   to   Traffic   Advisories   (TAs)   in   the   event   of   the
aircraft facing threat from a conflicting traffic. This is one of
the   most   important   equipment   that   has   been   accepted   for
international implementation and standardization by ICAO.
ACAS II is intended for use in air transport category aircraft
and large commuter aircraft.
In addition to TAs, the advanced version of ACAS known as
ACAS­II, also issues Resolution Advisories (RA) alerting the
pilot   to   take   evasive   action   for   avoidance   of   collision.   For

6 CLEAR OF CONFLICT, and so on...
ACAS­III:  ACAS III provides vertical as well as horizontal
Resolution Advisories in addition to Traffic Advisories.
ACAS­IV:  ACAS IV is being designed to meet the operational
requirements of Free Flight and Future Air Navigation Systems
(FANS) and may include GPS composition
UNIT 2 Crew Alerting Management 47

capabilities,   horizontal   Resolution   Advisories,   extended Notes

Range   and   other   enhancement   over   existing   TCAS/ACAS __________________
equipment.   Similar   type   higher   versions   of   the  equipment __________________
are also under development. __________________
LIMITATIONS __________________
ACAS has got a limitation that both the aircraft which are __________________
coming   within   the   close   proximity   to   each   other   must   be __________________
equipped   with   ACAS   on   board,   in   order   to   have   Traffic __________________
Advisories   (TAs)   as   well   as   Resolution   Advisories   (RAs). __________________
However,   in   case   the   intruding   aircraft   is   not   fitted   with __________________
ACAS,   still   the   alert   warning   in   the   form   of   Traffic
Advisories (TAs) will be received by the pilot.
Looking  into  all   these aspects,  Govt.   of   India  has   made  it
mandatory for passenger aircraft to get themselves equipped
with ACAS System.

There can be a number of aircraft emergencies, which may
create various problems for the pilot. ATC is the first and
most important unit to interact with the pilot during aircraft
emergencies. Some such problems are discussed below;

The Pilot can abort take­of, in case of any problem during T/
O provided the aircraft has not crossed the V1 speed.

If an engine fails during or immediately after T/O, the Pilot
normally   tries   to   land   straight   without   delay.   ATC   will
provide   full   assistance   to   clear   the   runway   and   divert   all
other traffic.

A   precautionary   landing   is   made   by   the   pilot   when   the

aircraft and engines may be functioning normally, however,
there may be some small problem causing the pilot to take
the landing as a precautionary step.
48 Aviation Safety and Security Management

Notes Some such cases could be
0One   engine   shut   down   due   oil   loss,   heavy   vibration   or
similar such malfunctions etc. (Other engines working
__________________ 1Minor Instrument failure
__________________ 2Bad weather
3Other minor snags
__________________ 4Fuel leakage or not having sufficient fuel to reach to the 
desired destination
5Smoke warning

6Any other warning, which is assumed to be False 

In case of any serious trouble the pilot can not continue the
flight   and   makes   an   Emergency   Landing.   The   ATC   unit
under such an event would provide full assistance and top
priority to the aircraft.
Some typical examples of problems leading to Emergency 
Landing are given below;
23 Fire on aircraft
24 Malfunction of any Control system
25 Major Failure of any critical part/Instrument
26 Aircraft loosing height due multi engine failure
27 Acute Fuel shortage
28 Aircraft in distress due to any other reason.

Pressurisation is needed in the cabin of an aircraft flying at
an altitude above 8000 ft. Normally modern aircraft cruise at
an altitude of 30,000 ft. to 50,000 ft. Thus  in the event  of
Pressurization Failure at high altitudes, the passengers and
the crew would face acute discomfort and serious medical &
biological problems.
UNIT 2 Crew Alerting Management 49

Thus the aircraft would need immediate descent below 9000 Notes
ft. Thereafter, the flight can be continued in normal manner __________________
(Provided the aircraft has not remained with Pressurization __________________
Failure for a long duration, when the passengers may need __________________
immediate medical attention). __________________
Many   controls   of   the   aircraft   like   flaps,   Landing   Gears, __________________
Brake   actuating   systems   etc.   are   normally   operated __________________
hydraulically.   In   case   of   Hydraulic   Failure,   the   pilot   may __________________
face tremendous problems in operating the controls/ systems __________________
etc, and may need priority landing. The aircraft on landing
may require longer length of runway for landing, and may
block the runway as it will not be able to taxi on its own; and
may have to be towed out.

In case the pilot of an aircraft gets the warning indication
that the wheels are not extended and locked, there can be
two possibilities.
First the wheels might be extended but the warning may be false
due to some reason. In such cases the pilot flies the aircraft low
across   the  Air Traffic  Control  Tower  for  visual   inspection  of  the
Landing   Gears.   However,   if   the  Landing   Gears   are  actually   not
extended,   the   pilot   make   attempts   to   extend   the   gears   through
mechanical methods or manually. If all efforts fail, the pilot tries to
make a belly­landing which is a case of full emergency.

There may be a case when the pilot is not able to retract the
L/G after it is airborne. In such cases the pilot would not like
to continue the flight and instead would return for landing.
This may be a precautionary landing.

Upon   receipt   of   information   regarding   any   emergency

situation, the Air traffic control (ATC) unit will declare an
alert in the form of a;

50 Aviation Safety and Security Management

Notes Subsequent action will be taken by ATC and other concerned
__________________ agencies   based   on   the   type   of   emergency   to   handle   the
__________________ situation.
During an emergency Air traffic control units are expected to
maintain full and complete coordination and give top priority
for  any  type  of   ATC   Clearance  required  by  the  aircraft   in
distress and in landing.
For   example,   the   progress   of   an   aircraft   in   emergency   is

monitored on the ATC radar display until the aircraft passes

out   of   radar   coverage,   and   position   information   is   then
provided to all air traffic services units which may be able to
give   assistance   to   the   aircraft.   Radar   transfer   to   adjacent
radar sectors shall also be effected when appropriate.
When an emergency is declared by an aircraft, the ATS unit
should take appropriate and relevant preventive action.
5888 unless   clearly   stated   by   the   flight   crew   or   otherwise
known,   take   all   necessary   steps   to   ascertain   aircraft
identification   and   type,   the   nature   of   emergency,   the
intentions of the flight crew as well as the position and
level of the aircraft;
5889 decide upon the most appropriate type of assistance 
which can be rendered;
5890 enlist the aid of any other ATS unit or other services
which may be able to provide assistance to the aircraft;
5891 provide the flight crew with any information requested
as well as any additional relevant information, such as
details on suitable aerodromes, minimum safe altitudes,
weather information;
5892 obtain from the operator or the flight crew such of the
following   information   as   may   be   relevant:   number   of
persons   on   board,   amount   of   fuel   remaining,   possible
presence of hazardous materials and the nature thereof;
5893 notify the appropriate ATS units and authorities as 
specified in local instructions
UNIT 2 Crew Alerting Management 51

Manoeuvring instructions to an aircraft experiencing engine Notes
failure should be limited to a minimum. When appropriate, __________________
other   aircraft   operating   in   the   vicinity   of   the   aircraft   in __________________
emergency should be advised of the circumstances. __________________
Priority __________________
An aircraft known or believed to be in a state of emergency, __________________
including being subjected to unlawful interference, shall be __________________
given maximum consideration, assistance and priority over __________________

other aircraft as may be necessitated by the circumstances. __________________
Unlawful interference and aircraft bomb threat
Air traffic services personnel shall be prepared to recognize
any   indication   of   the   occurrence   of   unlawful   interference
with an aircraft
Whenever unlawful interference with an aircraft is known or
suspected or a bomb threat warning has been received, ATS
units shall promptly attend to all requests made by, or to
anticipated   needs   of,   the   aircraft,   including   requests   for
relevant   information   relating   to   air   navigation   facilities,
procedures and services along the route of flight and at any
aerodrome of intended landing, and shall take such action as
is   necessary   to   expedite   the   conduct   of   all   phases   of   the
flight, especially the safe landing of the aircraft
ATS units shall also:

23 transmit,   and   continue   to   transmit,   information

pertinent   to   the   safe   conduct   of   the   flight,   without
expecting a reply from the aircraft;
24 monitor   and   plot   the   progress   of   the   flight   with   the
means available, and coordinate transfer of control with
adjacent ATS units without requiring transmissions or
other   responses   from   the   aircraft,   unless
communication with the aircraft remains normal;
25 inform, and continue to keep informed, appropriate ATS
units,   including   those   in   adjacent   Flight   Information
Regions   (FIRs),   which   may   be   concerned   with   the
progress of the flight;
52 Aviation Safety and Security Management

Notes 5888 notify:   the   airline   operator,   the   appropriate   rescue

__________________ coordination   centre,   the   designated   security   authority
__________________ (In case of hijacking or security threat)
An aircraft known or believed to be the subject of unlawful
interference or which for other reasons needs isolation from
normal   aerodrome   activities   shall   be   cleared   to   the
designated isolated parking position.
__________________ Emergency descent
__________________ Upon   receipt   of   advice   that   an   aircraft   is   making   an
emergency   descent   through   other   traffic,   the   air   traffic
control units shall immediately instruct other aircraft flying
in the area to clear the path of the aircraft in distress.

Air-Ground Communications Failure

As soon as it is known that two­way communication between
aircraft and ATC has failed, separation shall be maintained
between the aircraft having the communication failure and
other   aircraft,   and   the   aircraft   will   be   given   freedom   to
continue to fly as per standard procedures.

Assistance To VFR Flights

A VFR flight reporting that it is uncertain of its position or lost,
or   encountering   adverse   weather   conditions,   should   be
considered to be in a state of emergency and handled as such.

Navigation assistance to help the pilot determine the aircraft
position  may  be provided by  use  of  radar,  direction­finder,
navigation aids or sighting by another aircraft. Care must be
taken when providing navigation assistance to ensure that
the aircraft does not enter cloud.


Strayed or unidentified aircraft
The terms “strayed aircraft” means “An  aircraft  which has
deviated   significantly   from   its   intended   track   or   which
reports that it is lost.” and “unidentified aircraft” means “An
aircraft which has been observed or reported to be operating
in a given area but whose identity has not been established.”
UNIT 2 Crew Alerting Management 53

As soon as an air traffic services unit becomes aware of a Notes
strayed aircraft, it shall take all necessary steps to assist the __________________

aircraft   and   to   safeguard   its   flight   including  Navigational __________________

assistance, Radar Assistance.
Interception of civil aircraft __________________

As soon as an air traffic services unit learns that an aircraft __________________

is   being   intercepted   in   its   area   of   responsibility,   it   shall __________________

inform the pilot of the intercepted aircraft of the interception __________________

and   relay   messages   between   the   intercepting   aircraft   and __________________

the intercept control unit, as necessary. In close coordination __________________

with   the  intercept   control   unit   take   all   necessary  steps   to

ensure the safety of the intercepted aircraft

Fuel dumping
An aircraft in an emergency or other urgent situations may
need to dump fuel so as to reduce to maximum landing mass
in order to effect a safe landing. Under such circumstances,
the   ATC   unit   should  then   coordinate  with   the   flight   crew
and   give   clearance   for   the   route   to   be   flown,   which,   if
possible (should be clear of cities and towns, preferably over
water,  and  clear  of  weather);  the level  (should  be  not  less
than 6 000 ft); and duration of the fuel dumping.

23 Aeronautical Information Circular No. 03 of 2006 issued
by DGCA Dt 19th May 2006.
24 ICAO Airport Services Manual (Doc 9137) Part 1 — 
Rescue and Fire Fighting.
25 DGCA,   Civil   Aviation   Requirement,   Aircraft
Instrument, Equipment And Accessories­GPWS, Series
I­Part VII, Issue II, Dated 28­5­99
26 DGCA,   Civil   Aviation   Requirement,   Aircraft
Instrument,   Equipment   And  Accessories­ACAS,  Series
I­Part VIII, Issue II, Dated 24­4­97
27 AAI Air Traffic Services Manual

28 AAI Airport Operations Manual
54 Aviation Safety and Security Management

Notes 5888 DGCA Website also

5889 AAI website
__________________ 5890 Indian Aircraft Manual
5891 FAA Advisory circulars on various Cockpit Warning 
__________________ Questions
__________________ General Questions.
__________________ 23 What is the Airborne Collision Avoidance System 
(ACAS) or TCAS. How it functions?
24 An   aircraft   is   coming   for   emergency   landing   due   to
‘Landing Gears’  not extending? What actions are required
to be taken by the pilot and different ground agencies?

25 In   case   the   aircraft   is   met   with  a   bomb   threat   or   an

unlawful interference (Threat of Hijacking), what action
is required to be taken by the ATC Unit.
26 Describe the functioning of GPWS equipment.

Objective Type of questions

5888 In case of hydraulic failure the aircraft may 
experience the following problems;
5889 If two aircraft come dangerously close to each other, an
alert warning will be issued by — equipment installed
in the aircraft.
5890 GPWS is the equipment installed for safety of aircraft to
avoid   of   collision   with   high   terrain   and   hills   etc.   It
stands for ——­
5891 In case of Pressurization failure, the aircraft may need 
the following assistance;
23 ——

5888 EICAS (Engine Indicating and Crew Alerting System); 

i. ——
UNIT 2 Crew Alerting Management ᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀȀЀĀȀ⸀ĀȀĀȀĀ⸀Ā
23 It only provides engine information Describe the 
functioning of 
24 It shuts down all aircraft engines in case the pilot 
receives a smoke warning. equipment.
25 It is another form of ACAS.

23 GPWS issues alert warning “Terrain­Terrain”, 
23 —

24 In case of a fire on one of its engines, the aircraft may;

23 Make an Emergency landing.

24 Make a precautionary landing

25 Fly near control tower for visual confirmation

23 Continue its flight as long as there is no fuel shortage.

23 Prior to an emergency landing, the Fuel dumping is 
necessary so as to;
23 To cool down the temperature of the aircraft.

24 reduce the landing weight of the aircraft to bring it
within   the   maximum   permissible   &   safe   limit   of
25 To increase the flying speed of the aircraft.

26 Achieve a quick descent rate.

General Questions
What is the Airborne Collision Avoidance System (ACAS) or 
TCAS. How it functions?
ᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀȀЀĀȀ⸀ĀȀĀȀĀ⸀ĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀЀĀ513An   aircraft
is coming for emergency landing due to ‘Landing Gears’
not extending? What actions are required to be taken by
the pilot and different ground agencies?
ᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀȀЀĀȀ⸀ĀȀĀȀĀ⸀ĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀЀĀ514In case the
aircraft   is   met   with   a   bomb   threat   or   an   unlawful
interference   (Threat   of   Hijacking),   what   action   is
required to be taken by the ATC Unit.

56 Aviation Safety and Security Management

Notes Answers to Objective Type of questions

__________________ 0 On landing the aircraft may need longer runway to stop
due to less effective brakes, and may need towing as it
may not be able to turn.
1 ACAS .
__________________ 2 Ground Proximity Warning System
3 Immediate descent to a height of 8000 ft or low.
4 EICAS (Engine Indicating and Crew Alerting System)

It  is   an  integrated  system   used  in modern  aircraft  to
provide aircraft crew aircraft engines and other systems
instrumentation and crew annunciation.
5 Aircraft comes in close proximity of a high hill or high 
6 Make an Emergency landing.

7 reduce the landing weight of the aircraft to bring it within
the maximum permissible & safe limit of landing.
UNIT 3 Transportation of Hazardous Material 57

Unit 3 Notes
Transportation of Hazardous __________________

Material __________________
"Dangerous  goods" or "Hazardous Material" means  articles
or substances which are capable of posing a risk to health,
safety, property or the environment and which are listed as
such   in   the   Technical   Instructions   or   which   are   classified
according   to   the   Technical   Instructions.   The   above
mentioned   Technical   Instructions   known   as   "Technical
Instructions for the Safe Transport of Dangerous Goods by
Air" are in the form of an ICAO document (ICAO Doc 9284)
issued by ICAO and is available for sale at ICAO and at their
authorised dealers.

A number of aircraft accidents and many cases of explosions
are  caused   as  a  result   of   carriage  of   certain  dangerous   or
prohibited articles inside the aircraft which are referred as
`Hazardous   cargo   by   International   Civil   Aviation

Often   passengers   deliberately   or   unknowingly   carry   such

dangerous articles due to which there is a possibility of fire
or explosion  during the flight.  Sometimes  such  objects  are
carried through cargo or through unaccompanied baggage.

Some such dangerous goods that we are familiar with are
petrol,   kerosene,   bottles  of   acid,   cooking  gas,   fire   crackers
etc.   However   even   many   innocent   looking   objects   like
domestic   cleaning   liquid,   cans   of   aerosol,   various   organic
liquids, a bundle of match boxes, cigarette lighters, paints
etc. can also be quite harmful at times and therefore have
been categorized as restricted articles and should be carried
on  board  the flight  under  special  precautions.  So much so
that even a simple kitchen item like Copra (Dried Coconut)
is restricted due to its high oil content.
58 Aviation Safety and Security Management

Notes The hazardous material that have been forbidden in carry­on
__________________ and checked baggage on board the commercial aircraft have
__________________ been categorised in different classes as given below;
Explosives Fireworks, loose ammunitions, flares, gun powder
__________________ loaded firearms
__________________ Gas or vapour Aerosols containing flammable material under
__________________ pressure (e.g. hair sprays and paints), CO
cartridges, medical oxygen, butane fuel, Chemical
__________________ Mace, tear gas, scuba tanks, propane tanks, self-
__________________ inflating rafts.

__________________ Flammable liquids Flammable paints and related material, solid

perfumes, gasoline, safety or "strike-any where"
Matches, some cleaning solvents.

Oxidisers Bleach, nitric acid, fertilizers, swimming pool and

spa chemicals.

Poisons Weed killers, pesticides, rat poisons.

Infectious Material Bacterial cultures, viral organism, medical

laboratory specimens.

Corrosives Drain cleaners, wet-type batteries, acids lye

Organic Peroxides Fibreglass resins.

Radioactive Material Smoke detectors, radioactive-labelled materials &


Magnetized Materials Magnets as in some loudspeakers and laboratory


Other hazardous Dry ice, mercury, any equipment material containing

Materials fuel.

(There are certain exceptions for personal care medical needs sporting
equipment and items to support physically challenged travellers.)
0 Source Hazardous Materials Advisory Council and
the US Federal Aviation Administration.

There are hundreds of cases of aircraft accidents, which were
primarily   caused   due   to   dangerous   articles.   For   example,   a
B727 aircraft was flying at 35,000 feet with 68 passengers on
board. The flight attendants suddenly smelled a burning odour
and some smoke at the rear side of the passenger cabin. One
airhostess went with the fire extinguisher and found that the
flames were emerging from a passenger baggage kept below his
seat. With great difficulty the fire could be controlled which had
already spread all around by that time.
UNIT 3 Transportation of Hazardous Material 59

The   pilot   informed   Air   Traffic   control   and   made   an Notes

emergency landing at the airport. Fortunately there was no __________________
injury to any passenger. However the aircraft had suffered __________________
significant fire damage in and around the area of fire. __________________
During investigation it was found that the fire has emerged
from the handbag of a passenger that contained a book of
matchboxes which ignited due to friction and vibration due
to presence of a container of hair spray perfume and other
miscellaneous   items   that   were   found   to   be   highly
inflammable during tests.
In another accident a Pan Am B707 cargo aircraft crashed
during   emergency   landing   at   Boston   in   December   1973
killing   all   the   three   crew   members   who   were   the   only
occupants   of   the   aircraft.   Investigations   revealed   that
incorrectly   packed   nitric   acid   had   spilled   reacted   with   the
sawdust packing and the resultant toxic fumes affected the
crew performance. The accident was attributed to carriage of
dangerous goods.
Similarly in case of another cargo flight in Canada the crew
smelled   a   strong   nauseating   odour   twenty   minutes   after
departure. The crew members decided to return and make
an   emergency   landing   after   wearing   protective   oxygen
masks. On ground the officials found a 10­litre container of
Ethyl   Mercaptan  a chemical  used  for  mixing  with  cooking
gas for making it smelly (Normally the cooking gases which
consist   of   Butane   and   Propane   is   odourless   however   it   is
made odoury by artificial means so as to make its presence
felt   during   leakage   to   prevent   kitchen   accidents).   The
material   (Ethyl   Marcaptan)   had   leaked   and   had   been
absorbed by the packing in the outer container. Thus a near
mishap was averted.
On 12 April 89 a powerful blast damaged some portion of the
airport   building   at   Calcutta   International   Airport.   The
explosion occurred a few minutes before the Calcutta­Mumbai
(Bombay)   flight   was   to   take­off.   The   investigating   officer
located   the   source   of   explosion   in   a   package   brought   by   a
private   courier   service   from   Vishakhapatnam   that   was   to   be
dispatched to Mumbai for its final destination to Cochin
60 Aviation Safety and Security Management

Notes (Kerala). Had the package containing explosive materials not
__________________ exploded   while  it   was   in  the  airport   lounge   it  would  have
__________________ been   loaded   on   to   the   Calcutta­Mumbai   (Bombay)   flight.
__________________ Under those circumstances there was every possibility of it
__________________ exploding   in   the   aircraft   after   it   had   taken   off   leading   to
__________________ disastrous consequences) as nearly 230 passengers were to
__________________ travel by that flight.
__________________ Investigation   revealed   that   the   explosive   material,   locally
__________________ known as "rocket parachute", normally used by fisherman as
__________________ a danger signal in case of an emergency at the mid sea. It is
__________________ likely that the parcel might not have been intended for the
sabotage  (perhaps   it  was  meant  for  the  genuine need  of  a
local fisherman) however the danger involved in such a risky
transportation was easily evident.
As a matter of fact International Civil Aviation Organisation
has   issued   ICAO   Annex­18   to   the   Convention   on
International   Civil   Aviation   (The   Safe   Transport   of
Dangerous   Goods   by   Air)   containing   Standards   and
Recommended Practices for the Transportation of Dangerous
Goods by Air. All contracting States are required to follow
these instructions, which in turn would result into carriage
of dangerous goods in a safe and secured manner that will
not pose any danger to passengers, aircraft and the crew.
Govt.   of   India   has   also   formulated   rules   for   carriage   of
Hazardous   material   vide   "The   Aircraft   (Carriage   of
Dangerous Goods) Rules, 2003". The relevant extracts from
these rules are given below.

0 Every   Operator   (a   person,   organisation   or   enterprise

engaged   in   or   offering   to   engage   in   an   aircraft
operation)   is   required   to   be   certified   by   the   DGCA   to
carry the dangerous goods.
1 These dangerous goods will be required to be carried in
accordance   with   the   requirements   specified   in   the
Technical Instructions issued by the International Civil
Aviation Organisation (ICAO Doc 9284);
UNIT 3 Transportation of Hazardous Material 61

0 A permission in writing is required to be granted by the Notes
Central   Government   for   carriage   of   explosives   and __________________

radioactive material. __________________
1 In the event of an extreme emergency such as national
or international crisis or natural calamities or otherwise
necessitating   transportation   by   air   of   such   goods   and
full compliance with the requirements specified in the
Technical Instructions may adversely affect the public
interest, exemption may be granted for such carriage by
DGCA/ Central Government.
2 The   articles   and   substances   classified   as   dangerous
goods but otherwise required to be on board the aircraft
in   accordance   with   the   pertinent   airworthiness
requirements   and   the   operating   regulations,   or   for
specialised purposes are also exempted
3 It   is   the   duty   of   the   shipper,   the   operator   and   every
person   concerned   with   packing,   marking,   labelling,
acceptance,   handling,   loading,   unloading,   storage,
transportation or any other process connected directly
or indirectly with carriage of such dangerous goods, to
take all precautions to avoid danger to the aircraft or to
the persons on board or to any other person or property.

4 In case of requirement, the Government may cause the
dangerous   goods   in   question   to   be   placed   under   his
custody pending detailed examination of the nature of
the goods or pending a decision regarding the action, if
any, to be taken in the matter.

5 The dangerous goods shall be classified in accordance 
with the provisions of the Technical Instructions.

6 Dangerous   goods   will   be   required   to   be   packed   in

accordance   with   the   requirements   specified   in   the
Technical Instructions
62 Aviation Safety and Security Management

Notes 0 It   shall   be   ensured   that   no   harmful   quantity   of   a

__________________ dangerous   substance   adheres   to   the   outside   of   the
__________________ packagings.
__________________ 1 Packagings   shall   be   of   good   quality   and   shall   be
__________________ constructed and securely closed so as to prevent leakage
__________________ which might be caused in normal conditions of transport
__________________ by changes in temperature, humidity or pressure, or by
__________________ vibration.
__________________ 2 The packagings  shall be suitable for the contents and
__________________ the packagings in direct contact with dangerous goods
__________________ shall be resistant to any chemical or other action of such
goods. The Packagings shall be tested, should meet the
material   and   construction   specifications   there   should
not be any leakage
3 No packaging used for the transport of the dangerous
goods shall be re­used unless inspected and found free
from corrosion or other damage
4 Provided that where it is not possible to properly clean
a packaging already used for the transport of dangerous
goods, then such an uncleaned empty packaging shall
be transported by air following the same procedure as
laid down for the transport of the dangerous goods for
which such packagings has been used earlier.

5 The   dangerous   goods   are   required   to   be   labelled   and

marked in accordance with the requirements specified in
the Technical Instructions. It should be marked with the
proper shipping name of its contents and, when assigned,
the UN number (Four­digit number assigned by the United
Nations   Committee   of   Experts   on   the   Transport   of
Dangerous   Goods   to  identify   a   substance   or  a   particular
group of substances) and such other markings as may be
specified in those Instructions. For marking, the languages
of the State of origin and English shall also be used.

6 No   shipper   or   his   agent   shall   offer   any   package   or

overpack (An enclosure used by a single shipper to
UNIT 3 Transportation of Hazardous Material 63

contain one or more packages and to form one handling Notes
unit   for   convenience   of   handling   and   stowage)   of __________________
dangerous   goods   for   transport   by   air   unless   he   has __________________
ensured that such dangerous goods are not forbidden for __________________
transport   by   air   and   are   properly   classified,   packed, __________________
marked   and   labelled   in   accordance   with   the __________________
requirements specified in the Technical Instructions. He __________________
must also complete, sign and provided to the operator a __________________
dangerous goods transport document, as specified in the __________________
Technical Instructions. __________________

0 The operator shall accept dangerous goods for transport
by air, subject to duly certified, labelled, marked, as per
the Technical Instructions
1 The package, overpack or freight container containing
the dangerous goods should be inspected for evidence of
leakage or damage before loading.
2 A unit load device (any type of freight container, aircraft
container or aircraft pallet with a net, but excluding an
overpack, designed for loading on an aircraft) shall not
be loaded aboard an aircraft unless the device has been
inspected and found free from any evidence of leakage
from,   or   damage   to,   any   dangerous   goods   contained
3 Where   any   package   of   dangerous   goods   loaded   on   an
aircraft appears to be damaged or leaking, the operator
shall remove such package from the aircraft, or arrange
for   its   removal   by   an   appropriate   authority   or
organisation, as the case may be, and thereafter shall
ensure that  the remainder of  the consignment  is  in a
proper condition for transport by air and that no other
package has been contaminated.
4 If  evidence  of  any damage  or  leakage  upon  unloading
from the aircraft or unit load device and if evidence of
damage   or   leakage   is   found,   the   area   where   the
dangerous goods or unit load device were stowed on the
aircraft shall be inspected for damage or contamination.
64 Aviation Safety and Security Management

Notes 0 Dangerous   goods   should   not   be   carried   in   an   aircraft

__________________ cabin occupied by passengers or on the flight deck of an
__________________ aircraft.
1 Any hazardous contamination found on an aircraft as a
result of leakage or damage to dangerous goods shall be
removed without delay.
__________________ 2 An aircraft which has been contaminated by radioactive
materials shall immediately be taken out of service and
not returned to service until the radiation level at any
accessible surface and the non­fixed contamination are
not   more   than   the   values   specified   in   the   Technical
3 Packages containing dangerous goods which might react
dangerously with one another shall not be stowed on an
aircraft next to each other or in a position that would
allow interaction between them in the event of leakage.
4 Packages   of   toxic   and   infectious   substances   shall   be
stowed   on   an   aircraft   in   accordance   with   the
requirements specified in the Technical Instructions.
5 Packages of radioactive materials shall be stowed on an
aircraft   so   that   they   are   separated   from   persons,   live
animals and undeveloped film, in accordance with the
requirements specified in the Technical Instructions.
6 When   dangerous   goods   are   loaded   in   an   aircraft,   the
operator shall protect the dangerous  goods from being
damaged, and shall secure such goods in the aircraft in
such a manner that will prevent any movement in flight
which would change the orientation of the packages. For
packages containing radioactive materials, the securing
shall   be   adequate   to   ensure   that   the   separation
requirements at all times.
7 Except   as   otherwise   provided   in   the   Technical
Instructions,  packages  of  dangerous  goods  bearing the
"Cargo   aircraft   only"   label   shall   be   loaded   in   such   a
manner that a crew member or other authorised person
can   see,   handle   and,   where   size   and   weight   permit,
separate such packages from other cargo in flight.
UNIT 3 Transportation of Hazardous Material 65

0 The operator shall provide information in writing to the
pilot­in­command   about   the   dangerous   goods   before
departure of the aircraft.
1 The   operator   shall   provide   such   information   in   the __________________
Operations   Manual   so   as   to   enable   the   flight   crew __________________
member to carry out their responsibilities with regard __________________
to   the   transport   of   dangerous   goods   and   shall   also __________________
provide instructions as to the action to be taken in the __________________
event of emergencies arising involving dangerous goods. __________________
2 Operators shall ensure that information is promulgated
in such a manner that passengers are warned as to the
types   of   goods   which   they   are   forbidden   from
transporting   aboard   an   aircraft   as   provided   in   the
Technical Instructions.
3 Operators,  shippers or other  organisations  involved  in
the   transport   of   dangerous   goods   by   air   shall   provide
such information to their personnel so as to enable them
to   carry   out   their   responsibilities   with   regard   to   the
transport   of   dangerous   goods   and   shall   also   provide
instructions as to the action to be taken in the event of
emergencies arising involving dangerous goods.
4 If an in­flight emergency occurs, the pilot­in­command
shall,   as   soon   as   the   situation   permits,   inform   the
appropriate air traffic services unit, for the information
of   aerodrome   authorities,   of   any   dangerous   goods   on
board   the   aircraft,   as   provided   in   the   Technical
5 In the event of an aircraft accident or a serious incident
where dangerous goods carried as cargo are involved, the
operator of the aircraft shall provide information, without
delay, to the emergency services responding to the accident
or   serious   incident,   and,   as   soon   as   possible,   to   the
appropriate authorities of the State of the operator and the
State  in  which  the  accident or  serious  incident  occurred,
about   the   dangerous   goods   on   board,   as   shown   on   the
written information to the pilot­in­command.
66 Aviation Safety and Security Management

Notes 0 In the event of an aircraft incident, the operator of an
__________________ aircraft carrying dangerous goods as cargo shall, upon
__________________ request,   provide   information,   without   delay,   to   the
__________________ emergency services responding to the incident and also
__________________ to the appropriate authority of the State in which the
__________________ incident occurred, about the dangerous goods on board,
__________________ as   shown   on   the   written   information   to   the   pilot­in
__________________ command.
1 The   officials   of   DGCA,   or   Government   may,   at   any
reasonable   time,   are   authorized   to   enter   any   place   to
which   access   is   necessary   and   inspect   any   services,
equipment, documents and records.

In   the   event   of   a   dangerous   goods   accident   or   dangerous

goods incident, as the case may be, the pilot­in­command of
the   aircraft   and   the   operator   of   the   aircraft   or   of   the
aerodrome,   as   the   case   may   be,   shall   submit   a   report   in
writing to the Director General on such accident or incident.
The   report   shall,   in   addition   to   any   other   relevant
information, contain the following information, namely: ­
0 the type, nationality and registration marks of aircraft;

1 the name of the owner, operator and hirer of the aircraft;

2 the name of the pilot­in­command of the aircraft;

3 the nature and purpose of the flight;

4 the date and time of the dangerous goods accident or 
5 the place where the accident occurred:

6 the last point of departure and the next point of 
intended landing of the aircraft;
7 the details of the dangerous goods on board the aircraft
viz. their proper shipping name, UN number, quantity
UNIT 3 Transportation of Hazardous Material 67

0 the known cause of the dangerous goods accident or  Notes

incident; __________________
1 details of other cargo on board the aircraft;
2 the extent of known damage to the aircraft, other  __________________
property and persons on board the aircraft; __________________
3 any other information required to be included by the 
4 On receipt of such report, the DGCA may, if considered __________________
necessary,   order   an   investigation   to   determine   the __________________
causes of such accident or incident and take preventive
measures   to   avoid   re­occurrence   of   such   accident   or

5 All persons engaged in any manner in the transport of
dangerous   goods   like   shippers,   operators,   ground
handling agencies, freight forwarders, security agencies
etc.   shall   undergo   proper   training   in   accordance   with
the Technical Instructions.
6 Training   shall   be   provided   in   the   requirements
commensurate with the responsibilities of the personnel
being  trained and such training shall include, general
familiarization training, function, safety training.
7 Training   shall   be   provided   or   verified   upon   the
employment   of   a   person   in   a   position   involving   the
transport   of   dangerous   goods   by   air   and   recurrent
training shall take place within twenty­four months of
previous training to ensure knowledge is current.
8 The   training   programmes   established   and   maintained
by or on behalf of operators shall be subjected to review
and approval by Government/ DGCA.

9 The DGCA has issued Aeronautical Information Circulars
(AICs No. AIC 03 of 2004 Dated 24th Feb 2004) and Civil
Aviation Requirement (CAR), Section 3 ­ Air
68 Aviation Safety and Security Management

Notes Transport   Series   'L'   Part   III   dated   4th   October   2006,
__________________ containing   the   provisions   of   the   requirement   of
__________________ transport   and   training   on   the   carriage   of   dangerous
__________________ goods by air, and Air Safety Circular No. 2 of 1962 and 2
__________________ of   1989   dated   13th   January,   1989   containing   the
__________________ Instructions   regarding   handling   of   Radio   active
__________________ materials   and   aircraft   emergencies   containing   Radio
__________________ active   materials.   These   circulars   are   given   in   the
__________________ Appendix.
0 The   Central   Government   may,   by   general   or   special
order in writing, exempt any aircraft or class of aircraft
or any person or class of persons from the operation of
these rules,  either  wholly  or  partially,  subject  to  such
conditions, if any, as may be specified in that order.

1 Where the Director­General, after giving an opportunity
of   being   heard,   is   satisfied   that   any   person   has
contravened or failed to comply with the provisions of
these   rules,   he   may,   for   reasons   to   be   recorded   in
writing,   cancel   or   suspend   any   licence,   certificate   or
approval issued under these rules or under the Aircraft
Rules, 1937.

Any unaccompanied baggage required to be carried by air is
sometimes   subjected  to  undergo   waiting   through   a   certain
period   of   time   known   as   "Cooling   period".   Thereafter   the
baggage is loaded on board the aircraft. This is done with the
intensions to exclude the possibility of any mishap to take
place on ground instead of within the flight.

Action Plans for an Emergency involving Radioactive
There are special requirements as regards to transportation of
radioactive consignments by air formulated in consultation with
Bhabha Atomic Research Centre (BARC), Mumbai.
UNIT 3 Transportation of Hazardous Material 69

These procedures have been promulgated by DGCA Vide Air Notes
Safety Circular no. 02 of 1962. In addition, DGCA has also __________________
circulated   another   circular   (Air   Safety   Circular   no.   02   of __________________
1989) giving action to be taken in case the aircraft carrying __________________
radioactive material meets with an emergency. __________________

The   following   extracts   from   ICAO   Aircraft   accident __________________

Investigation   manual   are   forwarded   for   information   of
"Radioactive   isotopes   are   being   carried   as   freight   with
increasing   frequency   in   transport   aircraft   and   the
investigator   should   be   on   guard   against   the   possibility   of
such   material   being   present   in   the   wreckage.   A   routine
preliminary check of freight manifest or an enquiry to Air
Carrier's agent will resolve the question. If it is established
that the radioactive materials were being carried, steps must
be taken immediately to make sure that they are removed to
a   place   of   safety   before   they   can   cause   harm   to   persons
working in close proximity to the wreckage.
Radioactivity can not be detected by the human senses but
by   means   of   a   special   instrument   known   as   a   "Geiger
Counter". The radiation can not be stopped or slowed down
by any known means but its distance can be reduced to a
harmless level by distance or by suitable screening.
A radioactive source, if spilled or scattered may cling to any
object   including   clothing,   food   and   the   human   body   with
obviously harmful results. The small size of an isotope likely
to be carried in an aircraft, the strength of its package and
the shielding incorporated in it, minimize the possibility of
damage   even   when   subjected   to   the   impact   of   an   aircraft
accident. As long as the package and shielding remain intact
there is likely to be little danger from the radiation. Where
fire follows the impact, however, the package and shielding
may   be   damaged.   The   radioactive   isotopes   may   then   be
changed into gaseous form by heat, in which the radiation
may   spread   in   the   downwind   direction.   Splashing   of   the
radioactive   material   with   water   would,   in   such
circumstances,   increase   the   risk   of   radiation   spreading
throughout the wreckage.
70 Aviation Safety and Security Management

Notes In   case   where   an   accident   resulting   in   fire   occurs   to   an

__________________ aircraft carrying radioactive isotopes, no examination of the
__________________ wreckage should be commenced until the degree of radiation
__________________ has   been   checked   by   an   expert.   (Of   course   in   India   the
__________________ Expert has to be a representative from BARC).
__________________ 0 ICAO Annex­18 to the Convention on International Civil
__________________ Aviation­The Safe Transport of Dangerous Goods by Air
1 Technical Instructions for the Safe Transport of 
Dangerous Goods by Air (ICAO Doc 9284).
2 DGCA Website also

3 DGCA Air Safety Circular no. 02 of 1962

4 DGCA Air Safety Circular no. 02 of 1989

5 Indian Aircraft Manual

General Questions
0 How ICAO defines 'Dangerous Goods'

1 Give an example of the case history an aircraft accident
caused due to presence of some kind of dangerous goods
on board or due to some bomb or terrorist attack, please
give the causes of the accident with possible methods of
prevention and your views on avoiding such accidents.
2 What is the meant by 'cooling period' in respect of 
unaccompanied baggage.
3 What actions are required to be taken in the event of an
aircraft carrying Radio Active material  meets with an

Objective Type of questions

0 The   following   item   is   considered   as   a   Hazardous
material and can not be carried on board the aircraft as
hand baggage;
UNIT 3 Transportation of Hazardous Material 71

0 Acid Battery Notes
1 Shaving Cream
2 Double edged (Twin Blade) Safety Razor __________________
3 Camera Equipment with Battery
0 Hazardous   cargo   should   be   carried   as   per   the __________________
instructions contained in the ICAO document known as __________________
­­­­ __________________

1 For carriage of Dangerous cargo, the airline operator  __________________
must be certified by ­­­
2 State True or False;

0 "Aerosols   containing   flammable   material   under

pressure   (e.g.   Hair   sprays   and   paints),   CO2
Cartridges, medical Oxygen, Butane fuel, Chemical
Mace,   tear  Gas,   scuba   tanks,   propane   tanks,   self
inflating   rafts   etc.   come   under   then   category   of
hazardous materials."­ True/False
1 "Bacterial   cultures,   viral   organism,   medical
laboratory   specimens   and   such   other   hospital
wastes   or   Infectious   Material   are   categorised   as
'hazardous materials.'­ True/False"
2 "The  dangerous  goods  are  required to  be labelled
and marked in accordance with the requirements
specified   in   the   Technical   Instructions,   with   the
proper shipping name of its contents and, the UN
number etc. ­ True/False"
3 "The operator shall provide such information in the
Operations Manual so as to enable the flight crew
member   to   carry   out   their   responsibilities   with
regard   to   the   transport   of   dangerous   goods   and
shall also provide instructions as to the action to be
taken in the event of emergencies arising involving
dangerous goods. ­ True/False"
72 Aviation Safety and Security Management

Notes Answers to Objective Type of questions

0 Acid Battery
__________________ 1 "Technical Instructions for the safe transport of 
__________________ Dangerous Goods by Air (ICAO Doc 9284)"
__________________ 3 State True or False;
__________________ 0 True
1 True

2 True

3 True
UNIT 4 Administrative Practices & Procedures 73

Unit 4 Notes
Administrative Practices __________________

& Procedures __________________

National Regulations and Requirments
The operational and functional control of aviation in India
rests   with   a   number   of   organizations;   some   of   them   are
Government   bodies,   some   Public   Sector   Undertakings   and
some   private   bodies.   The   Regulatory   functions   and   policy
matters for almost total aviation sector, however rests with
the DGCA and BCAS under the overall control of Ministry of
Civil Aviation.
The addresses of the designated authorities concerned with
facilitation of International Air Navigation are as follows:­­­


Technical Centre,

Opp. Safdarjung Airport

New Delhi ­ 110 003.

TEL : 91 ­ 11 ­24622495

FAX : 91 ­ 11 ­ 24629221

AFS : VIDDYAYG, email­

Rajiv Gandhi Bhawan

Safdarjung Airport

New Delhi ­ 110 003.

74 Aviation Safety and Security Management

Notes 91 ­ 11 ­ 24693160 / 24632930
FAX : 91 ­ 11 – 24632990
__________________ E. MAIL :,chairman@airport
__________________ 2. METEOROLOGY
Director General of Meteorology
__________________ India Meteorology Department,
Mausam Bhawan, Lodhi Road

New Delhi ­ 110 003.

TEL : 91 ­ 11 ­ 24619415 ­ 19,

FAX : 91 ­ 11 ­ 24699216


Commissioner of Customs (Gen)

New Custom House

I.G.I. Airport

New Delhi 110 037

TEL : 91 ­ 11 ­ 25652970 / 25652088

FAX : 91 ­ 11 – 25653495

AFS : Nil

Foreign Regional Registration Office,

Hans Bhawan,

Bahadur Shah Zafar Marg,

New Delhi

91 ­ 11 ­3319489(Off)/ 25652386(Airport)
UNIT 4 Administrative Practices & Procedures 75

91 ­ 11 ­ 3755183(Off)/25696075(Airport) Notes
AFS : Nil

5. HEALTH Airport Health Officer, __________________

Airport health Organisation,
IGI Airport, __________________
New Delhi ­ 110 010
Tel: 91 ­ 11 – 25665033 __________________
AFS : Nil


Airports Authority of India

Rajiv Gandhi Bhawan

Safdarjung Airport

New Delhi ­ 110 003.

TEL : 91 ­ 11 – 24693160

FAX : 91 ­ 11 – 24629221

E. MAIL: ,


Directorate of Plant Protection

Quarantine and Storage

NH4, Faridabad­121 001.


TEL : 91 ­ 129. 5413985/5416349

FAX : 91 ­ 129 ­ 5416349

76 Aviation Safety and Security Management

Notes Most   of   the   Administrative   Practices   &   Operational

__________________ Procedures pertaining to aviation in our country that have
__________________ been designed and promulgated & implemented, are based
__________________ on   the   Standards   and   Recommended   Practices   of
__________________ International   Civil   Aviation   Organization   (ICAO).   The
__________________ document containing all the rules and regulations pertaining
__________________ to Civil Aviation in India is known as “Aircraft Manual” and
__________________ is issued by DGCA.
__________________ Ministry   of   Civil   Aviation,   located   at   Rajiv   Gandhi   Bhawan,
Safdarjung   Airport,   New   Delhi   110003,   India,   headed   by
Hon’ble   Minister   of   Civil   Aviation   (Presently   Hon’ble   Shri
Praful   Patel),   is   the   nodal   Ministry   responsible   for   the
formulation   of   national   policies   and   programmes   for
development and regulation of Civil Aviation and for devising
and   implementing   schemes   for   the   orderly   growth   and
expansion   of   civil   air   transport.   Its   functions   also   extend   to
overseeing airport facilities, air traffic services and carriage of
passengers   and   goods   by   air.   The   Ministry   also   administers
implementation   of   the   Aircraft   Act,   1934   and   is
administratively   responsible   for   the   Commission   of   Railways
Safety, a statutory body set up under The Indian Railways Act.
It has under its purview the following organisations:

0 Attached / Autonomous Organisations
0 Directorate General of Civil Aviation
1 Bureau of Civil Aviation Security
2 Commission of Railway Safety
3 Indira Gandhi Rashtriya Uran Akademi

1 Air Carriers
0 Air India Ltd.
1 Indian Airlines Ltd.
2 Pawan Hans Helicopters Ltd.

2 Airports
0 Airports Authority of India
UNIT 4 Administrative Practices & Procedures 77

The Secretary is the head of the Ministry and is assisted by Notes
one   Additional   Secretary   &   Financial   Adviser,   three   Joint __________________
Secretaries, seven officers of the level of Director / Deputy __________________
Secretary / Financial Controller and ten officers of the level __________________
of Under Secretary. __________________

Functions   of   the   Ministry   are   distributed   under   sixteen __________________

Sections and one Pay & Account Office. In addition to framing __________________

policies,   the   Ministry   provides   guidance   to   the   organisations __________________

listed above in the implementation of policy guidelines and also __________________

monitors   and   evaluates   their   interface   with   Parliament   and __________________

other statutory bodies. It also supervises implementation by the __________________

organisations   of   special   programmes   of   Government,

particularly those intended for weaker sections.


DGCA is the regulatory authority for all matters pertaining
to   Civil   Aviation   in   India   and   consists   of   a   number   of
Directorates   like   Administration   Directorate,   Aerodrome
Standards Directorate, Air Safety Directorate, Air Transport
Directorate,   Airworthiness   Directorate,   Flight   Inspection
Directorate, Information & Regulation Directorate, Research
&   Development   Directorate,   and   Training   &   Licensing
Directorate. It carries out the following functions;
0 Registration of civil aircraft

1 Formulation   of   standards   of   airworthiness   for   civil

aircraft registered in India and grant of certificates of
airworthiness to such aircraft
2 Licensing of pilots, aircraft maintenance engineers and
flight   engineers,   and   conducting   examinations   and
checks for that purpose
3 Licensing of air traffic controllers

4 Certification of aerodromes and CNS/ATM facilities

5 Maintaining a check on the  proficiency of flight  crew,

and  also  of   other operational  personnel  such  as  flight
dispatchers and cabin crew
78 Aviation Safety and Security Management

Notes 0 Granting   of   Air   Operator’s   Certificates   to   Indian

__________________ carriers   and   regulation   of   air   transport   services
__________________ operating   to/   from/within/over   India   by   Indian   and
__________________ foreign operators, including clearance of scheduled and
__________________ non­scheduled flights of such operators
__________________ 1 Conducting   investigation   into   accidents/incidents   and
__________________ taking   accident   prevention   measures   including
formulation   of   implementation   of   Safety   Aviation
Management Programmes
2 Carrying   out   amendments   to   the   Aircraft   Act,   the
Aircraft Rules and the Civil Aviation Requirements for
complying with the amendments to ICAO Annexes, and
initiating proposals for amendment to any other Act or
for   passing   a   new   Act   in   order   to   give   effect   to   an
international Convention or amendment to an existing
3 Coordination   of   ICAO   matters   with   all   agencies   and
sending   replies   to   State   Letters,   and   taking   all
necessary   action   arising   out   of   the   Universal   Safety
Oversight Audit Programme (USOAP) of ICAO
4 Supervision   of   the   institutes/clubs/schools   engaged   in
flying   training   including   simulator   training,   AME
training   or   any   other   training   related   with   aviation,
with a view to ensuring a high quality of training
5 Granting approval to aircraft maintenance, repair and
manufacturing   organizations   and   their   continued
6 To   act   as   a   nodal   agency   for   implementing   Annex   9
provisions in India and for coordinating matters relating
to   facilitation   at   Indian   airports   including   holding
meetings of the National Facilitation Committee
7 Rendering   advice   to   the   Government   on   matters
relating to air transport including bilateral air services
agreements,   on   ICAO   matters   and   generally   on   all
technical matters relating to civil aviation, and to act as
an overall regulatory and developmental body for civil
aviation in the country;
UNIT 4 Administrative Practices & Procedures 79

0 Coordination at national level for flexi­use of air space Notes
by civil and military air traffic agencies and interaction __________________
with ICAO for provision of more air routes for civil use __________________
through Indian air space; __________________
1 Keeping a check on aircraft noise and engine emissions
in   accordance   with   ICAO   Annex   16   and   collaborating
with   the   environmental   authorities   in   this   matter,   if
2 Promoting indigenous design and manufacture of aircraft 
and aircraft components by acting as a catalytic agent; __________________

3 Approving   training   programmes   of   operators   for

carriage of dangerous goods, issuing authorizations for
carriage of dangerous goods, etc.


The Airports Authority of India (AAI) was constituted by an
Act of Parliament and came into being on 1st April 1995 by
merging  the  International   Airports  Authority   of   India   and
the National Airports Authority with a view to accelerate the
integrated development, expansion and modernization of the
operational, terminal and cargo facilities at the airports in
the country conforming to international standards.

The   merger   brought   into   existence   a   single   Organization

entrusted   with   the   responsibility   of   creating,   upgrading,
maintaining   and   managing   Civil   Aviation   infrastructure
both on the ground and air space in the country.
AAI   at   present   manages   128   airports   including   15
International airports (Out of that  two airports  have been
privatized),   8   Custom   airports,   25   Civil   Enclaves   and   80
Domestic airports. AAI provides air navigation services over
2.8   million   square   nautical   miles   of   airspace.   During   the
year 2002­03, AAI at various airports handled about 5 lakhs
aircraft   movements   (4   lakhs   domestic   and   1   lakh
international);40   million   passengers   (26   million   domestic
and 14 million international) and 9 lakh tonnes of cargo (3
lakh domestic and 6 lakh international).
80 Aviation Safety and Security Management

Notes Broadly the two main functions are;
0 Development & Management of Airport Infrastructure
__________________ 1 Air Traffic Management
Other functions are;
__________________ 0 management of the entire Indian airspace including 
__________________ oceanic Airspace
__________________ 1 Provision of Communication, Navigational and 
Surveillance aids
2 Design, development, operation and maintenance of 
passenger terminals.
3 Operation, maintenance and up­gradation of operational
areas viz., runways, aprons, taxiways etc.
4 Development and management of cargo terminals.

Most of the civil airports belong to AAI (Airports Authority of
India) and are headed and controlled by an officer of AAI.
Thus at an airport, all the administrative functions such as
allotment of land and space, payment of RNFC & Landing
Charges,   security   functions,   Bird   Hazard   controls,   etc   are
entrusted with AAI.


The Bureau of Civil Aviation Security was initially set up as
a Cell in the Directorate General of Civil Aviation (DGCA) in
January   1978   on   the   recommendation   of   the   Pande
Committee constituted  in  the  wake  of  the  hijacking  of  the
Indian Airlines flight on 10th September, 1976. The role of
the   Cell   was   to   coordinate,   monitor,   inspect   and   train
personnel in Civil Aviation Security matters.
Subsequently, the BCAS was reorganized into an independent
department   on   1st   April,   1987   under   the   Ministry   of   Civil
Aviation as a sequel to the Kanishka Tragedy in June 1985. The
main   responsibility   of   BCAS   are   to   lay   down   standards   and
measures in respect of security of civil flights at
UNIT 4 Administrative Practices & Procedures 81

International and domestic airports in India, in accordance Notes
with Annex  17 to Chicago Convention of ICAO  for airport __________________
operators,   airlines   operators,   and   their   security   agencies __________________
responsible   for   implementing   Aviation   Security   (AVSEC) __________________
measures. __________________
AIR INDIA & INDIAN __________________
Air India and Indian (Earlier known as Indian Airlines) are the __________________
two   national   airlines   in   our   country,   which   operate   flights __________________
within   and   outside   the   country.   In   July   2007,   these   airlines __________________
have been merged and are being known as “Air India”. __________________


There are a large number of private airlines both small &
large   and   many   low   cost   carriers   like   Jet   Airways,   Air
Sahara (Now merged and known as “Jet Lite”), Kingfisher
Airlines,   Paramount   airways,   Indigo,   Jagsons   airlines,   Air
Deccan (Now merged with Kingfisher), Go Air, Spicejet, etc.
in our country.
Each   of   the   above   airlines   have   framed   their   own   set   of
administrative practices and rules and regulations. However
by   and   large   most   of   these   regulations   have   been   framed
based on the overall policy and guide lines issued by ICAO
(International   Civil   Aviation   Organization)   and   IATA
(International Airline Transport Association).



1.1  International flights into, from or over Indian territory
are   required   to   be   subjected   to   the   current   Indian
regulations relating to civil aviation and other national laws
relating to immigrations, customs, passport and health etc.
These   regulations   correspond   in   all   essentials   to   the
Standards and Recommended Practices contained in Annex
9 to the Convention on International Civil Aviation.
82 Aviation Safety and Security Management

Notes Some of the regulations are as follows;
0 The Aircraft Act, 1934 (22 of 1934)
__________________ 1 The Aircraft Rules, 1937
__________________ 2 The Aircraft (Public Health) Rules, 1954
3 The Indian Aircraft Rules, 1920 (Part IX)
__________________ 4 The Carriage by Air Act, 1972 (69 of 1972)
5 The Tokyo Convention Act, 1975 (20 of 1975)

6 The Indian Wireless Telegraphy (Foreign Aircraft) 
Rules, 1973.

7 The Anti­Hijacking Act, 1982 (65 of 1982)

8 The Suppression of Unlawful Acts Against Safety of 
Civil Aviation Act, 1982 (66 of 1982)

9 The   Annexes   to   the   Convention   on   International   Civil

Aviation   and   ICAO   procedures   adopted   with   such
reservations as may be necessary and brought into force from
time to time by notification in NOTAMs (NOTice to AirMen),
Aeronautical Information Circulars and AIP India.


Additionally   every   aircraft   entering   or   leaving   India   must

comply   with   regulations   relating   to   immigration,   customs,
quarantine and health as laid down by the Government from
time to time.
1.2 Aircraft flying into or departing from Indian Territory shall
make   their   first   landing   at,   or   final   departure   from,   an
International   Aerodrome.   Aircraft   may   be   permitted   to
land or depart from any notified customs aerodrome.

1.3  International flights into, from or over Indian Territory
are required to follow the established international ATS
routes. International flights may be permitted by ATC
to operate on domestic ATS routes provided there is no
established international ATS route.
UNIT 4 Administrative Practices & Procedures 83

1.4  International   flights   are   not   permitted   to   pick   up Notes

passengers/load   at   any   place   in  India   and   disembark/ __________________

discharge at any other place in India. __________________
2. SCHEDULED FLIGHTS __________________
2.1 General
2.1.1 For regular international scheduled flights operated by
foreign airline into, in transit or across India, the following
requirements must be met:
0 State   of   the   airline   and   India   must   be   a   party   to   a __________________
multilateral   or   bilateral   International   Air   Transport
Services Agreement; and
1 The airline must be eligible to make the flights under
the provision of a bilateral or multilateral agreement to
which the state of the airline and India are contracting
parties and must have a permit to operate in to or in
transit across India.
2 The schedule of the flights must have a prior approval 
of the Director General Of Civil Aviation (DGCA).
It   will   be   responsibility   of   the   operator   to   ensure   that   the
flight   schedule   approved   by   DGCA   is   submitted   to   the
respective   Flight   Information   Centre   and   Aerodrome   of
intended landing before the commencement of the schedule.
3 It  is  advisable  for the pilot­in­command  to  carry with
him   DGCA’s   Approval   Reference   No.   and   quote   the
same if required to do so by the ATC authorities.

2.2 Requirement for grant of Operating Permit

The airline shall, in accordance with the provisions  of  the

Air   Transport   Services   Agreement,   formally   designated
either  through diplomatic channels  or  by  the  Aeronautical
Authorities of the country whose Government has concluded
the agreement with the Government of India.
2.2.2 Detailed requirements for grant of a permit to a foreign
airline for commencement of scheduled international air
84 Aviation Safety and Security Management

Notes services are given in Aeronautical Information Circular (AIC)
__________________ No. 3 of 2000 which inter­alia includes:
0 The airline shall submit all documents mentioned in the
said   AIC   at   least   60   days   in   advance   prior   to   the
proposed date of commencement of air services for the
issuance of the operating permission.
1 A   detailed   security   programme   in   accordance   with   the
provisions   contained   in   Annex   17   to   the   convention   on
International Civil Aviation and the instructions issued by
Bureau   of   Civil   Aviation   Security   (BCAS)   shall   be   filed
with   the   Commissioner   of   Security   (Civil   Aviation),
Janpath Bhavan, ‘A’ Wing, 3rd floor, Janpath, New Delhi ­
110001   for   approval.   A   copy   of   the   approval   granted   by
BCAS shall be furnished to the office of the DGCA.

2.2.3   The   airline   shall   coordinate   allocation   of   slots   with

Airports Authority of India, Operational Complex, Gurgaon
Road, New Delhi ­ 110037.
2.2.4   Applications   for   obtaining   approval   for   operating
scheduled flights shall be filed by the designated airline, at
least 30 days  prior to the commencement of the scheduled
flights,   with   the   Director   General   of   Civil   Aviation
(Attention:   Director   of   Information   and   Regulations),
Opposite Safadarjung Airport, New Delhi­110003.

2.3 Documentary requirements for clearance of aircraft

2.3.1   It   is   necessary   that   the   under   mentioned   aircraft
document be submitted by the airline operators for clearance
on entry and departure of their aircraft to and from India.
All documents listed below must follow the format acceptable
to the public authorities in India. For details, reference may
be   made   to   the   relevant   appendices   to   ICAO   Annex   9
together with the differences as notified by India in respect
of the concerned provisions of ICAO Annex 9.
UNIT 4 Administrative Practices & Procedures 85

2.3.2 Aircraft Document Required (Arrival/Departure) Notes

Required by General Passenger Cargo __________________

Declaration Manifest Manifest __________________
Customs 1 1 1 __________________
Immigration 1 1 1 __________________
Health 1 1 1
Note: No flight shall leave India without obtaining clearance
of   Immigration   and   Customs   authorities   on   General __________________
Declaration. __________________

3. Non-Scheduled flights
3.1 General
3.1.1 No prior permission is required for aircraft operating
outside the Indian territory which includes territorial waters
but within Indian Flight Information Regions (FIRs).
3.1.2   If   an   operator   intends   to   perform   a   (series   of)   non­
scheduled flight(s) into, from or over Indian territory, it is
necessary for the operator to apply and obtain prior approval
of Director General of Civil Aviation. The details of ‘Notice
Period’   and   the’   application’   are   at   Para   3.2   and   3.3
3.1.3 Flights are not permitted to pick up passengers/load at
any   place   in   India   and   disembark/discharge   at   any   other
place in India.
3.1.4   Due   reasons   for   safety   of   flights,   an   AFTN   signal
authorizing such flights is issued by DGCA in every case. The
authorizing reference No. (YA/N/…) shall be quoted at field 18
of the flight plan filed with Air Traffic Control Centre.
0 1.5   Pilot­in­Command   is   also   required   to   carry   the
reference No. (YA/N/…) of such AFTN signal authorising the
flight   with   him   and   quote   it   when   required   by   ATC
authorities. Overflying aircraft that are unable to quote the
authority are liable to make a landing in India.
3.1.6 Any aircraft after landing in India in accordance with
Para 3.1.5 shall require specific permission of the Director
General of Civil Aviation for undertaking any further flight.
86 Aviation Safety and Security Management

Notes 3.1.7 A flight clearance shall be valid for a period of 48 hours.
__________________ If a flight gets delayed beyond 48 hours, it will require fresh
__________________ clearance from the DGCA.
3.2 Notice period
__________________ 3.2.1   Application   for   operating   non­scheduled   flight(s)   is
__________________ required to be submitted in advance with a minimum notice
__________________ period as follows:
0 Seven working days for flights for traffic purposes; and
__________________ 1 Three working days for flights for non­traffic purposes 
i.e. overflight(s)/technical halts.
3.2.2 The minimum notice period requirements, however, 
may not be insisted upon in the following cases:
0 Ambulance flight (name and address of the patient and 
the doctor to be given);
1 Relief flight of a scheduled passenger airline 
necessitated due to grounding of aircraft; and
2 Relief flights in case of natural calamities.

3.3 Application
3.3.1   The   request   for   the   flight   clearance   should   be
submitted to DGCA in the prescribed Application form, duly
signed  by   the   operator/owner   of   the   aircraft   or   his
authorised   representative   and   submitted   to   the   Director
General   of   Civil   Aviation   (Attention:   Deputy   Director   Air
Transport), Technical Centre, Opposite Safdarjung Airport,
Sri Aurbindo Marg, New Delhi­110003.

3.4 Special permissions

3.4.1   Special   permission   from   the   Government   of   India   is
required to be taken in the following cases, which may take a
longer  period for clearance  of  the flight  then stipulated in
Para 3.2:
0 stay of any aircraft in India for more then 15 days.
1 flight of an aircraft registered in a state not member of 
ICAO; and
UNIT 4 Administrative Practices & Procedures 87

0 passenger charter flights to India not covered by Tourist Notes

Charter Guidelines. __________________
3.4.2 Operations of flights with aircraft capable of air­
__________________ Request for operating flights with aircraft capable of air­ __________________
dropping require detailed scrutiny/check­up of the application. __________________
In such cases, it may not be possible to clear these flights within __________________
the   notice   period   stipulated   at   Para   3.2   except   when   these __________________
flights   are   operated   by   International   Airlines   operating __________________
scheduled passenger services to/from India. __________________ Aircraft capable of air­dropping are not permitted to
overfly   Indian   territory   and   are   required   to   land   at   first
International Airport for Customs check. Except for take­off or landing, such aircraft shall have
to maintain a minimum flight level FL100 while in Indian

3.5 Change in the flight clearance

3.5.1 Any request for change in the flight clearance would
normally not be accepted and would require fresh clearance
with proper notice. However, in exceptional circumstances,
change may be accepted provided:
0 the replacing aircraft is not capable of air­dropping; or

1 the   approved   flight   scheduled   time   is   not   pre­poned

such that the notice period stipulated at Para 3.2 of the
original application is not met.

3.6 Applications forwarded by Ministries/Departments of

Government of India
3.6.1   Applications   forwarded   by   Ministries/Departments   of
Government   of   India,   Indian   Missions   abroad   and   by   the
Missions   of   the   concerned   countries   through   and   duly
supported   by   Ministry   of   External   Affairs,   may   be   given
clearance   notwithstanding   the   aforesaid   guidelines.   Such
applications   are   required   to   be   forwarded   by   Ministries/
departments at the level of Deputy Secretary/Director and
88 Aviation Safety and Security Management

Notes 3.7 Documentary requirements for clearance of flights

3.7.1 Same requirements as for scheduled flights mentioned
at Para 2.3.2.
__________________ 4. Private Flights
__________________ 4.1 Same requirements as for non-scheduled flights con-
tained in Para 3 above.
__________________ NOTE:   Flight   clearance   will   only   be   granted   to
__________________ aircraft having maximum certified seating capacity of
__________________ 30   seats   or   pay­load   of   three   tonnes   provided   it   is
fitted with ACAS­II/TCAS­II. (Ref: AIC­05/1998).



1.1 Incoming Passengers All the goods imported into India
by   air   are   subject   to   clearance   by   Customs   authorities,
except the goods within the limits of duty free allowance. For
the purpose of Customs Clearance of arriving passengers, a
two channel system has been adopted i.e. Green Channel for
passengers not having any dutiable goods and Red Channel
for passengers having dutiable goods.
0 Passengers must ensure to file correct declaration of 
their baggage.
1 Passengers   walking   through   the   green   channel   with
dutiable/prohibited   goods   are   liable   to   prosecution/
penalty and confiscation of goods.
2 Green   Channel   passengers   must   deposit   the   Customs
portion   of   the   disembarkation   Card   to   the   custom
official at the gate before leaving the terminal.
1.1.1   For   duty   free   entitlements   and   rates   of   applicable
duties,   please   see   customs   homepage   at
Enquiries   can   be   made   at
Enquiries can also be made from the following officers of the
Customs Department;
UNIT 4 Administrative Practices & Procedures 89

Commissioner of Customs, New Delhi at telephone numbers Notes
Deputy   Commissioner   (Admn)   91­11­25652088,   Additional __________________
Commissioner   91­11­25652090,   Commissioner   of   Customs __________________
(General) 91­ 11­25652970. __________________
1.2 Unaccompanied Baggage
The passengers can also send their baggage through cargo, __________________
which is  treated,  as  unaccompanied  baggage.  However,  no __________________
free   allowance   is   admissible   in   case   of   unaccompanied __________________
baggage and only used personal effects can be imported free __________________
of duty. __________________

0 Provisions   of   Baggage   Rules   are   also   extended   to

unaccompanied   baggage   except   where  they   have   been
specifically excluded.
1 The unaccompanied baggage should be in the possession
abroad of the passenger and shall be dispatched within
one month of his arrival in India or within such further
period   as   the   Deputy   /   Assistant   Commissioner   of
Customs may allow.
2 The  unaccompanied   baggage  may land  in  India up  to
two months before the arrival of the passenger or within
such   period,   not   exceeding   one   year   as   the   Deputy   /
Assistant   Commissioner   of   Customs   may   allow,   for
reasons   to   be   recorded,   if   he   is   satisfied   that   the
passenger was prevented from arriving in India within
the period of two months due to circumstances beyond
his control, such as sudden illness of the passenger or a
member of his family, or natural calamities or disturbed
conditions   or   disruption   of   the   transport   or   travel
arrangements in the country or countries concerned on
any other reasons, which necessitated a change in the
travel schedule of the passenger.
3 All the unaccompanied baggage is chargeable to 
customs duty @ 40% advalorem + education cess @ 2%.
1.2.1 Baggage of Deceased person

Used, bonafied personal and household effects belonging to a
deceased person are allowed to be imported free of duty
90 Aviation Safety and Security Management

Notes subject to the condition that a certificate from the concerned
__________________ Indian Mission (Embassy / High Commission) is produced at
__________________ the time of clearance regarding the ownership of the goods
__________________ by the deceased person.
1.2.2 Detained baggage
__________________ A passenger may request the Customs to detain his baggage
__________________ either for re­export at the time of his departure from India or
__________________ for clearance subsequently on payment of duty the detailed
__________________ baggage   would   be   examined   and   full   details   will   be
__________________ inventorised.
Such baggage will be kept in custody of customs

1.2.3 Mishandled Baggage

1.2.4 In case the baggage has been lost or mishandled by the
Airlines, a simplified procedure is in place for clearance of
such baggage which allows the passenger to have delivery of
his baggage at his door step by the Airlines.
There is no need to handover the passport or the keys of the
baggage. The passenger is merely required to complete the
Custom   declaration   form   at   counter   no.1   authorizing   the
Airline to complete the formalities when the baggage arrives.
The passenger is required to obtain a certificate to that effect
from   the   airlines   and   get   it   countersigned   by   Customs
indicating   specifically   the   unutilized   portion   of   the   free
allowance.   This   would   enable   the   passenger   to   avail   the
unutilised   portion   of   the   duty   free   allowance   when   his
baggage is delivered by the airlines.

1.3 Currency Declaration

0 Any person can bring into India from a place outside 
India foreign exchange without any limit.
However, declaration of Foreign Exchange/Currency is
required to be made in prescribed Declaration form in
the following cases.
0 Where the value of Foreign Currency notes exceeds 
US$5000 or equivalent.
UNIT 4 Administrative Practices & Procedures 91

0 Where the aggregate value of Foreign exchange (in Notes
the   form   of   currency   notes,   bank   notes,   traveller __________________

cheques etc.) exceeds US$10,000 or equivalent. __________________
Import of Indian currency is prohibited. However, in the case
of   passengers   normally   residing   in   India   who   are
returning   from   the   visit   abroad,   import   of   Indian
currency up to Rs. 5000 is allowed.
1.4 Regulation for the airline crew __________________

Crew   member   of   aircraft   are   subject   to   submit   correct __________________

declaration   before   customs   authorities   with   respect   to   the __________________

currency  gold  ornaments  and   electronic   goods   etc.   in  their

possession on arrival as well as departure. They are allowed
to   bring   items   like   Chocolate,   cheese,   cosmetic   and   other
petty gifts for their personnel or family use upto value of Rs.
600/­   only   at   the   returning   of   the   aircraft   from   foreign
journey. However a crew member on final payoff or at the
termination   of   his   engagements   with   the   airlines   shall   be
eligible for allowances as common passenger.

1.5 Outgoing Passengers

All   the   passengers   leaving   India   by   air   are   subject   to
clearance by Custom Authorities.
Only   bonafide   baggage   is   allowed   to   be   cleared   by
passengers.   There   is   a   procedure   prescribed   whereby   the
passengers leaving India can take the export certificate for
the various high value items as well as jewellery from the
Customs authorities. Such an export certificate comes handy
while bringing back the things to India so that no duty is
charged on such goods exported by the passenger.

Export  of most species of wild life and articles made from
wild flora and fauna, such as ivory, musk, reptile skins,
furs, shahtoos etc. is prohibited.
Trafficking of narcotic drugs and psychotropic substances is 
92 Aviation Safety and Security Management

Notes Export of goods purchased against foreign exchange brought
__________________ in   by   foreign   passengers   are   allowed   except   for
__________________ prohibited goods.
Carrying of Indian currency notes in the denomination of Rs.
500 and Rs. 1000 to Nepal is prohibited.
__________________ Export   of   Indian   Currency   is   strictly   prohibited.   However
__________________ Indian   residents   when   they   go   abroad   are   allowed   to
__________________ take with them Indian currency not exceeding Rs. 5000.
__________________ Tourists while leaving India are allowed to take with them
__________________ foreign currency not exceeding an amount brought in by
them   at   the   time   of   their   arrival   in   India.   As   no
declaration   is   required   to   be   made   for   bringing   in
foreign exchange / currency not exceeding equivalent of
U.S.  $ 10000,  generally tourists  can take out  of India
with   them   at   the   time   of   their   departure   foreign
exchange/currency not exceeding the above amount.
There is no value limit on the export of Gold Jewellery by
passenger through the medium of baggage so long as it
constitutes   the   bonafied   baggage   of   the   passenger.   A
passenger   may   request   the   Customs   for   issue   of   an
Export certificate at the time of his / her departure from
India,   in   respect   of   jewellery   carried   by   him   /   her,   to
facilitate its re­import subsequently. Commercial export
of gold jewellery through the courier mode is permitted
subject to observance of prescribed procedures.
1.6  Certain   goods   are   prohibited   (banned)   or   restricted
(subject to certain conditions) for import and/or export. These
are   goods   of   social,   health,   environment,   wild   life   and
security concerns.
While it is not possible to list all the goods, more common of
these are :

Narcotic Drugs and Psychotropic substances.

Pornographic material
UNIT 4 Administrative Practices & Procedures 93

Counterfeit and pirated goods and good infringing any of the Notes

legally enforceable intellectual property rights. __________________

RESTRICTED GOODS __________________

Firearms and ammunition.
Live birds and animals including pets. __________________
Plants and their produce e.g. fruits, seeds.
Endangered species of plants and animals, whether live or  __________________
Any goods for commercial purpose:

for profit, gain or commercial usage.

Radio transmitters not approved for normal usage.

Gold   and   Silver,   other   than   ornaments   (For   import   only)

Indian   and   foreign   currency   in   excess   of   prescribed
limits :
foreign   currency   in   excess   of   US$   5000   in   the   form   of
currency notes or equivalent US$ 100000 or equivalent
in the form of currency notes, bank notes or traveller’s
cheque is required to be declared on arrival.
foreign currency in excess of amount legally obtained or in
the case of tourists in excess of the amount declared on
arrival or in excess of the exempted limit of declaration
at the time of departure.
Trafficking in Narcotic Drugs like Heroin, Charas, Cocaine
or in Psychotropic substances is a serious offence and is
punishable with imprisonment.
Export  of most species of wild life and articles made from
flora   and   fauna   such   as   Ivory,   Musk,   Reptile   skins,
Furs, Shahtoosh etc. is prohibited.
For   any   clarifications   passenger   should   approach   the
Regional Deputy Director (Wildlife Preservation) Govt.
of India or the Chief Wildlife Wardens of State
94 Aviation Safety and Security Management

Notes Governments posted at Calcutta, Delhi, Mumbai and 
__________________ Chennai.
Export or Import in prohibited and restricted goods 
commonly leads to arrest.
__________________ 6.1 PENAL PROVISIONS
The   Indian   Customs   Act   empowers   imposition   of   heavy
penalties for those passengers who :
__________________ Attempt   to   walk   through   green   Channel   with   prohibited
__________________ restricted or dutiable goods.
Mis­declare   their   goods   at   the   Red   Channel   Attempt   to
export prohibited or restricted goods Abet the commission of
any of the above offences


Absolute Confiscation of goods, or Imposition of heavy fine in
respect   of   the   concerned   goods   if   these   are   released
Imposition   of   penalty   on   individual   or   concerned   entities
upto five times the value of goods or the duty involved Arrest
and prosecution including invocation of preventive detention
in serious cases

1.7 Customs Duty on aircraft

1.7.1 If any aircraft arriving from a place outside India is forced
to land in India in any place other than an appointed customs
aerodrome,   the   person­in­charge   of   the   aircraft   shall
immediately report to the nearest Customs or Police Officer and
shall on demand produce to such officer the General Declaration
or, if it does not give the movements of the aircraft subsequent
to the last destination, the journey log book, and/ or any other
document   belonging   to   the   aircraft,   and   shall   not   permit   any
goods   to   be   unloaded   there   from   without   the   consent   of   such
officer, and no passenger or member of the crew thereof shall
leave the immediate vicinity of the aircraft without the consent
of   such   officer.   In   case   where   it   is   necessary   to   dispatch   a
Customs Officer to the place of landing to examine the aircraft,
charges for conveyance of such officer may be made against the
owner of the aircraft concerned.
UNIT 4 Administrative Practices & Procedures 95

1.7.2 No customs duty is levied on the aircraft not registered Notes
in India which is brought into India for purpose of a flight to __________________
or   across   India,   which   is   not   intended   to   be   registered   in __________________
India and is intended to be removed from India within six __________________
months from the date of entry, provided that the person­in­ __________________
charge  of   the  aircraft   makes  a  written   declaration  to  that __________________
effect to the Customs Collector on arrival. __________________
In the case of an aircraft in respect of which such declaration
has been made and which is not removed from India within
six months, the duty leviable in respect of it shall be paid to
the Custom Collector before the aircraft is again flown.

1.8 Regulation for Transit Passengers

Transit passengers are kept in Customs area and Customs
authorities keep watch on such passengers that they should
not hand over anything to any other person. They are also
not allowed to go outside the airport building.

1.9 Drugs Trafficking in narcotics is a serious offence and

is punishable with imprisonment.

2.1 Pre-requisite for entry into India:
Foreigner should have valid travel documents such as visa, 
passports etc.
Pak   nationals   who   are   coming   from   Pakistan   or   third
country should carry visa application  form issued by
the   Indian   Mission  in  addition  to  visa   affixed   which
should be handed over by him/her at the port of entry.
Nepalese visiting India by air from third country other then
Nepal  or Bhutan  should carry national passport  and
Indian visa.
Foreigner should not be an insane person.

Foreigner should not be suffering either from a loathsome 
disease or an infectious disease.
96 Aviation Safety and Security Management

Notes Foreigner should not have been sentenced abroad for an 
__________________ extraditable offence.
His entry should not have been banned by any government 
__________________ Foreigners   coming   from   or   through   yellow   fever   countries
__________________ must come with proper vaccination certificate.
__________________ Disembarkation/ Embarkation card provided by Immigration
__________________ should   be   carefully   filled   up   by   the   passengers   and
__________________ presented   to   the   immigration   desk   with   travel
__________________ documents. Red and Green ink should not be used for
filling up the cards. There should not be any tick marks
or any other marks put on the cards by the passengers.
The cards also should not be folded.
2.1.1 Visa Requirements for Children:

Minor children of foreigners including of Indian origin would 
require proper visa for entry into India.
2.1.2 Identification Document for Nepalese visiting
India by Air:
Nepalese visiting India by air may travel on the authority of 
any of the following identification documents:
Valid national passport;
Photo identity card issued by the Government of India / any
State Government or Union Territory Administration in
India / Election Commission of India in respect of Indian
citizens and by the government of Nepal in respect of
Nepalese citizens;
Emergency   certificate   issued   by   Embassy   of   India,
Kathmandu   to   Indian   nationals   and   by   Embassy   of
Nepal in Delhi in respect of Nepalese citizens, in case of
emergent conditions.
2.1.3 Seamen:

Seamen being repatriated:
Foreign seamen, who are signed on at an Indian port,
are under the terms of their articles required to be
UNIT 4 Administrative Practices & Procedures 97

returned for discharge to the port of their engagement. If Notes
such   a  seamen   is   discharged   at   a   foreign   port   for   being __________________
returned   to   India,   he   can,   be   granted   a   visa   for   three __________________
months stay in India, without prior reference, provided he __________________
holds   a   continuous   discharge   certificate   or   Seamen.   s __________________
Registration   Book   issued   in   India   and   the   agent.   s __________________
certificate that he is being repatriated for discharge at an __________________
Indian   port.   The   visa   may   be   granted   on   the   national __________________
passport, if any, or on the continuous Discharge Certificate __________________
/ Registration Book or on a sworn affidavit. __________________

Seamen joining ships: __________________

Foreign seamen signed abroad, who are coming to join
their ships at an Indian port, may be granted Transit
visas   in   accordance   with   the   instructions   contained
under   heading.   TRANSIT   VISA.   .   Such   visas   may   be
granted   on   national   passports   or   Seamen’s   Identity
2.1.4 Non­scheduled flights:

Members   of   crew   of   non­scheduled   and   chartered   flights

operated by airlines, not operating scheduled flights to India,
would  not   be   granted   visas   without   prior   reference  to  the
Government of India. When approved, visas would be given
to such persons, on their national passports only and not on
crew member certificate.

2.2 Requirement of registration:

Foreigner   entering   into   India   on   student,   research,
employment,   yoga   visas   valid   for   more   than   180   days   is
required to register within 14 days of first arrival with the
FRRO/ FRO under whose jurisdiction he proposes to stay. In
case   of   other   long   term   visas   like.   entry.   ,.   business.   etc.
other than. tourist. visa, if the foreigner intends to stay for
more than six months he should register himself within 180
days of his arrival. As regards Afghan nationals, the holders
of Residential Permit must report within seven days of his/
her   arrival   to   the   concern   FRRO/FRO   with   the   proof   of
residence.   The   holder   will   have   to   report   to   the   authority
concerned even if the stay in India is less than seven day.
98 Aviation Safety and Security Management

Notes The following categories of foreign nationals are exempted
__________________ from registration.
__________________ i. Foreigners of Indian origin visiting India for short
__________________ duration with long term multiple entry visa, each stay
__________________ in India not exceeding 180 days.
__________________ ii. Foreigners connected with tourism and travel trade with
__________________ five year multiple entry visa, each stay not exceeding
__________________ 180 days.
__________________ iii. US nationals with 10­year validity multiple entry visa
__________________ for tourism or business purpose with each stay not
__________________ exceeding 180 days.
iv. PIO cardholders if continuous stay in India does not
exceed 180 days.
v. Children below 16 years of age.
2.2.1  Registered foreigners should always carry their
registration   certificate   /   residential   permits   along
with them.

2.3 Retaining of Embarkation card

Foreigners are required to retain embarkation portion of the
disembarkation   card   in   their   possession   to   facilitate   their
return journey.

2.4 Filling up of Form. C.

Foreigners are required to fill Form. C. during their stay in
hotels which include boarding houses, clubs, dak bunglows,
rest houses, paying guest homes, sarai etc.

2.5 Prior Permission For Visiting Certain Areas

Foreigners   intending   to   visit   Restricted   Area   /   Protected
Area   are   required   to   obtain   prior   permission   of   the   Govt.
during   their   stay   in   India   as   visa   alone   is   not   enough   to
enable a foreigner to visit such places. They may have list of
such areas from the tourist offices of Central / State Govt.

2.6 Grant of Landing Permit For Group

Grant of landing permit for a group of 4 or more organized by
recognised /approved tour /travel operator may be granted
UNIT 4 Administrative Practices & Procedures 99

upto   a   period   of   60   days,   with   Multiple   Entry   Facilities Notes

against   a   fee   of   US   $   40   or   equivalent   amount   in   Indian __________________
rupees   per   passenger.   The   travel   agency   has   to   make   a __________________
return request to the immigration giving full personal and __________________
passport   details   of   the   group   members,   Itinerary   and __________________
undertaking   to  conduct   the   group   as   per   itinerary   and   an __________________
assurance that no individual would be allowed to drop out __________________
from the group at any place. __________________
2.7 Transit Visa
Transit visa is not required from a person who is in direct
transit by air when there is no through flight provided he/
she does not leave the precincts of airports.

2.8 Landing Permit

72 hours landing permit is granted to a foreigner transiting
though India without visa if he/she has a conformed onward
journey tickets. 15 days TLP can also be granted in emergent
situation like death/illness in the family. However, landing
permit   facility   is   not   available   to   the   nationals   of   Shri
Lanka,   Bangladesh,   Pakistan,   Iran,   Afghanistan,   Somalia,
Nigeria and Ethiopia.

2.9 Surrender of embarkation card

Foreigners are required to complete / fill up and surrender
Embarkation   card   in   their   possession   at   the   airport   from
where finally departing.


3.1  Disembarking   passengers   are   required   to   fill   up   the
information in the health portion of disembarkation card.
3.2  Disembarking   passengers   are   not   required   to   present
vaccination certificates except when coming directly from an
area infected with yellow fever.
3.3  All   passengers   on   board   coming   from   yellow   fever
infected areas as declared by Central Government shall be in
possession   of   valid   international   certificate   against   yellow
100 Aviation Safety and Security Management

Notes 3.4  Aircraft   shall   have   been   disinfected   at   the

__________________ commencement of the journey as per aircraft (public health)
__________________ Rules, 1954 and in accordance with the procedures laid down
__________________ in   Schedule   IV   of   the   said   rules,   or   the   procedure
recommended by the World Health Organisation.
3.5.1 The Pilot­in­Command of the aircraft shall send a radio
__________________ message three hours before arrival about the state of health
__________________ of   any   person   on   board,   who   has   visited   a   yellow   fever
__________________ infected area, as declared by the Central Government, with
__________________ in the previous six days and who is not in possession of valid
yellow fever certificate.

3.6  If,   on   inspection   of   the   aircraft,   the   Airport   Health

Officer  detects any person or crew suspected to be infected
with yellow fever, the Airport Health Officer may direct the
Pilot­in­Command   of   the   aircraft   to   proceed   to   Kolkata   or
Mumbai or any other place as may designated by the Airport
Health   Officer   and   Pilot­in­Command   of   the   aircraft   shall
obey such directions.

3.7  No   departure   formalities   are   required   for   embarking



Customs requirements concerning Cargo and other 
1.1 Goods for export by air (including unaccompanied baggage)
are required  to be  presented  for examination   to  the  Customs
authorities   sufficiently   in   advance   for   such   goods   to   be
examined before the departure of the aircraft on which they are
consigned. As a general rule, such presentation should be made
not less than four working hours before the scheduled time of
departure. The period may be reduced in the case of perishable
goods or urgent consignments or aircraft spares and essential
equipment   of   air   service   by   arrangement   with   custom
authorities in each individual case.

1.2 Other Customs requirements are being developed.
UNIT 4 Administrative Practices & Procedures 101


FLIGHT DOCUMENTS __________________

1. General __________________
Commercial air transport operating in India must adhere to
the   requirements   as   contained   in   the   Civil   Aviation __________________
Requirements Section 2. Airworthiness Series O. __________________

Note:   The   regulations/requirements   referred   herein __________________

are subjected to amendment. Users should ensure that __________________

fully   amended   documents   are   used   for   reference __________________


Instruments and Equipment, Communication and 
Navigation equipment to be carried:

2. 1 Aircraft Instruments and Equipment

In   addition   to   the   minimum   equipment   necessary   for   the
issuance of a Certificate of Airworthiness, the instruments
and   equipment   prescribed   in   the   Civil   Aviation
Requirements   Section   2.   Airworthiness   Series.   I.   Part   II
shall be installed or carried as appropriate, according to the
aircraft used and the circumstances/operations under which
the flight is to be conducted.

2.2 Aircraft Communication and Navigation Equipment

2.2.1 Communication Equipment

All aeroplane shall be fitted with radio communication 
equipment capable of
0 Conducting two­way communication for aerodrome 
control purposes.
1 Receiving meteorological information at any time 
during flight, and
2 Conducting   two   way   communication   at   any   time
during flight with at least one aeronautical station
and with such other aeronautical stations and on
such   frequencies   as   may   be   prescribed   by   the
appropriate authority. All aircraft fitted with HF
102 Aviation Safety and Security Management

Notes communication equipment shall be capable of 
__________________ operating on SSB mode.
The   radio   communication   equipment   shall   provide   for
communications   on   the   aeronautical   emergency
frequency 121.5 MHz.
__________________ 2.2.2 Navigation Equipment for Operations under IFR
All aeroplanes shall be provided with navigation equipment, 
which will enable it to proceed:
0 In accordance with its operational flight plan;

1 In accordance with prescribed Required Navigation
Performance (RNP) types; and
2 In accordance with the requirements of air traffic 
Except   when,   if   not   so   precluded   by   the   appropriate
authority, navigation for flights under the visual flight rules
is accomplished by visual reference to landmarks.
For   flight   in   defined   portion   of   airspace   where   based   on
regional air navigation agreement minimum navigation
performance   specifications   (MNPS)   are   prescribed,   an
aeroplane shall be provided with navigation equipment
0 Continuously provides indications to the flight crew
of   adherences   to   or   departures   from   track   to   the
required degree of accuracy at any point along with
the track:
1 Has been authorised by DGCA for MNPS 
operations concerned.
For   flight   in   defined   portion   of   airspace   where,   based   on
regional air navigation agreement, a vertical separation
minimum   (VSM)of   1000   ft   (300m)   is   applied   above
FL290,an aeroplane:
0 Shall be provided with equipment which is capable 
UNIT 4 Administrative Practices & Procedures 103

0 Indicating to the flight crew the flight level  Notes

being flown; __________________
1 Automatically maintaining a selected flight 
2 Providing an alert to the flight  crew when a
deviation occurs from the selected flight level.
The threshold for the alert shall not exceed +/
­300ft (90m); and
3 Automatically reporting pressure­altitude; and __________________

1 Shall be authorised by DGCA for operation in the  __________________

airspace concerned.
The   aeroplane   shall   be   sufficiently   provided   with   the
navigation   equipment   to   ensure   that   in   the   event   of
failure of one item of equipment at any stage of flight,
the   remaining   equipment   will   enable   the   aircraft   to
navigate in accordance with above Paras.
On   flights   in   which   it   is   intended   to   land   in   Instrument
Meteorological   Condition   (IMC)   an   aeroplane   shall   be
provided   with   a   radio   equipment   capable   of   receiving
signals providing guidance to a point from which a visual
landing can be affected. This equipment shall be capable of
providing such guidance at each aerodrome at which it is
intended to land in instrument meteorological conditions
and at any designated alternate aerodromes.
The equipment installation shall be such that the failure of
any   single   unit   required   for   either   communication   or
navigation purposes or both will not result in the failure
of   another   unit   required   for   communication   or
navigation purposes.

Carriage of Pressure Altitude Reporting Transponder

All   aeroplane   having   maximum   certified   take­off   mass   of

5700   Kgs.   and   above   and   having   maximum   certified
passenger seating configuration (excluding any pilot seats) of
more than 30 seats or maximum payload capacity of more
then 3 tonnes if flying in Indian air space shall be equipped
with mode. S transponder.
104 Aviation Safety and Security Management

Notes The   requirements   for   installation   of   Pressure   Altitude

__________________ Reporting Transponder are laid down in the CAR Section 2
__________________ Series. R. Part IV.
Carriage of Airborne Collision Avoidance System 
__________________ 4.1 Unless otherwise authorised by DGCA, no person shall
__________________ operate   in   the   Indian   airspace,   an   aeroplane   having   a
__________________ maximum certified passenger seating configuration of more
__________________ then 30 or maximum payload capacity of more then 3 tonnes:
After   31st   December   1998,if   it   is   not   equipped   with   an
approved TCAS II and (b)After 1st Jan 2003 if it is not
equipped   with   an   approved   TCAS   II   with   change   7
(equivalent to ACAS. II)
4.2   All   aeroplanes   having   maximum   certified   passenger
seating configuration of more than 30 or maximum payload
capacity of more than 3 tonnes, to be imported after 1st Jan.
2002 for the purpose of registration and operation within, to
and from India shall be fitted with TCAS II with change 7
(equivalent to ACAS II). This requirement shall also apply to
aeroplanes taken on wet lease by Indian operators.
Note: The operators are strongly advised to install ACAS II
if imported before 1st Jan 2002.
4.3 Unless otherwise authorised by DGCA, no person shall
operate in the Indian airspace, from 1st Jan, 2005,
An aeroplane having a maximum certified passenger seating
configuration of 20 to 30 or a maximum certified take­
off mass in excess of 5700 Kg, if such aeroplane is not
equipped with an approved ACAS II.
An aeroplane having a maximum certified passenger seating
configuration of 10 to 19 and a maximum certified take­
off   mass   less   than   5700   Kg,   if   such   aeroplane   is   not
equipped with an approved ACAS I.
A   twin   jet   engined   aeroplane   having   maximum   certified
passenger  seating  configuration  of   less   than  10  and  a
maximum certified take­off mass less than 5700 Kg, if
such aeroplane is not equipped with approved ACAS I.
UNIT 4 Administrative Practices & Procedures 105

4   Unless   otherwise   authorised   by   DGCA,   no   person   shall Notes

acquire for the purpose of operation In Indian airspace, from __________________

1st January, 2004; __________________
An aeroplane having a maximum certified passenger seating
configuration of 20 to 30 or a maximum certified take­
off mass in excess of 5700 Kg, if such aeroplane is not
equipped with an approved ACAS II.
An aeroplane having a maximum certified passenger seating __________________
configuration of 10 to 19 and a maximum certified take­ __________________
off   mass   less   than   5700   Kg,   if   such   aeroplane   is   not __________________
equipped with an approved ACAS I.
A   twin   jet   engined   aeroplane   having   maximum   certified
passenger seating configuration of  less  than 10 and a
maximum certified take­off mass less than 5700 Kg, if
such aeroplane is not equipped with approved ACAS I.

Note :

The   operators   are   strongly   advised   to   install   ACAS   II   on

aeroplanes covered under the provisions of Paras 4. 3(b)&(c)
and 4. 4 (b)&(c) above.
Detailed requirements for installation of Airborne Collision
Avoidance System (ACAS) are laid down in the CAR Section
2 Series. I. Part VIII.
Flight   documents   to   be   carried  The   requirements   for
carriage  of  documents  to  be  carried on  board are laid
down in the CAR Section 2 Series. X. Part VI.


The following is the brief of legislation affecting civil aviation
in   India.   The   regulations/requirements   referred   herein   are
subject   to   amendments.   Users   should   ensure   that   fully
amended documents are used for reference purpose :

Air Transport Services:

Rule 134 and Schedule XI of Aircraft Rules, 1937 and
Civil Aviation Requirements Section 3. Air Transport—
106 Aviation Safety and Security Management

Notes “Provides   for   the   minimum   airworthiness,   operational

__________________ and other general requirements for grant of permit for
__________________ air transport operations in India.”
Registration and Nationality Marking:
__________________ Part   IV   of   Aircraft   Rules,   1937   and   Civil   Aviation
__________________ Requirements Section 2. Airworthiness Series. F. Part I
__________________ and   Series.   X.   Part   I—“Provides   for   the   registration
__________________ marking   of   the   aircraft,   nature   of   application   for
__________________ registration, change of ownership, registration fees and
__________________ use of State marks.”

Instruments and Equipment:

Rule   57   of   Aircraft   Rules,   1937   and   Civil   Aviation

Requirements Section 2. Airworthiness Series. I. Part II
and   Series.   R.   Part   I—“Provides   for   minimum
instruments   and   equipment   including   Communication
and Navigation Equipment which are to be installed on
aircraft depending on their operation.”

Radio Telegraph apparatus:

Rule   9   of   the   Aircraft   rules,   1937—Provides   for   the

operation   of   radio   telegraph   apparatus   by   licensed

Prohibited areas:

Rule 12 and Schedule I of Aircraft Rules, 1937—
Provides for the areas prohibited for flying.

Personnel of Aircraft:

Part V and Schedule II of Aircraft Rules, 1937 and Civil
Aviation   Requirements   Section   7.   Flight   Crew
Standards, Training and Licensing — “Provides for the
regulations concerning the knowledge, skill, experience
and   medical   requirements   for   licensing   of   flight   crew.
This also provides the regulation concerning granting of
exemption   for   medical   examination   and   renewal   of
flight   crew   licenses.   Validation   of   licenses   issued   by
foreign states is also given.”
UNIT 4 Administrative Practices & Procedures 107

Maintenance of aircraft by licensed persons: Notes
Rule 61 of the Aircraft Rules, 1937 and Civil Aviation
Requirements   Section   2.   Airworthiness   Series.   L—
“Provides for the regulations concerning the knowledge,
skill, experience and medical requirements for issue of
licence   to   persons   to   maintain   an   aircraft.   This   also
provides   the   regulation   concerning   renewal   of   such
Dropping of articles and decent by parachute: __________________

Rule 26 of the Aircraft Rules, 1937—“Provides for the __________________

requirement   for   dropping   of   articles/descent   by


Air Traffic Services:

Civil Aviation Requirements Section 4. Aerodrome 
Standards and Air Traffic Services.
Provides for requirements for Aerodrome Standards and
Air Traffic Services.

National Legislation:

Aircraft Manual (India) Volume II provides the 
national legislation.

0 The Air Corporation Act, 1953 (27 of 1953)

1 The Air Corporations (Transfer of Undertakings 
and repeal) Ordinance, 1994 (4 of 1994)
2 The Air Corporations (Transfer of Undertakings 
and repeal) Act, 1994 (13 of 1994)
3 The International Airports Authority of India Act,
1971 ( 43 of 1971)
4 The National Airports Authority of India Act, 
1985 ( 64 of 1985)
5 The Airports Authority of India Act, 1994 ( 55 of 
6 The Carriage by Air Act, 1972 ( 69 of 1972)
108 Aviation Safety and Security Management

Notes 0 The Tokyo Convention Act, 1975 ( 20 of 1975)
__________________ 1 The Anti­hijacking Act, 1982 (65 of 1982)
2 The Anti­hijacking (Amendment) Act, 1994 (39 of 
3 The Suppression of Unlawful Acts Against Safety 

__________________ of Civil Aviation Act, 1982 (66 of 1982)
__________________ 4 The Suppression of Unlawful Acts Against Safety
__________________ of   Civil   Aviation   (Amendment)   Act,   1994   (40   of
__________________ 1994)
__________________ 5 Notification regarding application of the Carriage
by Air Act, 1972, to carriage by air which is not
International Conventions:
Aircraft Manual (India) Volume II provides the 
details of following International Conventions.
0 Chicago Convention, 1944
1 The International Air Services Transit 
Agreement, 1944
2 The International Air Transport Agreement, 
3 Protocol   on   the   Authentic   Trilingual   Text   of   the
Convention on International Civil Aviation, 1944
4 Warsaw Convention, 1929
5 The Hague Protocol, 1955
6 Guatemala City Protocol, 1971
7 The Additional Protocol No. 1, 1975
8 The Additional Protocol No. 2, 1975
9 The Additional Protocol No. 3, 1975
10 The Montreal Protocol No. 4, 1975
11 Gualdalajara Convention, 1961
12 Geneva Convention, 1948
13 Rome Convention, 1952
14 Tokyo Convention, 1963
UNIT 4 Administrative Practices & Procedures 109

15 The Hague Convention, 1970 Notes

16 Montreal Convention, 1971 __________________
17 Montreal Protocol, 1988
18 Montreal Convention, 1991 __________________
Defect in Foreign Aircraft: __________________

Rule 59A of the Aircraft Rules, 1937 provides the details __________________
of   procedures   to   be   followed   in   case   of   defect(s)   in   a
foreign registered aircraft.
Investigation of Accident:
Part X of the Aircraft Rules, 1937 Provides the details
regarding   notification   of   accident,   report   of   accidents,
removal and preservation of damaged aircraft.
Directions by Director General:
Rule 133A of the Aircraft Rules, 1937 gives the power to
the Director General to issue special Directions in the
form   of   Notices   to   Airmen   (NOTAMs),   Aeronautical
Information   Publication,   Aeronautical   Information
Circulars   (AICs),   Notices   to   Aircraft   Owners   and
Maintenance   Engineers,   and   Civil   Aviation
Dangerous Flying:
Rule   21   of   the   Aircraft   Rules,   1937   requires   that   no
persons shall fly any aircraft in such circumstances as,
by   reason   of   low   altitude   or   proximity   to   persons   or
dwellings   or   for   other   reason,   to   cause   unnecessary
danger to any person or property.
Prohibition of intoxicated person entering aircraft:

Rule   24   of   the   Aircraft   Rules,   1937—“prohibits

members of flight crew to enter/operate aircraft under
influence  of   any   alcoholic   drink,   sedative,   narcotic,   or
stimulant drug.”
Carriage of person suffering from mental disorders or
epilepsy in aircraft, prisoners and animals, birds
and reptiles in the aircraft:
Rule  24A,  24B  and   24C  of  the  Aircraft   Rules,   1937—
“provides requirements for carriage of persons suffering
110 Aviation Safety and Security Management

Notes from mental disorders or epilepsy in aircraft, prisoners 
__________________ and animals, birds and reptiles in the aircraft.”
__________________ Smoking in Aircraft:
Rule   25   of   the   Aircraft   Rules,   1937—“provides
requirements   for   smoking   in   an   Indian   registered
Fuelling of Aircraft:
__________________ Rule 25A of the Aircraft Rules, 1937—“provides 
__________________ requirements for fuelling of aircraft.”
__________________ Carriage of Arms, Explosives or Dangerous Goods:
Rule   8   of   the   Aircraft   Rules,   1937   and   Civil   Aviation
Requirements   Section   3.   Air   Transport   Series.   L—
“Provides   the   requirements   for   carriage   of   arms,
explosives or dangerous goods by air to, from, within or
across India.”

DGCA Website http:/dgca. nic. in/ also http://dgca. gov. in/
AAI website http://aai. aero/AAI/
BCAS website http://www. bcasindia. nic. in/
Ministry of Civil Aviation website http://civilaviation. nic. in/

Aeronautical Information Publication (AIP, India), Airports 
Authority of India
Various related ICAO Annexes & Documents
Indian Aircraft Manual
Various Air Safety Circulars,
AICs and other important notification issued by DGCA.

General Questions
What are the main functions and responsibilities of Ministry 
of Civil Aviation?
UNIT 4 Administrative Practices & Procedures 111

Write main functions and responsibilities of Airports  Notes

Authority of India. __________________
Objective Type of questions __________________
Various   rules   and   regulations   pertaining   to   Indian   Civil __________________

Aviation are contained in the document known as ——. __________________
State True or False
0 The registration certificate of a new aircraft in  __________________
India is issued by — __________________

1 Investigation of accident/ incident to any passenger __________________

aircraft   is   conducted   by   —as   per   Indian   aircraft

2 “No   prior   permission   is   required   for   any   aircraft
operating outside the Indian territory, however, it
an   operator   intends   to   perform   a   non­scheduled
flight   into,   from   or   over   Indian   territory,   it   is
necessary for to apply and obtain prior approval of
DGCA. ”­ True/False
3 “International   Transit   passengers   arriving   from
any   other   country   and   proceeding   to   any   other
destination outside India are required to be kept in
Customs area and they are also not allowed to go
outside the airport building. ”­ True/False

Answers to Objective Type of questions

“Aircraft Manual”.

State True or False



2 True

3 True
UNIT 5 Aircraft Rescue and Fire Fighting Services. 113

Unit 5 Notes
Aircraft Rescue and __________________

Fire Fighting Services __________________

5.1 Introduction __________________
The   details   contained   in   this   chapter   relate   to   various __________________
operational   standards   based   on   ICAO   Standards   & __________________
recommendations   for   aircraft   rescue   and   fire   fighting __________________
services at AAI aerodromes. More or less similar practice is
followed at other airports belonging to other agencies.

5.2 Criteria for establishment of ARFF.

ARFF services are required to be provided at all airports in
conformity   with   ICAO   standards   and   guidelines   regarding
level of fire protection.
Fire   fighting   in   and   around   crashed   aircraft   is   a   highly
specialized  field  of   fire  fighting.  A ARFF   fire fighter   must
process the required alertness, courage, dedication, agility,
physical   strength,   and   the   ability   to   be   an   exacting   team

5.3 The Chemistry of Fire.

Fire   is   the   most   common   form   of   chemical   reaction.   The
process of fire may be regarded as a chemical triangle (fig. 5­

Figure 5­1.­Requirements for combustion.
114 Aviation Safety and Security Management

Notes (1). The three sides consist of fuel (combustible matter), heat,
__________________ and   oxygen.   After   extensive   research,   the   presence   of   a
__________________ fourth element has been identified. It is the chemical chain
__________________ reaction (fig.5­2) that takes place in a fire that allows the fire
__________________ to both sustain itself and grow.

Figure 5­2.­Chain reaction.

This process of fire is now called the "fire tetrahedron." See
figure 5­3.

Figure 5­3.­Tetrahedron and fire triangle.

5.4 Controlling Fire.

The most common method of controlling or extinguishing a
fire is to eliminate one or more of sides of the tetrahedron.
This can be accomplished by the following methods.
Smothering: removing the oxygen.
UNIT 5 Aircraft Rescue and Fire Fighting Services. 115

Cooling: removing the heat. Notes
Starving: removing the fuel or combustible matter.
There are two terms associated with fires, the fire point and __________________

the flash point. __________________
The  fire point  of a substance is the lowest temperature at
which its vapours can be ignited and would continue to burn.
At this temperature, the vapour would ignite spontaneously
in the air. Also, substances don't have to be heated to this
ignition temperature throughout in order to ignite.
The flash point of a substance is the temperature at which
the substance gives off enough vapours to form an ignitable
mixture   with   the   air   near   the   substance's   surface.   An
ignitable  mixture is  a mixture  within  the  explosive  range.
The mixture is capable of spreading a flame away from the
source of ignition when ignited.
For example, fuel would spontaneously ignite when a portion of
it   (or   its   vapours)   is   exposed   to   temperatures   around   268°C
(ignition temperature). It is capable of being touched off by a
match or spark at temperatures down to ­20°C (fire point). It
would also flash across the surface at temperatures from ­ 20°C
down   to   ­43°C   (flash   point).   From   these   examples,   it   can   be
readily seen that fuel has a low flash point and is easily ignited.
Fuel  is  a  constant  fire  hazard  around  aircraft.  A spark,  heat
caused   by   friction,   or   an   electrical   discharge   could   supply
enough heat to cause fuel to flash.

5.5 Classes of Fire

Different types of fires are combated by different means. It is
important for a fire person to identify various types of fires
and to understand specific ways of combating each type of

Class A fires occur in combustible materials, such as bedding,
mattresses, books, cloth, and any matter that produces an ash.
All fires of this class leave embers, which are likely to rekindle
if air comes in contact with them. Class A fires must
116 Aviation Safety and Security Management

Notes not   be   considered   extinguished   until   the   entire   mass   has

__________________ been   cooled   below   its   ignition   temperature.   Smothering
__________________ (removing   the   oxygen)   is   not   effective   for   class   A   fires
__________________ because it does not lower the temperature of the smouldering
__________________ embers   below   the   surface.   The   extinguishing   agents   most
__________________ effective for class A fires are solid water stream, both high­
__________________ and low­velocity fog, CO2, and water immersion.

Class B (Most Important from Aircraft fire point of view).

Class   B   fires   occur   with   flammable   liquid   substances.

Examples   of   class   B   fires   are   gasoline,   jet   fuels,   paints,
grease, and any petroleum­based product.
These and other combustible substances do not leave embers
or   ashes.   Class   B   fires   are   extinguished   by   providing   a
barrier between the burning substance and oxygen necessary
for   combustion.   Chemical   and   mechanical   foams   produce
such   a   barrier   and   are   known   as   permanent   smothering
agents,   but   their   effect   is   only  temporary.   The   application
must be renewed if there is any danger of re­ignition. The
extinguishing   agents   recommended   for   combating   class   B
fires   are   CO2,   PKP,   Halon,   and   Aqueous   Film­Forming
Foam   (AFFF).   However,   water   by   itself   is   NOT
recommended for use on class B fires.

Class C fires are energized electrical fires that are attacked
at prescribed distances by using nonconductive agents such
as CO2 and Halon 1211.
UNIT 5 Aircraft Rescue and Fire Fighting Services. 117

The   most   effective   tactic   is  to  de­energize   the   system   and Notes
handle  the  fire as a  class A  fire.   When  fires  are not  deep __________________
seated, clean agents that pose no cleanup problem, such as __________________
Halon 1211 or CO2, are the preferred extinguishing agents. __________________
However,   water   in   any   form,   is   dangerous   when   used   on
electrical equipment.
Class   D   fires   are   combustible   metals,   such   as   magnesium
and titanium. Water in large quantities, as high velocity fog,
is   the   recommended   extinguishing   agent.   When   water   is
applied   to   burning   class   D   materials,   there   may   be   small
explosions. The fire fighter should apply water from a safe
distance or from behind shelter.

5.5 Extinguishing Agents

There are many materials that may be used as fire­fighting
agents.   The   primary   agents   discussed   in   the   following
paragraphs are the most extensively used.

Water  is  a  cooling  agent,   and   it   is  easily  available.   If   the

surface temperature of a fire can be lowered below the fuel's
ignition temperature, the fire would be extinguished. Water
is   most   efficient   when   it   absorbs   enough   heat   to   raise   its
temperature   to   100°C   or   boiling   point.   The   steam   carries
away the heat, which cools the surface temperature.
Water   in   the   form   of   fog   is   very   effective   for   fire­fighting
purposes. Additionally, water fog can provide protection to fire
fighters from heat. However, the fog must be applied directly to
the area to be cooled if its benefits are to be realized.

Water   in   the   form   of   a   straight   stream   (also   called   solid

stream) is used to reach into smoke­filled spaces or areas at
a distance from the fire fighter. When a straight stream is
needed as an extinguishing agent, it should be directed into
the seat of the fire. For maximum cooling, the water must
come in direct contact with the burning material. A straight
stream is best used to break up and penetrate materials.
118 Aviation Safety and Security Management

AFFF   is   composed   of   synthetically   produced   materials
similar to liquid detergents. These film­forming agents are
capable   of   forming   water   solution   films   on   the   surface   of
flammable liquids.
AFFF concentrate is non­toxic and biodegradable in diluted
form. When proportioned with water, AFFF provides three
__________________ fire­extinguishing advantages.
__________________ An aqueous film is formed on the surface of the fuel that 
__________________ prevents the escape of the fuel vapours.
The layer effectively excludes oxygen from the fuel surface.
The water content of the foam provides a cooling effect.

The primary use of AFFF is to extinguish burning flammable
or combustible liquid spill fires (class B). AFFF has excellent
penetrating   characteristics   and   is   superior   to   water   in
extinguishing class A fires.

CO2   is   an   inert   gas   and   extinguishes   fires   by   smothering

them. CO2 is about 1.5 times heavier than air, which makes
it a suitable extinguishing agent because it tends  to settle
and blanket the fire. CO2 is a dry, non­corrosive gas, which
is inert when in contact with most substances and would not
leave   a   residue   and   damage   machinery   or   electrical
equipment. CO2 is a non­conductor of electricity regardless
of voltage, and can be safely used in fighting fires that would
present the hazard of electric shock.
CO2 extinguishes the fire by diluting and displacing its oxygen
supply. If gaseous CO2 is directed into a fire so that sufficient
oxygen to support combustion is no longer available, the flames
would die out. CO2 has limited cooling capabilities, and may not
cool   the   fuel   below   its   ignition   temperature.   It   is   more   likely
than other extinguishing agents to allow reflash.
CO2 is however, not an effective extinguishing agent for fires in
materials that produce their own oxygen supply, such as
UNIT 5 Aircraft Rescue and Fire Fighting Services. 119

fires involving reactive metals like magnesium and titanium. Notes
Halon   is   a   halogenated   hydrocarbon.   Halon   1211,   known __________________
chemically   as   bromo­chloro­difluoromethane,   is   colourless __________________
and has a sweet smell. Halon attacks the fire by inhibiting __________________
the chemical chain reaction. Halon decomposes upon contact __________________
with flames or hot surfaces above 900°F (482°C). Halon 1211 __________________
is  used   for  twin   agent   (AFFF/Halon   1211)   applications   on __________________
board flight and with mobile fire­fighting equipment. __________________

Potassium   bicarbonate  (PKP)  is  a dry  chemical   principally

used as a fire­fighting agent for flammable liquid fires. When
PKP   is   applied   to   fire,   the   dry   chemical   extinguishes   the
flame by breaking the combustion chain. PKP does not have
cooling   capabilities   on   fire.   PKP   is   highly   effective   in
extinguishing flammable liquid (class B) fires. Although PKP
can   be   used   on   electrical   (class   C)   fires,   it   would   leave   a
residue that may be hard to clean. Also, when combined with
moisture, it may corrode or stain the surfaces it settles on.
PKP does not produce a lasting inert atmosphere above the
surface of a flammable liquid. Therefore, its use would not
result in permanent extinguishing if ignition sources, such
as   hot   metal   surfaces   or   persistent   electrical   arcing,   are
present.   Reflash   of   the   fire   will   most   likely   occur.   The
ingredients   used   in   PKP   are   non­toxic.   However,   the
discharge of large quantities may cause temporary breathing
difficulty   and,   immediately   after   the   discharge,   it   may
seriously interfere with visibility.

5.6 Aircraft Fire Hazards

Flammable, hazardous, and fire accelerating materials carried
on aircraft are of major concern e.g. Aviation gasoline (AVGAS),
jet fuels (JP­4, JP­5, and JP­8), engine oils, oxygen systems, and
hydraulic   fluids   constitute   problems   in   aircraft   fire­fighting.
Under aircraft crash impact conditions where fuel­air mixtures
or mists are created, all fuels are easily ignited.
120 Aviation Safety and Security Management

The flash point (by closed cup method at sea level) of AVGAS
is   ­50°F   (­46°C).   The   rate   of   flame   spread   has   also   been
calculated to be between 700 and 800 feet per minute.
JP­4 jet fuel is a blend of gasoline and kerosene and has a
flash point from ­10°F (­23°C). The rate of flame spread has
also   been   calculated   to   be   between   700   and   800   feet   per

JP­5   fuel   is   a   kerosene   grade   with   a   flash   point   of   140°F

(60°C). The rate of flame spread has been calculated to be in
the order of 100 feet per minute.

5.7 General Hazards

Not every crash results in fire. The responsibility of the crash
fire fighter does not end when fire fails to occur. Serious actual
and potential fire hazards may have been created, which must
be eliminated or minimized without delay.

The   greater   the   damage   to   the   aircraft,   the   greater   the

possibility of fuel spillage. A spark or a hot engine part could
ignite   fuel   vapours   and   set   off   a   full­fledged   fire.   All
precautions must be taken all to prevent accidental ignition.

When an aircraft crashes, the impact usually ruptures the
fuel   lines   and   fuel   tanks.   Ordinarily,   all   the   fuel   is   not
liberated at once. There is a source of fuel that is supplying
the   fire   either   from   the   rupture   in   the   tank   or   from   the
loosened and ruptured fuel lines in the accessory section of
the engine.
The control of the fire around the fuselage section under these
conditions presents a very complex problem. The top portion of
the tank  is  more void of liquid  than  any  other section of the
tank. Because of the restraining cushion of the liquid
UNIT 5 Aircraft Rescue and Fire Fighting Services. 121

itself, the explosive force will be directed upward instead of Notes

downward or on a horizontal plane. __________________
Fuel   loads   can   vary   from   100   Litres   in   small   aircraft   to
approximately two Lakhs Litres or more in large jet aircraft.
Fuel   tanks   are   installed   in   a   variety   of   places   within   the
aircraft   structural   framework   or   as   a   built­in   part   of   the
wing. There is so little difference in the heat of combustion of
the various aircraft hydrocarbon fuels that the severity after
ignition   would   be   of   no   significance   from   the   "fire   safety" __________________

point of view. The fire­fighting and control measures are the __________________

same for the entire group of aviation hydrocarbon fuels. __________________

Oxygen   systems   on   aircraft   can   present   hazardous

conditions   to   fire   fighters   during   an   emergency.   Liquid
oxygen   is   a   light   blue   liquid   that   flows   like   water   and   is
extremely   cold.   It   boils   into   gaseous   oxygen   at   ­297°F   (­
147°C) and has an expansion rate of approximately 860 to 1.
Liquid oxygen is a strong oxidizer, and although it is non­
flammable, it vigorously supports combustion.

Anti­icing fluids are usually a mixture of about 85­percent
alcohol and 15­percent glycerine. While not as great as other
aircraft hazards, however alcohol used in aircraft anti­icing
systems   burns   with   an   almost   invisible   flame.   The   best
method of control is by dilution with water.

Class A combustibles in aircraft fires are best extinguished
with   AFFF.   When   aircraft   cockpit   and   interior   finish
materials are burned or charred, they produce toxic gases.
These   gases   include   carbon   monoxide,   hydrogen   chloride,
and hydrogen  cyanide.  Therefore, it is necessary that fire­
fighting and rescue personnel who enter an aircraft during a
fire   sequence   be   equipped   with   a   self­contained   breathing
122 Aviation Safety and Security Management

Alkaline or nickel­cadmium batteries may get hot from internal
shorting   or   thermal   runaway.   The   overheated   battery   is
hazardous to both aircraft and personnel and hence proper type
extinguishing agent available for instant use.
__________________ Inhalation   of   composite   fibres   resulting   from   aircraft   fires
__________________ and/or aircraft material damage may be harmful. Composite
__________________ materials   that   are   reinforced   with   carbon/graphite   fibres
__________________ provide   superior   stiffness,   a   high   strength­to­weight   ratio,
and ease of fabrication.  As  a result,  this material  is  being
used   extensively   in   advanced   aircraft,   to   replace   heavier
metal components. Unfortunately, carbon or graphite fibres
can   be   released   into   the   atmosphere   if   their   epoxy   binder
burns.   Once   free,   these   small   lightweight   fibres   can   be
transported   up   to   several   kilometres   by   air   currents   and,
because   of   their   high   electrical   conductivity,   can   damage
unprotected electrical/electronic equipment.
Until such time as more information is known, aircraft crash
and   fire­fighting   units   must   attempt   to   extinguish   fires
involving   carbon­fibre­reinforced   composites   as   quickly   as
possible and to provide maximum containment of the aircraft
Composite materials reinforced with boron fibres also provide
superior stiffness, a high strength­to­weight ratio, and ease of
fabrication. Unfortunately, boron fibres can be released if their
epoxy   binder   burns.   The   extinguishing,   containment,   and
cleanup   practices   for   boron   fibres   are   the   same   as   those
previously outlined for carbon or graphite fibres.

The   most   common   source   of   crash   fires   is   the   engine

compartment,   particularly   the   accessory   section.   Steps
should be taken by fire personnel to prevent ignition of fuel
vapours   by   hot   exhaust   stacks   and   collector   rings.   CO2
discharged through the cooling flaps, air scoop, or inspection
doors is an effective precaution.
UNIT 5 Aircraft Rescue and Fire Fighting Services. 123

Fuel spills can be caused by ruptured fuel lines. These spills
should be swept clear of the aircraft. Water streams should
be   used   to   be   followed   up   with   a   layer   of   foam   to   halt
vaporization.   An   aircraft   should   NEVER   be   dragged   or
moved unnecessarily. There is great danger that friction will
ignite the fuel.

Fuel Selector Valve is the primary fuel cut­off valve and is __________________

used to select various fuel tanks. This should be switched to __________________

OFF position, and then the valve completely separates the
source of fuel from engines.

Battery switch should be turned to OFF by the Fire People.
This is the master electrical switch and also the source of all
power  to  the  aircraft   electrical   system   when  the   engine(s)
are   not   running.   The   battery   should   be   disconnected,   if
possible, as detonators and electrical recognition devices are
connected ahead of the master switch. Turning the switch off
will not stop the flow of current to these devices.

The   hydraulic   system   of   a   crashed   aircraft   should   be

considered   a   potential   hazard.   The   loss   of   hydraulic   fluid/
pressure   could   cause   an   unexpected   movement   of   the
aircraft.   The   landing   gear   could   collapse   or   brakes   could
release, causing injury to personnel.

5.8 Determining the category of the aerodrome

The level of protection provided at an aerodrome for rescue
and   fire   fighting   is   required   to   be   appropriate   to   the
aerodrome category determined in accordance with Table 5­1
below and is based on the longest aeroplanes normally using
the aerodrome and their fuselage width. If after selecting the
category   appropriate   to   the   longest   aeroplane's   overall
length, that aeroplane's fuselage width is greater than the
maximum width in Table 5­1 below for that category,
124 Aviation Safety and Security Management

Notes then the category for that aeroplane is taken as one category
__________________ higher.   The   level   of   protection   is   appropriate   to   the
__________________ aerodrome category so determined.
Availability of ARFF services including level of protection and
watch   hours   is   notified   through   Aeronautical   Information
Publication and any temporary change in the status of service is
notified through NOTAM (Notice to Airmen).
Table 5­1: Aerodrome category for rescue and fire fighting.
__________________ Aerodrome Aeroplane overall length. Maximum
category. . fuselage width.
(1) (2) (3)
1 0 m up to but not including 9 m 2m
2 9 m up to but not including 12 m 2m
3 12 m up to but not including 18 m 3m
4 18 m up to but not including 24 m 4m
5 24 m up to but not including 28 m 4m
6 28 m up to but not including 39 m 5m
7 39 m up to but not including 49 m 5m
8 49 m up to but not including 61 m 7m
9 61 m up to but not including 76 m 7m
10 76 m up to but not including 90 m 8m

5.9 ARFF vehicles

All rescue and fire fighting vehicles are normally housed in a
fire station. Separate / Satellite fire stations can be provided
whenever the response time cannot be achieved from a single
fire station. Wherever position of satalite fire station is not
practicable,   at   least   one   ARFF   vehicle   is   required   to   be
positioned in forward position to meet the response time.
Number   of   vehicles   provided   for   ARFF   service   are
commensurate  with the aerodrome category  as  determined
in   accordance   with   table   5­1A.   The   minimum   number   of
rescue and fire fighting vehicles provided at an aerodrome
are in accordance with the following.

Table 5­1A

Category of aerodrome ARFF vehicles.

1 to 5 1.
6, 7 2.
8 3.
9 4.
10 5.
UNIT 5 Aircraft Rescue and Fire Fighting Services. 125

Fire Station of Cochin International Airport Limited (CIAL), __________________

Kochi __________________
5.10 Vehicle performance. __________________

ARFF vehicles would meet all the requirements outlined in  __________________
Table 5­2 below.

Table 5­2: Suggested minimum characteristics for rescue
and fire fighting vehicles.

RFF vehicles upto 4500 RFF vehicles over 4500

litre litres
Monitor Optional for Categories Required
Required for Categories
3 to 9.
Design High discharge capacity High and low discharge
feature capacity
Range Appropriate to longest Appropriate to longest
aircraft aircraft
Handlines Required Required
Under truck Optional Required
Bumper turret Optional Optional
Acceleration 80 km/h within 25 80 km/h within 40 seconds
seconds at normal at normal operating
operating temperature temperature
Top speed At least 105 km/h At least 100 km/h
All wheel Yes Required
Automatic Yes Required
and semi
Single rear Preferable for categories Required
wheel 1&2.
configuration Required for categories
3 to 9
Minimum 30 degree 30 degree
angle of
approach and
Minimum 30 degree 28 degree
angle of tilt
126 Aviation Safety and Security Management

Notes ARFF   vehicles   and   equipment   are   subjected   to   inspection

__________________ schedules and tests on a daily, weekly, monthly, quarterly,
__________________ half­yearly and annual basis. ARFF are required to have a
__________________ comprehensive   fleet   management   programme   with   a
__________________ prescribed   test   method   to   check   performance   at   regular
__________________ interval.
5.11 Response Time
__________________ Response time is considered as the time between the initial
__________________ call   to   the   ARFF   and   the   time   when   the   first   responding
__________________ vehicle(s) is (are) in position and if required, apply foam at a
rate of at least 50 % of the discharge rate specified in Table
The operational objective of the ARFF would be to achieve
response time not exceeding three minutes to the end of each
runway in conditions of visibility 2500 m or better and dry,
paved   surface   conditions.   Any   other   vehicles   required   to
deliver   the   amounts   of   extinguishing   agents   specified   in
Table5­2   would   arrive   no   more   than   one   minute   after   the
first responding vehicle(s) so as to provide continuous agent
Access   routes   to   the   response   area   are   required   to   be
designated   and   made   suitable   for   use   by   RFF   vehicles.
Routes  are to be maintained in a condition that facilitates
use.   Procedures   would   be   developed   to   place   the   RFF
personnel   on   stand   by  alert   when  the  aerodrome  visibility
has deteriorated below a predetermined level.
Table 5.3: minimum usable amounts of extinguishing agents.

Foam meeting performance Foam meeting Complemen

level A performance level B tary agents
Discharge rate Discharge rate Dry2
Aerodro Water foam Water foam solution Chemical
me 1 solution 1 /minute powders.
Categor (L) (L) (L) (L) (Kg)
(1) (2) (3) (4) (5) (6)
1 350 350 230 230 45
2 1000 800 670 550 90
3. 1800 1300 1200 900 135
4. 3600 2600 2400 1800 135
UNIT 5 Aircraft Rescue and Fire Fighting Services. 127

5. 8100 4500 5400 3000 180 Notes

6. 1180 6000 7900 4000 225
7. 1820 7900 12100 5300 225 __________________
8. 2730 10800 18200 7200 445 __________________
0 __________________
9. 3640 13500 24300 9000 450
0 __________________
10. 4820 16600 32300 11200 450
Supplementary   water   supplies,   for   the   expeditious __________________

replenishment   of   rescue   and   fire   fighting   vehicles   at   the __________________

scene of an aircraft accident would be provided. __________________
5.12 Fire extinguishing agent performance
The   primary   attack   agent   for   ARFF   vehicles   would   be
aqueous film forming foam (AFFF), performance conforming
to level B, as given below in table 5­4. Requisite quantities of
foam   compound   would   be   maintained   at   each   station   in
conformation with ICAO guidelines.

Table 5­4
Fire tests Performance level B
1. Nozzle (air aspirated).
 Branch pipe. “UNI 86” foam nozzle.
 Nozzle pressure. 700 kPa.
2.5 litre per minute per square meter.
 Application rate.
11.4 litre per minute
 Discharge rate
2. Fire size 4.5 square meter approx. (circular)
3. Fuel (on water substrate) Kerosene
4. Preburn time 60 seconds
5. Fire performance.
 extinguishing time. Equal to or less than 60 seconds.
 total application time. 120 seconds.
 25% reignition time. Equal to or more than 5 minutes.

In   addition   to   primary   agent,   necessary   amount   of

complementary agent would also be carried in ARFF vehicles.
A minimum of 200 % of foam concentrate and complementary
agent would be held in reserve and would be available at all
times   on   the   aerodrome.   Additional   stocks   of   extinguishing
agents required for training would be also provided.

The   complementary   agents   would   comply   with   the

appropriate specifications of the Bureau of Indian Standards
128 Aviation Safety and Security Management

Notes ISO or equivalent. The discharge rate of the foam solution
__________________ would  not   be   less   than   the   rates   shown   in   Table­5­2.   The
__________________ discharge   rate   of   complementary   agents   would   be   selected
__________________ for optimum effectiveness of the agent.
5.13 Ancillary equipment and performance criteria
__________________ ARFF vehicles carry a wide range of rescue, fire fighting and
__________________ salvage equipment as complements for providing rescue and
__________________ fire fighting function. The list of such ancillary equipment is
__________________ maintained at each ARFF vehicle and station.
Equipments are tested at regular intervals in conformation
with   performance   criteria   and   the   results   are   recorded   in
equipment   log   books   to   draw   life   cycle   for   repair   /
refurbishing / replacement.

5.15 ARFF personnel- recruitment, training and

Medical fitness
The recruitment of ARFF personnel should conform to the
recruitment rules laid by Airports Authority of India. Details
of   academic,   physical   and   medical   standards   for   each
category   should   conform   to   recruitment   rules   issued   by
Airports   Authority   of   India.   All   ARFF   operational   staff
would be qualified and competent for their respective level in
the   service.   They   should   also   conform   to   the   prescribed
medical and physical fitness.
ARFF   officers   and   staff   would   undergo   stipulated   training
courses at the fire training college/centre before deployment
at the station. Fire Service Training Colleges are established
by   AAI   at   Kolkata   and   Delhi,   with   training   courses
conforming to ICAO training manual. The ARFF personnel
would undergo station level familiarization training on local
topography   and   equipment   before   deployment   in   actual

5.16 Emergency access roads

Emergency access roads would be provided on an aerodrome 
where terrain conditions permit their construction, to
UNIT 5 Aircraft Rescue and Fire Fighting Services. 129

facilitate   achieving   minimum   response   times.   Particular Notes

attention would be given to the provision of ready access to __________________
approach areas up to 1000 m from the threshold, or at least __________________
within the aerodrome boundary. Where a fence is provided, a __________________
convenient exit to outside areas shall be provided. __________________

Emergency access roads would be capable of supporting the __________________

heaviest vehicles which would use them, and be usable in all __________________

weather conditions. Roads within 90 m of a runway would be __________________

surfaced to prevent surface erosion and the transfer of debris __________________

to   the   runway.   Sufficient   vertical   clearance   would   be __________________

provided from overhead obstructions for the largest vehicles. __________________

Proper Communication facilities would also be provided for
ARFF services.
An   alerting   system   for   rescue   and   fire   fighting   personnel
should be provided at fire station, sub fire stations and the
aerodrome control tower.
ARFF   service   includes   RFF   vehicles   (major   CFTs,   small
CFTs),   Ambulances,   water   bowsers,   rescue   tenders,   high
mast lights.

5.17 Interruption or change to level of operational

service and contingency plans
A system of notification with regard to level of fire protection
and category reduction / up­gradation would be followed as
and when any emergency or break down is encountered.

5.18 Arrangements with state/city fire brigades

and other 3rd party providers
Arrangement   are   required   to   be   made   at   each   airport   for
with   State/City   and/or   other   3rd   party   fire   brigades   to
supplement airport fire services during aircraft emergency.

5.19 Aerodrome emergency planning

An aerodrome emergency plan is required to be established
at   all   aerodromes,   where   RFF   facilities   have   been
130 Aviation Safety and Security Management

Notes The plan provides details for the coordinated action to be taken
__________________ during an emergency at an aerodrome or in its vicinity.
It   should   contain   details   of   responsibility   and   the   type   of
participation needed from all agencies while responding to
an emergency.
__________________ It   would   also   provide   details   of   special   infrastructure   like
__________________ casuality   centre   and   command   post   etc   available   and
__________________ required at an aerodrome.
__________________ The   command   post   would   be   a   facility   capable   of   being
__________________ moved rapidly to the site of an emergency, when required,
and   would   undertake   the   local   coordination   of   agencies
responding to the emergency.

5.20 The aerodrome emergency plan document

would include at least the following
types of emergencies planned for viz.;.
0 aircraft crash.
1 aircraft emergencies (local standby, visibility 
standby & full emergency);.
2 bomb threat;.
3 unlawfully seized aircraft;.
4 building fires; and.
5 national / natural disasters.
agencies involved in the plan;.
responsibility   and   role   of   each   agency,   the   emergency
operations centre and the command post, for each type
of emergency ie; local standby, full emergency, aircraft
information  on  names  and   telephone  numbers   of  offices   or
people   to   be   contacted   in   the   case   of   a   particular
emergency; and.
a grid map of the aerodrome and its immediate vicinity.
The plan would observe Human Factors principles to ensure 
optimum response by all existing agencies participating in
UNIT 5 Aircraft Rescue and Fire Fighting Services. 131

emergency operations. It would provide for co­operation and Notes

coordination with rescue coordination centre. __________________
Arrangements would be made to establish fixed emergency
operation   centre,   equipped   with   adequate   communication
facilities,   for   overall   coordination   and   general   direction   of
the response to an emergency.
5.21 Aerodrome Emergency Exercise __________________
In order to test the adequacy of the aerodrome emergency
plan full scale aerodrome emergency exercise is required to
be   carried   out   at   intervals   of   not   exceeding   2   years   and
partial emergency exercise once in the intervening period to
ensure that any deficiencies found during the exercises are

5.22 Disabled aircraft removal

Disabled aircraft removal plan is required to be developed by
each aerodrome and included in the aerodrome manual.
The   disabled   aircraft   removal   plan   should   be   based   on   the
characteristics of the aircraft that may normally be expected to
operate at the aerodrome, and include among other things:
a list of equipment and personnel on, or in the vicinity of,
the   aerodrome   which   would   be   available   for   such
purpose; and.
arrangements for the rapid receipt of aircraft recovery 
equipment kits available from other aerodromes.

ICAO   Annex   14   to   the   Convention   on   International   Civil

Aviation­Volume I­' Aerodrome Design and Operations',
Fourth Edition, July 2004
Civil Aviation Requirements, Section­4, Aerodrome Standards
& Air Traffic Services, Series 'B', Part I dated 31st July,
2006­: Aerodrome Design And Operations, issued by Office
Of Director General Of Civil Aviation.

ICAO Airport Services Manual (Doc 9137) Part 1 ­ Rescue 
and Fire Fighting.
132 Aviation Safety and Security Management

Notes Airports Authority of India Air Traffic Services Manual
AAI Airport Operations Manual
__________________ Questions
__________________ General Questions.
__________________ What do you understand by the term 'Aerodrome Category'
__________________ in   relation   to   ARFF?   How   'Aerodrome   Category'   is
__________________ determined?
What are the different classes of Fire? What are the most 
suitable methods of controlling them?

Objective Type of questions

Class 'C' fire is caused due to ­­­­­­.

Most suitable fire extinguishing agent for control of burning 
aircraft fuel is ­­­­­­
Four essential conditions for origination and continuation of 
fire are Heat, Oxygen, Fuel and ­­­­.
Response time is considered as the time between the initial
call to the ARFF and the time when the first responding
vehicle is in position and if required, apply foam at a
rate of at least 50% of the discharge rate.­ True/ False
From   the   table   given   below,   determine   the   'Aerodrome
Category' (In relation to ARFF) for an airport, where the
following aircraft are operating on a regular basis?

Type of Aircraft Length Max fuselage width

B-737 31 m 3.8 m

A-320 38 m 4.0 m

A-300 54 m 5.7 m

B-747 71 m 7.5 m

Aerodrome category Aeroplane overall length. Maximum fuselage width.

1 0 m to less than 9 m 2m

2 9 m to less than 12 m 2m

3 12 m to less than 18 m 3m
UNIT 5 Aircraft Rescue and Fire Fighting Services. 133

4 18 m to less than 24 m 4m Notes

5 24 m to less than 28 m 4m __________________

6 28 m to less than 39 m 5m __________________

7 39 m to less than 49 m 5m __________________

8 49 m to less than 61 m 7m
9 61 m to less than 76 m 7m
10 76 m to less than 90 m 8m
Answers to Objective Type of questions
Electrical faults. __________________

Aqueous Film­forming Foam (AFFF) __________________

Chain Reaction.


The Aerodrome Category is 10 (Highest of all)
UNIT 6 ICAO Standards & Recommended Practices 135

Unit 6 Notes
ICAO Standards & __________________

Recommended Practices __________________

ORGANIZATION (ICAO) __________________
The   International   Civil   Aviation   Organization   (ICAO)   is __________________
recognized by the United Nations as a specialized agency for __________________
International civil aviation, which codifies the principles and
techniques   of   international   air   navigation   and   fosters   the
planning and development of International air transport to
ensure its safe, efficient and orderly evolution.
The   ICAO   Council   adopts   Standards   and   Recommended
Practices concerning air navigation, prevention of unlawful
interference,   and   facilitation   of   border­crossing   procedures
for international civil aviation.
In addition, the ICAO defines the protocols for air accident
investigation   followed   by   transport   safety   authorities   in
countries signatory to the Convention on International Civil
Aviation, commonly known as the Chicago Convention.
An agreement between ICAO & UN is designed to ensure an
efficient   working   relationship   and   a   mutual   recognition   of
their respective roles. However, ICAO is not subordinate to,
and   does   not   receive   any   line­of­command   authority   from,
the United Nations.
Civil aviation is a powerful force for progress in our modern
global society. A healthy and growing air transport system
creates   and   supports   millions   of   jobs   worldwide.   It   forms
part   of   the   economic   lifeline   of   many   countries.   It   is   a
catalyst for travel and tourism, the world’s largest industry.
Beyond   economics,   air   transport   enriches   the   social   and
cultural fabric of society and contributes to the attainment of
peace and prosperity throughout the world.
136 Aviation Safety and Security Management

Notes Twenty four hours a day, 365 days of the year, an aeroplane
__________________ takes off or lands every few seconds somewhere on the face of
__________________ the earth. Every one of these flights is handled in the same,
__________________ uniform   manner,   whether   by   air   traffic   control,   airport
__________________ authorities or pilots at the controls of their aircraft. Behind
__________________ the   scenes   are   millions   of   employees   involved   in
__________________ manufacturing, maintenance and monitoring of the products
__________________ and services required in the never­ending cycle of flights. In
fact, modern aviation is one of the most complex systems of
interaction   between   human   beings   and   machines   ever
This clock­work precision in procedures and systems is made
possible by the existence of universally accepted standards
known as Standards and Recommended Practices, or SARPs.
SARPs   cover   all   technical   and   operational   aspects   of
international   civil   aviation,   such   as   safety,   personnel
licensing,   operation   of   aircraft,   aerodromes,   air   traffic
services,   accident   investigation   and   the   environment.
Without SARPs, our aviation system would be at best chaotic
and at worst unsafe.
Creating and modernizing SARPs is the responsibility of the
International   Civil   Aviation   Organization,   or   ICAO,   the
specialized agency of the United Nations whose mandate is
to   ensure   the   safe,   efficient   and   orderly   evolution   of
international civil aviation.
ICAO has its headquarters in Montreal, Canada, with seven
regional offices throughout the world. From its beginning in
1944   it   has   grown   to   an   organization   with   over   180
Contracting States. The charter of ICAO is the Convention
on   International   Civil   Aviation,   drawn   up   in   Chicago   in
December 1944, and to which each ICAO Contracting State
is a party.
According to the Convention, the Organization is made up of
an Assembly, a Council and a Secretariat. The chief officers
are the President of the Council and the Secretary General.
It   is   in   the   Council   that   Standards   and   Recommended
Practices   are   adopted   and   incorporated   as   Annexes   to   the
Convention on International Civil Aviation. With regard to
UNIT 6 ICAO Standards & Recommended Practices 137

the development of Standards, the Council is assisted by the Notes
Air   Navigation   Commission   in   technical   matters,   the   Air __________________
Transport   Committee   in   economic   matters   and   the __________________
Committee   on   Unlawful   Interference   in   aviation   security __________________
matters. __________________

The   principal   body   concerned   with   the   development   of __________________

technical   Standards   and   other   provisions   is   the   Air __________________

Navigation   Commission.   Its   primary   role   is   to   advise   the __________________

Council of ICAO on air navigation issues. The Secretariat, __________________

headed   by   a   Secretary   General,   is   divided   into   five   main __________________

divisions:   the   Air   Navigation   Bureau,   the   Air   Transport __________________

Bureau,   the   Technical   Co­operation   Bureau,   the   Legal

Bureau, and the Bureau of Administration and Services.

The ICAO Bulletin:  This document is published 12  times
annually and contains a digest of ICAO meetings and
activities for the previous period.
Final Reports of Meetings: The final reports of divisional,
regional,   and   panel   meetings   include   the   proceedings
and   recommendations   of   each   meeting.   Approved
recommendations are separately referred to the affected
states for implementation
Annexes   to   the   Convention:  Standards   and  Recommended
Practices   of   ICAO   are   designated   as   “Annexes”   to   the
Convention and are published separately for each technical
field after adoption by the Council

Procedures   for   Air   Navigation   Services   (PANS):  The

uniform  application of   certain  operating  procedures   is
necessary   for   safe   and   efficient   air   navigation.
Operating   procedures   covering   aircraft   operations,
construction of visual and instrument flight procedures,
ICAO abbreviations and codes, rules of the air, and air
traffic services have been adopted by ICAO.
Supplementary   Procedures:  Certain   procedures   apply
only   in   specific   regions   and   those   are   published   as
Supplementary Procedures.
138 Aviation Safety and Security Management

Notes Field   Manuals:  These   manuals   have   no   formal   status   by

__________________ themselves but derive their status from the International
__________________ Standards, Recommended Practices, and PANS from which
__________________ they are compiled. They are prepared primarily for the use
__________________ of personnel engaged in operations in the field.
ICAO Circulars:  ICAO Circulars are issued by the  Secretary
General   to   make   specialized   information   available   to
contracting   states.   They   include   studies   of   statistics,
summaries of treaties or agreements, analyses of technical
documents, and studies of technical subjects
The   publications   discussed   in   this   paragraph   and   other
publications   published   and   distributed   by   ICAO   are
available   at   the   following   address:   Public   Information
Office, International Civil Aviation Organization, 1000
Sherbrooke   Street   West,   Suite   400   Montreal,   Quebec
Canada H3A, 2R2 97.


ICAO   Annexes   contain   the   Standards   and   Recommended
Practices   that   have   been   adopted   through   international
agreement. The 18 Annexes are described as follows:
1, Annex 1, Personnel Licensing, provides information
on licensing of flight crews, air traffic controllers, and
aircraft maintenance personnel
Annex 2, Rules of the Air, contains rules relating to 
conducting visual and instrument flight
Annex   3,   Meteorological   Service  for   International   Air
Navigation,   provides   for   meteorological   services   for
international   air   navigation   and   reporting   of
meteorological observations from aircraft
Annex 4, Aeronautical Charts, contains specifications for 
aeronautical charts used in international aviation

Annex   5,   Measurement  Units   Used   in   Air   and   Ground

Operations, lists dimensional systems to be used in air
and ground operations
UNIT 6 ICAO Standards & Recommended Practices 139

Annex 6, Operation of Aircraft, enumerates specifications Notes
which   ensure   a   level   of   safety   above   a   prescribed __________________
minimum   in  similar  operations   throughout   the  world. __________________
The three parts of this Annex are as follows: __________________
•   Part   I   ­   International   Commercial   Air   Transport   ­ __________________
Airplanes • Part II ­ International General Aviation ­ __________________
Airplanes   •   Part   III   ­   International   Operations   ­ __________________
Helicopters __________________

Annex 7, Aircraft Nationality and Registration Marks, __________________

specifies   requirements   for   registration   and __________________

identification of aircraft
Annex 8, Airworthiness of Aircraft, specifies uniform 
procedures for certification and inspection of aircraft
Annex 9, Facilitation, provides for simplification of border­
crossing formalities
Annex 10, Aeronautical Telecommunications, volume 1,
provides   for   standardization   of   communications
equipment   and   systems,   and   volume   2   standardizes
communications procedures
Annex   11,   Air   Traffic  Services,   includes   information  on
establishing   and   operating   air   traffic   control,   flight
information, and alerting services
Annex   12,   Search   and   Rescue,   provides   information  on
organization   and   operation   of   facilities   and   services
necessary for search and rescue
Annex 13, Aircraft Accident Investigation, provides  for
uniformity in notification, investigation, and reporting
on aircraft accidents
Annex 14, Aerodromes, contains specifications for the 
design and equipment of aerodromes
Annex 15, Aeronautical Information Services,  includes
methods   for   collecting   and   disseminating   aeronautical
information required for flight operations
Annex   16,   Environmental   Protection,   contains
specifications for aircraft noise certification, noise
140 Aviation Safety and Security Management

Notes monitoring,   and   noise   exposure   units   for   land­use

__________________ planning   (volume   1)   and   aircraft   engine   emissions
__________________ (volume 2)
Annex   17,   Security­Safeguarding   International   Civil
Aviation   Against   Acts   of   Unlawful   Interference,
specifies   methods   for   safeguarding   international   civil
aviation against unlawful acts of interference
__________________ Annex 18, The Safe Transport of Dangerous Goods by
__________________ Air,  contains   specifications   for   labelling,   packing,   and
__________________ shipping dangerous cargo.


A   Standard   is   defined   as   any   specification   for   physical
characteristics,   configuration,   material,   performance,
personnel or procedure, the uniform application of which is
recognized   as   necessary   for   the   safety   or   regularity   of
international air navigation and to which Contracting States
will conform in accordance with the Convention; in the event
of impossibility of compliance, notification to the Council is
compulsory under Article 38 of the Convention.

Recommended Practice
A   Recommended   Practice   is   any   specification   for   physical
characteristics,   configuration,   material,   performance,
personnel or procedure, the uniform application of which is
recognized as desirable in the interest of safety, regularity or
efficiency   of   international   air   navigation,   and   to   which
Contracting States will endeavour to conform in accordance
with the Convention. States are invited to inform the Council
of non­compliance.
Why are Standards Necessary?
Sixteen out of eighteen Annexes to the Convention are of a
technical nature and therefore fall within the responsibilities
of the Air Navigation Bureau and its sections. The remaining
two Annexes, Facilitation and Security, are under the
UNIT 6 ICAO Standards & Recommended Practices 141

purview of the Air Transport Bureau. Since the majority of Notes
the Annexes concern technical issues, it is focused on them __________________

when the development process is described. __________________
ICAO standards and other provisions are developed in the
following forms:
Standards and Recommended Practices ­ collectively 
referred to as SARPs; __________________
Procedures for Air Navigation Services ­ called PANS; __________________
Regional Supplementary Procedures ­ referred to as SUPPs; 
Guidance Material in several formats.

SARPs   are   formulated   in   broad   terms   and   restricted   to

essential   requirements.   For   complex   systems   such   as
communications equipment, SARPs material is constructed
in   two   sections:   core   SARPs   ­   material   of   a   fundamental
regulatory   nature   contained   within   the   main   body   of   the
Annexes, and detailed technical specifications placed either
in Appendices to Annexes or in manuals.
How SARPs are depicted in Annexes?
The Recommended Practices are always written with Italic
“Fonts” and ‘should’ word is used in Recommended Practices.
Standards are written with normal “Fonts” and ‘shall’ word
is used in Standards.
Examples   of   typical   of   Standards   and   Recommended
Practices from ICAO Annex­14 are given below;

4.2.6  Recommendation.—  In   considering   proposed

construction,   account   should   be   taken   of   the   possible
future   development   of   an   instrument   runway   and
consequent   requirement   for   more   stringent   obstacle
limitation surfaces.
(Standards are shown in the following form)
Non­precision approach runways
4.2.7 The following obstacle limitation surfaces shall be 
established for a non­precision approach runway:
142 Aviation Safety and Security Management

Notes — conical surface;
__________________ — inner horizontal surface;
— approach surface; and
— transitional surfaces.
__________________ ————“
The basic  criterion for deciding whether  a particular  issue
should   be   a   Standard   is   an   affirmative   answer   to   the
question,   “Is   uniform   application   by   all   contracting   States
essential?” The applicability of a Standard may be subject to
certain  conditions  relating  to  such areas  as  terrain,  traffic
density,   stages   of   flight,   and   climate.   A   Standard   should,
however, be applied equally by any contracting state where
those   specified   conditions   are   encountered,   unless   the
contracting state notifies ICAO of a difference

Origin of Proposals for SARPs

How   are   SARPs   created?   What   makes   them   so   effective
today and how can they ensure the safe, efficient and orderly
growth of international civil aviation in the years to come?
The   answer   lies   in   the   four   “C’s”   of   aviation:   cooperation,
consensus, compliance and commitment. Cooperation in the
formulation   of   SARPs,   consensus   in   their   approval,
compliance   in   their   application,   and   commitment   of
adherence to this on­going process.
The   formulation   of   new   or   revised   SARPs   begins   with   a
proposal for action from ICAO itself or from its Contracting
States.   Proposals   also   may   be   submitted   by   international

Development of SARPs
For technical SARPs, proposals are analysed first by the Air
Navigation Commission, or ANC. Depending on the nature of
the   proposal,   the   Commission   may   assign   its   review   to   a
specialized working group.
Meetings are, of course, the main vehicle for progress in the
air navigation field, although much of the preparatory work
is accomplished by correspondence. It is through a variety of
UNIT 6 ICAO Standards & Recommended Practices 143

meetings   that   most   of   the   work   is   finalized   and   the Notes

necessary consensus reached. __________________
In the development, a number of consultative mechanisms
are used:
Air   Navigation   meetings   are   divisional­type   meetings __________________
devoted to broad issues in the air navigation fields. They can __________________
be either divisional meetings dealing with issues in one or __________________
more  related   fields  or  air   navigation   conferences   normally __________________
having a “theme” covering issues in more than one field. All __________________
Contracting   States   are   invited   to   participate   in   these __________________
meetings   with   equal   voice.   Interested   international
organizations are invited to participate as observers.
ANC panels are technical groups of qualified experts formed by
the ANC to advance, within specified time frames, the solution
of specialized problems which cannot be solved adequately or
expeditiously by the established facilities of the ANC and the
Secretariat. These experts act in their expert capacity and not
as representatives of the nominators.

Air   Navigation   study   groups   are   small   groups   of   experts

made available by States and international organizations to
assist   the   ICAO   Secretariat,   in   a   consultative   capacity,   in
advancing progress on technical tasks.
Council   technical   committees   are   established   to   deal   with
problems   involving   technical,   economic,   social   and   legal
aspects, for the resolution or advancement of which expertise
is required that is not available through the normal Council
means, are also instrumental in developing ICAO SARPs.
In summary, technical issues dealing with a specific subject
and requiring detailed examination are normally referred by
the ANC to a panel of experts. Less complex issues may be
assigned to the Secretariat for further examination, perhaps
with the assistance of an air navigation study group.

Review of Draft SARPs

These   various   groups   report   back   to   the   Air   Navigation
Commission   in   the   form   of   a   technical   proposal   either   for
revisions to SARPs or for new SARPs, for preliminary review.
144 Aviation Safety and Security Management

Notes This   review   is   normally   limited   to   consideration   of

__________________ controversial issues which, in the opinion of the Secretariat
__________________ or   the   Commission,   require   examination   before   the
__________________ recommendations are circulated to States for comment.
The   original   recommendations   for   core   SARPs   along   with
any   alternative  proposals   developed  by  the  Air   Navigation
__________________ Commission   are   submitted   to   Contracting   States   and
__________________ selected   international   organizations   for   comment.   Detailed
__________________ technical   specifications   for   complex   systems   are   made
__________________ available   to   States   upon   request   and   are   submitted   to   a
__________________ validation process. States are normally given three months
to comment on the proposals.
Standards   developed   by   other   recognized   international
organizations   can   also   be   referenced,   provided   they   have
been subject to adequate verification and validation.
The comments of States and international organizations are
analysed by the Secretariat and a working paper detailing
the   comments   and   the   Secretariat   proposals   for   action   is
The   Commission   undertakes   the   final   review   of   the
recommendations   and   establishes   the   final   texts   of   the
proposed   amendments   to   SARPs,   PANS   and   associated
attachments. The amendments to Annexes recommended by
the   Commission   are  presented  to  the  Council   for   adoption
under cover of a “Report to Council by the President of the
Air Navigation Commission”.

Adoption/Publication of Annex Amendments

The   Council   reviews   the   proposals   of   the   Air   Navigation
Commission and adopts the amendment to the Annex if two­
thirds of the members are in favour.
Within two weeks of the adoption of an Annex amendment
by   the   Council,   an   interim   edition   of   the   amendment,
referred  to  as  the  “Green  Edition”,   is   dispatched  to  States
with a covering explanatory letter. This covering letter also
gives the various dates associated with the introduction of
the amendment.
UNIT 6 ICAO Standards & Recommended Practices 145

Policy prescribes that   Contracting States   be  allowed  three Notes

months   to   indicate  disapproval   of   adopted  amendments   to __________________
SARPs.   A   further   period   of   one   month   is   provided   for __________________
preparation   and   transit   time,   making   the   Effective   Date __________________
approximately four months after adoption by Council. There __________________
should be a period of four months between an amendment’s __________________
Effective Date and its Applicability Date. However, this can __________________
be   longer   or   shorter   as   the   situation   requires.   The __________________
Notification   Date   is   normally   one   month   prior   to   the __________________
Applicability Date. __________________
Provided   a   majority   of   States   have   not   registered __________________
disapproval,   the   amendment   will   become   effective   on   the
Effective Date.
On the Notification Date, which is one month prior to the
Applicability Date, the States must notify the Secretariat of
any   differences   that   will   exist   between   their   national
regulations and the provision of the Standard as amended.
The reported differences are then published in supplements
to Annexes.
Immediately   after   the   Effective   Date,   a   letter   is   sent
announcing  that the amendment  has  become effective and
the   Secretariat   takes   action   to   issue   the   “Blue   Edition”
which   is   the   form   of   the   amendment   suitable   for
incorporation in the Annex or PANS.
On   the   Applicability   Date,   States   must   implement   the
amendments unless, of course, they have  notified differences.
To limit the frequency of Annex and PANS amendments, the
Council has established one common applicability date for each
year. This date is chosen from the schedule for the regulation of
amendments   to   Aeronautical   Information   Regulation   and
Control (AIRAC) for the month of November.

The   result   of   this   adoption   procedure   is   that   the   new   or

amended   Standards   and   Recommended   Practices   become
part of the relevant Annex.
It takes on average 2 years from the Preliminary Review by
the ANC to the applicability date. Although this process may
seem lengthy at first glance, it provides for repeated
146 Aviation Safety and Security Management

Notes consultation   and   extensive   participation   of   States   and

__________________ international organizations in producing a consensus based
__________________ on logic and experience.
Cooperation and consensus have thus provided international
aviation with the  vital infrastructure for safe and efficient
air   transport.   The   third   “C”,   compliance,   brings   this
comprehensive regulatory system to life.
__________________ Implementation of SARPs/Universal Safety Oversight Au-
__________________ dit Programme
__________________ Under   the  Convention   on  International   Civil   Aviation,   the
implementation  of   SARPs   lies   with  Contracting  States.   To
help them in the area of safety, ICAO established in 1999 a
Universal   Safety   Oversight   Audit   Programme.   The
Programme consists of regular, mandatory, systematic and
harmonized   safety   audits   carried   out   by   ICAO   in   all
Contracting States.
The   objective   is   to   promote   global   aviation   safety   by
determining the status of implementation of relevant ICAO
SARPs,   associated   procedures   and   safety­related   practices.
The   audits   are   conducted   within   the   context   of   critical
elements of a State’s safety oversight system. These include
the   appropriate   legislative   and   regulatory   framework;   a
sound organizational structure; technical guidance; qualified
personnel; licensing and certification procedures; continued
surveillance and the resolution of identified safety concerns.
Since its inception, the Programme has proved effective in
identifying safety concerns in the safety­related fields under
its   scope,   while   providing   recommendations   for   their
resolution. The Programme is being gradually expanded to
include aerodromes, air traffic services, aircraft accident and
incident investigation and other safety­related fields.
While providing additional assistance in the form of regional
safety   oversight   seminars   and   workshops,   the   programme
also   provides   ICAO   with   valuable   feedback   to   improve
existing SARPs and create new ones.
The experience gained with the safety oversight programme
was successfully adapted to aviation security. In 2002, the
UNIT 6 ICAO Standards & Recommended Practices 147

Universal   Security   Audit   Programme   was   launched   to Notes

similarly   help   States   identify   deficiencies   in   the __________________
implementation of security­related SARPs. The format may __________________
in the future be applied to other areas of civil aviation. __________________
Yes,   cooperation,   consensus,   compliance   and   an   unfailing
commitment to the on­going implementation of SARPs have
made it possible to create a global aviation system that has __________________

evolved   into   the   safest   mode   of   mass   transportation   ever __________________

conceived. The flight crew of today’s commercial aircraft, as __________________

their predecessors and those that will follow, can count on a __________________

standardized   aviation   infrastructure   wherever   they   fly   in __________________

the world.
ICAO   is   proud   of   this   unique   achievement,   based   on   the
singled­minded   pursuit   of   working   with   its   Contracting
States   and   all   other   partners   of   the   international   civil
aviation   community   in   providing   the   citizens   of   the   world
with an aviation system that is safe and reliable, now and
for years to come.

Various related ICAO Annexes & Documents

ICAO Website

General Questions.
Write different steps involved in development of SARPs 
starting from “Proposal stage” till “implementation”.
How SARPs are adopted and published

Objective Type of questions

‘There are 18 ICAO Annexes, which contain — that have 
been adopted through International agreement.
Standards’ are mandatory requirements set up by ICAO in
its Annexes for the safety or regularity of International
air navigation and is denoted by the words —­
148 Aviation Safety and Security Management

Notes A   Recommended   Practice   is   any   specification   for   physical

__________________ characteristics,   configuration,   material,   performance,
__________________ personnel   or   procedure,   the   uniform   application   of
__________________ which is recognized as desirable in the interest of safety,
__________________ regularity or efficiency of international  air navigation,
__________________ and   to   which   Contracting   States   will   endeavour   to
__________________ conform in accordance with the Convention. States are
__________________ invited   to   inform   the   Council   of   non­compliance.   It   is
__________________ denoted by the words —­
Answers to Objective Type of questions
‘Standards and Recommended Practices (SARPs)”


UNIT 7 Civil Aviation Security 149

Unit 7 Notes
Civil Aviation Security __________________
Civil Aviation Security refers to the techniques and methods
used   in   protecting   airports,   aircraft,   passengers   and
personnel associated with aviation from crime, sabotage and
Large  numbers  of  people  pass through  airports  every day.
Such a large gathering of people presents a natural target
for terrorism and other forms of crime due to the number of
people   located   in   a   small   area.   Similarly,   the   high
concentration of people on large airliners, the potential high
lethality rate of attacks on aircraft, and the ability to use a
hijacked   airplane   as   a   lethal   weapon   provide   an   alluring
target for terrorism.

It   includes   espionage,   sabotage,   kidnapping,   extortion,
hijacking,   robbery,   bombing,   holding   a   person   prisoner   or
hostage or any “threat” or “attempt” to kidnap, extort, bomb
or hold prisoners or hostage or any threat to do any injury to
a human being, animal or personal or real property or any
conspiracy to do any of the above in order to compel an act or
omission by any person or any government entity.
The act of terrorism against civil aircraft can be divided into
various   categories   viz.   “   “unlawful   seizure   of   aircraft”   or
hijacking,   bomb   hoax   call,   sabotage,   in­flight   attack   on
aircraft, ground attack on aircraft, damage to air navigation
facilities etc.


Some of the glaring cases related to hijacking and sabotage 
are enumerated below,
150 Aviation Safety and Security Management

Notes September  70  was  one of  the most significant  months  in

__________________ the   history   of   civil   aviation   when   not   one   but   three   large
__________________ commercial jets were hijacked together by Popular Front for
__________________ the Liberation of Palestine (PFLP). Out of these two aircraft
__________________ (a B707 of Trans World and a DC­8 of Swiss air) were made
__________________ to land at a desert airstrip of Jordan known as Dawson and
__________________ the third one (a Jumbo jet of Pan American Airways) was
__________________ taken   to  Cairo.   After   two   days   a   VC­10   of   BOAC   (British
__________________ Overseas Airways Corporation) was also taken to Dawson.
__________________ Later the hijackers off­loaded the passengers and crew and
burnt all the aeroplanes.
“2 June 76” Airbus aircraft of Air France while on a flight
from   Tel   Aviv   to   Paris   via   Athens   with   24   passengers   on
board was hijacked by four Palestine supporters and taken to
Entebbe (Uganda) taking 10 persons on board as hostages.
On   July   Israel   sent   its   aircraft   on   a   secret   mission   to
Entebbe   where   its   soldiers   rescued   the   hostage   in   a   dare
devil operation killing all the hijackers.
The single deadliest airline catastrophe resulting from the
failure of airport security to detect an onboard bomb was Air
India Flight 182 in 1985, which killed 329 people.
In   June   85,   Air   India   Jumbo   jet   named   “Kanishka”   on   a
flight   from   Montreal   to   Mumbai   via   London   fell   into   the
North Atlantic Sea near the coast of Ireland, killing all 329
persons on board. During investigation it was found that a
bomb   had   been   placed   in   the   cargo   compartment   of   the
aircraft that exploded during flight. This was the worst and
most brutal aeroplane accident caused by sabotage.
In Dec 88, a Pan American Airways B747 aircraft crashed
due to sabotage, during a flight from London to New York
with   259   passengers   on   board,   killing   all   passengers   and
crew and the parts of the burning aircraft fell over Lockerbie
town   in   Scotland   that   set   many   houses   ablaze   and   killed
many innocent people on ground too (total 270 casualties).
On 8 April 94, an Executive jet aircraft carrying Presidents
of two African nations Rwanda and Burundi on flight from
Tanzanian capital Dar­es­Salaam to Rwandan capital Kigali
was hit down by a missile killing both the Presidents and
UNIT 7 Civil Aviation Security 151

eight others on board the aircraft. This was the first instance Notes
when Heads of two nations got simultaneously killed under a __________________

single air casualty. __________________
In   Nov.   96,   an   Ethiopian   Airlines   B767   aircraft   on   flight
from   Addis   Ababa   to   Abjdan   (Ivory   Coast   W.Africa)   was
hijacked   by   three   persons   just   after   take­off.   The   airliner
crashed into the sea just one Km off the beach due shortage
of   fuel   and   the   fuselage   broke   into   two   parts.   Out   of   178
Persons on board, only 55 could be rescued.
The   Rome   and   Vienna   airport   attacks   in   December   1985
were   two   more   instances   of   airport   security   failures.   The
attacks   left   20   people   dead   when   gunmen   threw   grenades
and opened fire on travellers at El Al airline ticket counters.
Never the less, the most tragic security related incident was
that   of   the   horrific   attack   &   destruction   of   World   Trade
Centre   in   New   York   by   using   the   hijacked   aircraft   as
missiles on 11th September 2000 (Known as 9/11).

Airport   security   provides   a   first   line   of   defence   by
attempting   to   stop   would­be   attackers   from   bringing
weapons or bombs into the airport. If they can succeed in
this, then the chances of these devices getting on to aircraft
are   greatly   reduced.   As   such,   airport   security   serves   two
purposes: To protect the airport from attacks and crime and
to protect the aircraft from attack.
In   India,   Bureau   of   Civil   Aviation   Security   (BCAS)   is   the
regulatory   authority   for   control   of   Civil   Aviation   Security.
They formulate and implement and monitor security system
at   various   airports  in  the  country.   Civil   Aviation   Security
consists   of   airline   security   and   airport   security   at   the
The airline security checks are carried out by the Security
personnel of concerned airlines, who are employed, trained
and made responsible for carrying out pre­boarding Security
checks of person and baggage. (Pre­boarding Security checks
are conducted after the airport security checks are over).
152 Aviation Safety and Security Management

Notes In   addition,   airlines   are   also   performing   security   checks

__________________ inside the aircraft. Some airlines do this by employing on­
__________________ board   guards   (armed   or   un­armed).   These   guards   may   be
__________________ sitting with the passengers in disguise at various strategic
__________________ locations inside the cabin (Like El­Al airline of Israel) and in
__________________ case   of   any   requirement   they   may   suddenly   jump   and
__________________ overpower   the   terrorists.   In   addition,   they   also   carry   out
__________________ checks   of   cargo,   catering   and   other   items   required   to   be
__________________ loaded on board the aircraft.
__________________ Airport security provides a first line of defence by attempting
__________________ to stop would­be attackers from bringing weapons or bombs
into   the   airport.   It   serves   two   purposes:   To   protect   the
airport   from   attacks   and   crime  and   to   protect   the  aircraft
from attack.
Airport   security   is   the   responsibility   of   the   aerodrome
operators (Like Airports Authority of India) who employ local
police or CISF or any other such agency for this job. Airport
security is further divided into two parts; City side security
and Air side security.
City   side   security   includes   security   of   Terminal   building,
passengers, baggage, all access points to the airport. Air side
security includes security of operational areas (like runways,
taxiways,   apron   etc.),   Boundary   wall,   Navigational   aids,
Radio facilities and other essential airport equipments and
Normally the following procedures in steps are adapted to
carry out the security checks at our airports;
When   a   passenger   enters   the   airport,   the   security   official
checks   the   ticket   to   make   sure   that   the   passenger   is
having a bonafide reason to enter the airport premises.

The passenger it made to pass through Door Frame Metal
Detectors   (DFMD),   which   normally   works   on   the
principle of eddy current inspection.
The   Check­in   baggage   (The   Registered   baggage,   which   is
carried inside the cargo hold) is passed through the X­
Ray Machines and “Security Checked” tag is pasted a on
it, and the baggage is returned to the passenger.
UNIT 7 Civil Aviation Security 153

The passenger then goes to get the boarding pass, and then Notes
gives   the   “Security   Checked”   baggage   to   the   airline __________________
counter for moving it to conveyor belt for loading on to __________________
the aircraft. __________________
The Cabin baggage (Carry on Baggage) is then carried by the
passenger   to   the   security   hold   (Sterile   Area)   after
undergoing   X­Ray   check  for  the  baggage  and  physical
checking (Frisking), passing through Door Frame Metal
Detectors   (DFMD)   and   checking   through   Hand   Held
Metal Detectors (HHMD).
In   India   a   passenger   is   allowed   to   carry   only   one   hand
baggage inside the cabin with him. However, no weapon
of   any   kind   what   so   ever   is   permitted   in   the   cabin.
Earlier   in   India   due   to   religious   reasons,   Sikh
passengers  were permitted  to carry their   holy  Kirpan
(dagger)   along   with   them   inside   the   cabin.   However
after   a   number   of   hijacking   incidents,   even   this
privilege was withdrawn.
So   much   so   that   many   innocent   looking   objects   like   nail
cutters,   scissors,   wires,   screw   drivers   or   similar   other
household   items   are   not   permitted   inside   the   cabin.
However all these things can be carried inside the cargo
In   India   airline   staff   has   instructions   not   to   accept
unaccompanied baggage unless and until the passenger
himself travels along with. And in case it is necessary to
send   such   unaccompanied   baggage,   the   practice   of
allowing a suitable cooling period is adopted. The idea is
that if any explosive or bomb etc. is hidden inside the
baggage, its effect could be seen outside (and not inside
the aircraft) during the waiting period.
In case of even accompanied baggage, many airlines in India
follow   the   procedure   of   baggage   identification   by   the
passenger.   For   this   purpose   bonafide   passengers   are
required to identify their baggage individually and only
then   it   is   loaded   on   the   aircraft   (inside   the   cargo
154 Aviation Safety and Security Management

Notes At   busy   airports   closed   circuit   television   cameras   are

__________________ extensively   used   for   monitoring   the   entry,   movement
__________________ and   exits   of   undesirable   elements   over   the   passenger
__________________ lounge and other strategically important areas to safe
__________________ guard   not   only   against   breach   of   security   but   also   to
__________________ prevent theft burglary etc.
__________________ As   far   as   the   security   of   the   airport   boundary   and
__________________ installations are concerned, boundary walls/Fencing as
__________________ per   ICAO   Specifications,   Watch   towers,   regular
patrolling, continuous vigil etc. are introduced.
In our country at most of the airports the responsibility of
Security   has   been   entrusted   with   the   Central   Industrial
Security Force (CISF), a paramilitary organisation, since the
year 1999, and the remaining airports are also in the process
of   being   handed   over   to   CISF.   Earlier   this   job   used   to   be
carried out by the local police, which had a Skeleton set of
staff.   In   addition,   concerned   airlines   also   have   their   own
security   staff   to   carry   out   their   security   checks   before
passengers board the aircraft.
In the backdrop of hijacking of Indian Airlines aircraft (IC­
in December, 1999, airport security matters were reviewed
by the Ministry of Civil Aviation. It was decided that in order
to bring in uniformity of practices and procedures and ensure
effective   control   and   supervision   of   the   Ministry   of   Civil
Aviation,   airports   security  should   be   entrusted   to   a   single
dedicated force instead of different State Police forces with
divergent   work   culture   and   practices.   The   Committee   of
Secretaries   (COS)   in   its   meeting   on   7th   January,   2000
recommended that in the long­term there was a need for a
more   professionalized   force   for   civil   aviation.   The
Commissioner   of   Security   (CA)   further   recommended   that
Central Industrial Security Force (CISF) should be inducted
at   all   airports   in   India.   The   dedicated   CISF   contingent
earmarked for aviation security functions at airports in India
has   been   notified   as   Aviation   Security   Group   (ASG).
Accordingly now CISF has been deployed or being deployed
at most of the Indian airports.
UNIT 7 Civil Aviation Security 155

After   deployment   of   CISF   at   airports,   there   has   been   a Notes

marked   improvement   in   all   areas   of   airport   security __________________
including   Perimeter   Security,   Access   Control,   Terminal __________________
Building  Security, Apron Security, Surveillance,  Passenger __________________
Handling etc. ASG staff has proved their worth in handling __________________
all   types   of   security   situations   at   airports   and   have   been __________________
meticulous in implementing security procedures. They have __________________
been quick to plug any loopholes in security and the security __________________
system   is   constantly   upgraded   to   neutralize   emerging __________________
threats.   In  addition   they  have   been   able  to  bring   about   a __________________
higher   level   of   security   awareness   among   all   agencies
operating at the airports, including the passengers.
For   the   purpose   of   security,   Hand   Held   Metal   Detectors
(HHMD)   and   Door   Frame   Metal   Detectors   (DFMD)   are
normally used.

In   good   old   days   there   used   to   be   no   system   as   security
checking with regard to passengers and their baggage. Like
a rail passenger or a bus passenger the airlines and airport
agencies   could   just   make   sure   that   the   air   traveller   is
holding   a   valid   ticket   and   then   he   could   freely   board   the
aircraft. At most some police personnel could be posted at
the airport just to ensure that only authorised people enter
the airport “operational area” so that there are no incidents
of pilferage or thefts and no one disturbs or interferes with
operation   of   aircraft   (this   was   done   more   with   a   view   to
ensure   safety   of   aeroplanes   rather   than   from   the   security
angle). During those days there used to be a free atmosphere
and   passengers   could   carry   almost   any   thing   within   the
permissible   load   limits   except   perhaps   the   inflammable
articles   like   petrol   or   kerosene   that   could   endanger   the
safety of aircraft.
Subsequently after 1968 when the incidents of hijacking were
on   rise   in   many   countries   started   tightening   their   security.
However   still   not   much   of   the   importance   was   given   to   this
aspect as it was assumed that cases of hijacking are confined to
certain pockets of the world and only limited number of nations
were affected by that phenomenon. Thus it was not
156 Aviation Safety and Security Management

Notes much difficult to carry weapons or similar other restricted
__________________ articles into the aeroplanes.
For   example   in   October   1968   in   USA   an   ex­naval   official
boarded a Trans World Airways B707 carrying with him a
huge pile  of  grenades, fire arms and  other  material  inside
the aircraft. He also took a rifle along by concealing it into a
fishing rod. Later he hijacked the aircraft and took it to Italy
about 1000 kilometres away. This gives an indication of the
__________________ standards   of   the   security   arrangements   available   during
__________________ those days.
However slowly most of the countries started recognizing the
importance   of   security   after   experiencing   phenomenal
increase in the tendency of hijacking all over the world. For
this purpose these countries started adopting strict security
measures for making air travel safer. The very first step in
this direction was to do the through checking of passengers
and their baggage. Similarly the staff and officials of airlines
and   airport   were   also   subjected   to   security   checks   before
entering   the   airport   area.   Worldwide   inspection   and
screening of passengers and cabin baggage went into effect
July 15 1974.
Because of strictness in security checking a large number of
arms   and   ammunition  were  detected  during   seventies   and
early eighties. Thus more than 225 thousand weapons and
ammunition   were   seized   from   1971   to   1981   during   such
checking   at   various   airports.   Out   of   this   there   were   more
than  80,000 firearms  ammunition  and explosives  and  over
150 thousands were knives and similar type of articles.
It is  interesting to note that where as  in 1971 there were
only 36 cases of seizures of arms and ammunition and only
115 cases of seizure of knives in 1973 these number rose to
the astronomical figures of 13,461 and 32,525 respectively.
In 1975 the numbers rose to a record figure of 32,538 and
20,866 respectively.
As   per   reports   from   US   Government   during   the   year   1973
about 3500 passengers were detained for checking at 531 US
Airports since they were suspected to be possessing weapons.
Out of them about 300 people refused to be checked and
UNIT 7 Civil Aviation Security 157

therefore they were not allowed to board the aircraft. The Notes
remaining  3200  were  arrested.   And  then  about   2000  guns __________________
35000 pounds of ammunition and about 23,000 knives and __________________
other   dangerous   weapons   were   recovered   from   them. __________________
(However many  of the above articles were carried by girls __________________
travelling alone possibly for self­defence). __________________

After such strict checking the number of weapons carried by __________________

air travellers started decreasing. Perhaps by that time it was __________________

well   understood   by   all   that   it   was   difficult   to   carry   these __________________

items   in   view   of   intensified   security   measures   at   various __________________

airports. Perhaps due to the same reasons even there was __________________

considerable   reduction   in   number   of   cases   of   unlawful

The   number   of   unlawful   seizure   of   aircraft   which   had
reduced in 1973 has continued at about the same level since
then.   The  relatively static  level   of  occurrences  was   mostly
due   to   successful   implementation   of   the   world   wide
inspection/   screening   of   passengers   and   their   baggage
carried out by security personnel.

It is now becoming a regular practice at most of the airport
to   check   the   person   and   baggage   of   passengers   before
boarding the aircraft. This examination is normally done by
physical   checking   and   through   X­ray   machines   metal
detectors and various other means. For this purpose special
training is provided to security personnel in handling airport
In addition various other precautions are also taken with a
view to reduce the cases of entry of unscrupulous elements
inside   the   aeroplane.   For   this   purpose   certain   security
measures   taken   in   India   and   various   other   countries   are
highlighted below.
In India no unaccompanied baggage is accepted by airline staff
unless and until the passenger himself travels along with. And
in case it is necessary to send such unaccompanied baggage the
practice of allowing a suitable cooling period is
158 Aviation Safety and Security Management

Notes adopted.   Under   this   procedure   the   baggage   is   not   loaded

__________________ immediately in the aircraft but is kept at a suitable place for
__________________ a  reasonable period (known as cooling  period). The idea is
__________________ that   if   any   explosive   or   bomb   etc.   is   hidden   inside   the
__________________ baggage its effect could be seen outside (and not inside the
__________________ aircraft) during the waiting period.
__________________ In case of even accompanied baggage many airlines in India
__________________ follow   the   procedure   of   baggage   identification   by   the
__________________ passenger.   For   this   purpose   all   bonafide   passengers   are
__________________ required to identify their baggage individually and only then
__________________ it is loaded on the aircraft (inside the cargo compartment).
The   airline   staff   sorts   out   the   baggage   that   had   not   been
identified   by   any   passenger   and   keep   it   away   till   the
travelling   passengers   comes   and   claims   it   to   be   his/her
Actually this procedure sometimes creates problems too. If a
passenger   is   not   familiar   with   the   practice   of   baggage
identification   or   sometimes   due   to   language   and
communications   problem   or   similar   other   reasons   the
passengers may not come forward to identify the baggage. At
times these people board the aircraft while their baggage is
kept   out   waiting   for   identification.   Under   such
circumstances the airline staff has to waste a lot of precious
time   in   making   a   series   of   announcement   to   find   out   the
concerned passenger and to make him identify the baggage.
This   may   cause   even   delay   to   flights.   However   if   due
weightage   is   given   to   security   aspect   such   exercises   are
considered necessary.
In India a passenger is allowed to carry only one hand baggage
inside the cabin with him due to security reasons. However no
weapon   of   any   kind   what   so   ever   is   permitted   in   the   cabin.
Earlier in India due to religious reasons Sikh passengers were
permitted to carry their holy Kirpan (dagger) along with them
inside the cabin. However after a number of hijacking incidents
even this privilege was withdrawn.

So much so that many innocent looking objects like scissors,
wires, screwdrivers or similar other household items are not
permitted inside the cabin. However all these things can be
carried inside the cargo baggage. However inspection of
UNIT 7 Civil Aviation Security 159

baggage and security checking remain effective only if such Notes
inspections   are   carried   out   vigorously   and   sincerely.   Any __________________
lapse in these vigils may give an opportunity to the terrorists __________________
to conduct their business in usual manner. __________________
For   example   in   April   1988   a   Kuwait   airways   B747   was
hijacked during its flight from Bangkok to Gulf by persons
carrying weapons.  The  Don Muang  airport  at  Bangkok  on
the other hand is well equipped with Magnetometer (and X­ __________________

ray  equipment).   Thus   it   gave  a  doubt   to  the  investigating __________________

agencies   whether   the   security   officials   were   alert   enough __________________

during checking? __________________

Similarly   in   June   1990   a   renowned   American   journalist

whose   daughter   had   perished   in   Lockerbie   crash   flew   on
London Heathrow­New York route carrying a radio/cassette
recorder in which a dummy bomb was hidden. The intension
was   to   demonstrate   the   slackness   of   such   agencies.   Since
security   officials   failed   to   detect   the   bomb   it   created   an
embarrassing situation for the British Government.

Many   countries   adopt   additional   preventive   measures.
Among these nations Israel is considered as one of best. In
addition certain other countries are also quite strict.
For example Israel carries security commandos on its flights.
Mostly   these   commandos   sit   inside   the   cabin   along   with
normal   passengers   at   specific   locations   (normally   in   civil
cloths). If required these people can attack and immobilize
the hijackers. It is understood that national carriers of USA
Netherlands Switzerland Pakistan and many more countries
also carry plain clothed commandos on some of their flights.
Sometimes airlines of certain countries carry male as well as
female   commandos   aboard   their   flights   in   the   guise   of
normal   passengers   who   sit   in   the   cabin   along   with   other
passengers and behave like normal travellers.
Some quarters are of the view that security guards should
not   be   armed   on   an   airliner   because   if   a   bullet   should
penetrate the skin of a pressurised cabin the aircraft could
disintegrate or the passengers be sucked out. Some examples
160 Aviation Safety and Security Management

Notes in   this   regard   have   also   been   given   in   respect   of   Iraqi

__________________ airlines crash near Jordan on 25 December 1986 in which a
__________________ large number of passengers and crew were killed as a result
__________________ of a shoot out between hijackers and the armed guards and
__________________ that   of   El   Al   flight   of   1969   when   Leila   Khaled   narrowly
__________________ missed from blasting a grenade.
__________________ However this is not always true. Pressurised bombers B­29
__________________ were   frequently   hit   by   bullets   and   riddled   by   sharpenels
__________________ during raids over Japan during World War II yet were able
__________________ to return safely. Of course if by chance the bullets happen to
__________________ hit the crucial fuel or hydraulic lines or a part of the engines
perhaps there could be a problem. It may be mentioned that
usually the sky marshals use low­velocity bullets to lessen
the risk. On most of the flights passengers are not allowed to
enter the cockpit without any valid reason and even this can
be   done   only   with   the   specific   permission   of   the   pilot   in
command.   For   this   purpose   Israel   was   the   first   nation   to
introduce   bullet   proofing   and   automatic   door   closing
technique of the cockpit doors in their aircraft. This was soon
followed by many other airlines.
Many   airports   have   been   effectively   utilizing   services   of
trained   dogs   and   sometimes   pigs   for   detection   of   bombs
explosives   and   firearms   etc.   These   animals   are   capable   of
sniffing and identifying dangerous objects either carried by a
passenger   or   kept   inside   the   baggage   (additionally   these
animals can also identify drugs and therefore they are also
used to combat drug trafficketing.)


At   busy   airports   closed   circuit   television   cameras   are
extensively   used   for   monitoring   the   entry,   movement   and
exits of undesirable elements inside the airport.
Security   personnel   in   a   control   room   keep   watch   through
CCTV   over   the   passenger   lounge   and   other   strategically
important   areas   to   safe   guard   not   only   against   breach   of
security   but   also   to   prevent   theft   burglary   etc.   Thus   any
terrorist   burglar   or   vandal   can   be   easily   spotted   and
apprehended   even   without   his   knowledge   by   the   help   of
closed circuit TV.
UNIT 7 Civil Aviation Security 161

The installation of CCTV is done  in  sensitive areas of the Notes

airport such as passenger lounge arrival departure lounges __________________
check­in   areas   security   hold   areas   etc.   It   can   be   further __________________
extended   to   operational   areas  boundary   gates   and   various __________________
other important locations depending upon the requirement. __________________

Benefits   from   CCTV   surveillance   are   plenty   and   if   exploited __________________

fully many a possible incidents can be prevented before hand.

SEARCH OF BAGGAGE: __________________

Acts   of   unlawful   interference   with   International   Civil
aviation   continue   to   pose   a   serious   threat   to   the   safety
regularity   and   efficiency   of   civil   aviation   despite   the   best
efforts   of   nation’s   airport   administrations   and   airline
operators   to   implement   the   aviation   security   program
advocated by ICAO.
In order to achieve their goal of preventing such acts security
measures   have   been   extensively   intensified   at   various
airports   with   a   view   to   ensure   safety   to   passengers   and
aeroplanes. In the 1970’s it became a requirement to search
all   articles   such   as   handbags   brief   cases   packages   etc.
carried   abroad   the   commercial   airliner.   Similarly   physical
examination of the air traveller is also conducted.
In India and most of the other countries the security staff
carry   out   frisking   of   passengers   before   they   are   allowed
inside the aircraft. For this purpose each passenger is made
to pass through metal detectors and thus anyone carrying a
weapon   gets   detected.   The   metal   detectors   work   on   the
principle of eddy current inspection. They may be hand held
or walk through (Mostly walk through).
As   far   as   hand   search   of   baggage   is   concerned   it   is   time
consuming   and   cumbersome   process.   On   a   conservative
estimate a B747 aircraft carrying about 500 passengers on
an international flight may carry more than 1000 packets of
hand baggage and other such items. In a manual search each
item has to be opened swiftly examined by security officials.
Now if one piece of baggage takes half a minute to examine it
may take about 500 minutes (or about eight hours) for one
162 Aviation Safety and Security Management

Notes man to complete the search. Even if four security personnel
__________________ are employed for the job they may take more than two hours
__________________ to do Job. And at an international airport where dozens of
__________________ such   flights   depart   on   regular   basis   such   a   search   may
__________________ become   a   nightmarish   experience.   Apart   from   delay   the
__________________ inconvenience   caused   to   passengers   is   also   deplorable.
__________________ Moreover there is no way to ensure that such a method will
__________________ be fool proof.
It   is   therefore   evident   that   manual   searching   of   carry­on
luggage   is   not   a   satisfactory   solution   for   high   capacity
aircraft   through   it   can   be   adopted   for   domestic   flights   at
small airports.
Thus the need for having X­ray examinations of baggage was
introduced. Under this system the baggage is passed through
X­   ray   beams   over   conveyer   belts.   The   X­rays   images   are
then displayed on a display monitor that shows the inside
contents of the baggage. Thus any dangerous article can be
easily detected without opening the baggage.
X­ray   system   has   another   feature   known   as   film   safe
procedure. X­ray beams used for X­ray detection are using
heavy filtration and therefore any camera film carried inside
the passenger baggage does not get exposed.
At some of the airports in USA and in many other countries
a number of incentives are offered to security officials who
can unearth a hidden weapon or an explosive. Some times
the cash award may be as much as $25 for a single piece of
weapon.   This   in   turn   gives   good   motivation   to   security
officials to be more vigilant.
At   certain   airports   (like   Frankfurt   in   Germany)   special
chambers   for   checking   the   baggage   have   been   designed.
Baggages about which security staff are doubtful are sent to
these   chambers,   which   are   made   of   steel   called
decompression   chambers.   In   these   chambers   conditions
similar to actual flight conditions are produced and in case
the baggage contains any bomb the same gets detonated.
UNIT 7 Civil Aviation Security 163


The   inherent   danger   posed   by   Semtex   plastic   that   had __________________
caused the crash of Pan Am Jumbo over Lockerbie had been __________________
troubling the security authorities all over the world. __________________

USA developed a technique in 1989 to detect the presence of __________________

Semtex through a process known as TNA (Thermal Neutron __________________

Analyser).   Under   this   technique   passenger’s   baggage   is __________________

bombarded with neutrons, which causes the scanned items __________________

to   emit   gamma   rays.   By   observing   the   concentration   and

other   features   of   gamma   rays   it   is   possible   to   detect   the
presence of plastic explosives. It was reported that USA had
tested a large number of luggage and cargo items through
this technique and its detection capability was found as 95
percent of various types and shapes of explosives.
The cost of this machine was more than 500,000 lbs. Certain
TNA machines have already been installed at JFK airport in
New York, Miami Airport, London airport etc.
TNA takes about six seconds to scan a single bag. Since TNA
equipment uses some amount of radiation it cannot be used for
screening passengers nor is it suitable for screening “carry­on
baggage”. The high cost of the machine is another hitch in fast
implementation of this equipment at all airports.

As   an   alternate   to   TNA   another   method   called   “Vapour

Detection”   is   also   being   used   for   detection   of   plastic
explosives. This machine works on the principles of sensing
of   minute   amount   of   vapour   emitted   by   explosives.   The
device   uses   gas   chromatography   or   chemi­luminescence
techniques for this purpose. The machine is comparatively
slower that TNA requiring about 30 seconds per passenger
and has slightly less effective performance. However the cost
of a vapour detector is much less ($80,000) than TNA and
thus it can be effectively used as a back up to TNA machine.
For examination of bulky cargo the commercial models using
mass­spectrography   are   used   which   is   a   variation   on   the
vapour analysis theme.
164 Aviation Safety and Security Management

Notes Another effective process is called “Enhanced X­Ray system
__________________ (also known as “Smart X­Ray system”). In this process X­ray
__________________ machines   linked   with   computers   are   used.   They   are
__________________ programmed   to   highlight   suspicious   objects   by   evaluating
__________________ parameters such as mass contiguity and atomic weight. Thus
__________________ the true and intricate features of different objects carried by
__________________ air­passengers can be determined.
__________________ As   a   matter   of   fact   the   enhanced   X­ray   system   is   part   of
__________________ “Explosives   Detection   System   (EDS),   which   consists   of
__________________ enhanced   X­   ray   nuclear   technology   and   electromagnetic
__________________ measurements for detection of explosives hidden inside the
baggage.   All   of   these   approaches   attempt   to   take   a
fundamental   property  of   explosives   to  differentiate  it   from
the normal passenger baggage.
The latest topic in bulk explosives detection technology is called
as “computer tomography”. This system was first developed in
the medical science as CAT­Scanning. Later it was modified to
cater for security needs. Tomographic images are obtained by
acquiring   multiple   views   (or   slices)   of   an   object.   A   powerful
computer   is   used   to   reconstruct   the   slices   and   display   the
relative densities of the individual object within each slice. The
information allows the equipment to automatically locate and
highlight   the   suspicious   object   regardless   of   their   shape   and
environment. In contrast traditional X­ray images are required
to be interpreted manually  by  the security officials. This is a
difficult   job   as   the   images   are   superimposed,   overlapped   and

A number of airports in Europe and in the Middle East have
started using “computer tomography” for example Brussels
airport, London (Gatwick), Manchester airport etc.

With   introduction   of   strengthened   efforts   and   advanced
techniques in the field of Civil Aviation Security, the security
situation   at   various   airports   has   improved   at   tremendous
pace.   Thus   even   now   though,   hijacking   continues   to   occur
but   with   a   reduced   pace   and   intensity.   It   is   also  felt   that
through   the   security   and   punishment   measures   that   had
been instituted in most of the countries it has probably been
UNIT 7 Civil Aviation Security 165

possible   to   deter   a   number   of   would   be   case   of   unlawful Notes

interference to civil aviation. Thus it is envisaged that with __________________
continued   efforts   in   this   direction   matter   can   be   brought __________________
within controllable limits. __________________
BCAS website __________________
DGCA Website also
AAI website __________________

Ministry of Civil Aviation website http:// __________________

“Aviation   Terrorism”   –Bimal   K.   Srivastava,   1998   Manas

Publications, Ansari Road, Daryaganj, New Delhi­110002

Various related ICAO Annexes & Documents

Indian Aircraft Manual

Various Air Safety Circulars, AICs and other important 
notification issued by DGCA

General Questions.
Write different steps taken by various security personnel for
security checking of a passenger travelling from Delhi
Airport to Mumbai with baggage.
What types of modern techniques are used in controlling the 
security problems?
What are the area falling under the jurisdiction of “City Side
What are the area falling under the jurisdiction of “Air Side 

Objective Type of questions

It is possible to identify the presence of RDX and plastic 
bombs by using ——­
166 Aviation Safety and Security Management

Notes DFMD is a security equipment, which stands for —
HHMD is a security equipment, which stands for —­
__________________ Name the Annex Number of ICAO dealing with the Aviation 
__________________ Security
Answers to Objective Type of questions
__________________ Smart X­Ray and Tomography
Door Framed Metal Detector
__________________ Hand Held Metal Detector.

Annex 17
UNIT 8 Role of DGCA/BCAS in Aviation Safety and Security 167

Unit 8 Notes
Role of DGCA/BCAS in __________________

Aviation Safety and Security __________________

DGCA is the regulatory authority for all matters pertaining __________________
to   Civil   Aviation   in   India   and   consists   of   a   number   of __________________
Directorates   like   Administration   Directorate,   Aerodrome __________________
Standards Directorate, Air Safety Directorate, Air Transport
Directorate,   Airworthiness   Directorate,   Flight   Inspection
Directorate, Information & Regulation Directorate, Research
&   Development   Directorate,   and   Training   &   Licensing
The   responsibility   of   Aviation   Safety   for   all   the   civil
registered aircraft in the country, including investigation of
air accidents and preventive measures to be devised, issuing
safety instructions (In the form of Air Safety circulars, Civil
Air Requirements, Aeronautical Information Circulars etc.)
rests solely with DGCA.

Main Functions of DGCA

Registration of civil aircraft

Formulation of standards of airworthiness for civil aircraft
registered   in   India   and   grant   of   certificates   of
airworthiness to such aircraft
Licensing   of   pilots,   aircraft   maintenance   engineers   and
flight   engineers,   and   conducting   examinations   and
checks for that purpose
Licensing of air traffic controllers

Certification of aerodromes and CNS/ATM facilities

Maintaining a check on the proficiency of flight crew, and
also   of   other   operational   personnel   such   as   flight
dispatchers and cabin crew
168 Aviation Safety and Security Management

Notes Granting of Air Operator's Certificates to Indian carriers and
__________________ regulation   of   air   transport   services   operating   to/
__________________ from/within/over India by Indian and foreign operators,
__________________ including   clearance   of   scheduled   and   non­scheduled
__________________ flights of such operators
__________________ Conducting investigation into accidents/incidents and taking
accident prevention measures including formulation of
implementation   of   Safety   Aviation   Management
Carrying out amendments to the Aircraft Act, the Aircraft
Rules   and   the   Civil   Aviation   Requirements   for
complying with the amendments to ICAO Annexes, and
initiating proposals for amendment to any other Act or
for   passing   a   new   Act   in   order   to   give   effect   to   an
international Convention or amendment to an existing
Coordination of ICAO matters with all agencies and sending
replies to State Letters, and taking all necessary action
arising   out   of   the   Universal   Safety   Oversight   Audit
Programme (USOAP) of ICAO
Supervision of the institutes/clubs/schools engaged in flying
training including simulator training, AME training or
any other training related with aviation, with a view to
ensuring a high quality of training
Granting   approval   to   aircraft   maintenance,   repair   and
manufacturing   organizations   and   their   continued
To   act   as   a   nodal   agency   for   implementing   Annex   9
provisions in India and for coordinating matters relating
to   facilitation   at   Indian   airports   including   holding
meetings of the National Facilitation Committee
Rendering advice to the Government on matters relating to
air   transport   including   bilateral   air   services
agreements,   on   ICAO   matters   and   generally   on   all
technical matters relating to civil aviation, and to act as
an overall regulatory and developmental body for civil
aviation in the country;
UNIT 8 Role of DGCA/BCAS in Aviation Safety and Security 169

Coordination  at   national   level  for  flexi­use  of  air  space by Notes

civil   and   military   air   traffic   agencies   and   interaction __________________
with ICAO for provision of more air routes for civil use __________________
through Indian air space; __________________
Keeping a check on aircraft noise and engine emissions in
accordance with ICAO Annex 16 and collaborating with
the   environmental   authorities   in   this   matter,   if
Promoting   indigenous   design   and   manufacture   of   aircraft
and aircraft components by acting as a catalytic agent; __________________
Approving training programmes of operators for carriage of
dangerous goods, issuing authorizations for carriage of
dangerous goods, etc.
Most of the functions stated above are safety related so as to
maintain and enhance suitable level of Safety standards for
Civil Aviation. Out of the above, the Aerodrome Standards
Directorate   in   the   DGCA   has   been   entrusted   with   the
responsibilities of licensing of aerodromes, Safety audits and
Aerodrome   standards   etc.   The   functions   of   the   Air   Safety
Directorates   are   Investigation   of   Civil   Registered   aircraft
accidents,   Accident   to   foreign   registered   aircraft   in   India,
Accident   to   Indian   registered   aircraft   out   side   India,
Investigation   of   Civil   Registered   aircraft   Incidents,   and
Accident/Incident   Prevention   work.   The   Airworthiness
Directorate   carries   out   the   regulatory   control   of
airworthiness to ensure that the civil aircraft are airworthy.

The   Flight   Inspection   Directorate   (FID)   conducts   regular

Inspections and Surveillance of Scheduled Airlines and their
aircrew in particular to  ensure effective implementation  of
safety   related   Standards   and   Recommended   Practices
contained in the ICAO Annexes, particularly Annex 6, and
the   relevant   Rules,   Regulations,   Procedures   and
Requirements   laid   down   in   Aircraft   Rules,   Civil   Aviation
Requirements,   Aeronautical   Information   Circulars,   AIP
India etc.
170 Aviation Safety and Security Management

Notes DGCA   issues   Civil   Aviation   Requirements   (CARs),

__________________ Aeronautical   Information   Circulars   (AICs),   Air   Safety
__________________ Circulars and other circulars for implementation of various
__________________ safety measures in Aviation.
The CARs are divided into various sections covering various
aspects   of   Civil   Aviation   like   General   (Section   1),
__________________ Airworthiness   (Section   2)   ,   Air   Transport   (Section   3),
__________________ Aerodrome   Standards   and   Air   Traffic   Services   (Section   4),
__________________ Air   Safety   (Section   5),   Design   Standards   and   Type
__________________ Certification   (Section   6),   Flight   Crew   Standards,   Training
__________________ and Licensing (Section 7)  and Aircraft Operations (Section
8). These CARs are issued keeping the safety consideration
in view; and are required to be followed by all concerned.

The Bureau of Civil Aviation Security (BCAS)

The Bureau of Civil Aviation Security was initially set up as
a Cell in the Directorate General of Civil Aviation (DGCA) in
January   1978   on   the   recommendation   of   the   Pande
Committee constituted  in  the  wake  of  the  hijacking  of  the
Indian Airlines flight on 10th September , 1976. The role of
the   Cell   was   to   coordinate,   monitor,   inspect   and   train
personnel in Civil Aviation Security matters.
The BCAS was reorganized into an independent department
on 1st April, 1987 under the Ministry of Civil Aviation as a
sequel   to   the   Kanishka   Tragedy   in   June   1985.   The   main
responsibility   of   BCAS   is   to   lay   down   standards   and
measures   in   respect   of   security   of   civil   flights   at
International and domestic airports in India.

BCAS is the regulatory authority for civil aviation security
in India. It is headed by an officer of the rank of Director
General   of   Police   and   is   designated   as   Commissioner   of
Security (Civil Aviation).
Commissioner of security (CA) is the appropriate authority
for   implementation   of   Annexure   17   to   Chicago
convention   of   International   civil   aviation   organization
UNIT 8 Role of DGCA/BCAS in Aviation Safety and Security 171

Commissioner   of   security   (CA)   is   responsible   for   the Notes

development,   implementation   and   maintenance   of   the __________________

National Civil Aviation Security Programme. __________________
BCAS   Hqrs   is   located   at   "A"   Wing,   I­III   floor,   Janpath
Bhavan,   Janpath,   New   Delhi­110001.   It   has   got   four
Regional   Offices   located   at   International   airports   i.e.
Delhi,   Mumbai,   Kolkata   and   Chennai,   headed   by   an
officer of the rank of Deputy Commissioner of Security
FUNCTIONS __________________

Laying  down  Aviation Security  Standards  in accordance with

Annex   17   to   Chicago   Convention   of   ICAO   for   airport
operators,   airlines   operators,   and   their   security   agencies
responsible for implementing AVSEC measures.

Issuance   of   Aviation   Security   Circulars   containing   policy

decisions and advisory information for the information,
reference   and   implementation   by   concerned
Monitoring   the   implementation   of   security   rules   and
regulations and carrying out survey of security needs.
Ensure that the persons implementing security controls are
appropriately   trained   and   possess   all   competencies
required to perform their duties.
Planning and coordination of Aviation security matters.

Conducting ­

0 Surprise/Dummy checks to test professional 
efficiency and alertness of security staff.
1 Mock exercise to test efficacy of Contingency Plans
and   operational   preparedness   of   the   various
It   may   therefore   be   seen   that   overall   security   policy,
regulations, implementation, monitoring of airport and airline
security in the country rests with BCAS. In fact BCAS plays a
very important role in the matters related to Civil
172 Aviation Safety and Security Management

Notes Aviation Security such as anti­hijacking, anti­sabotage, 
__________________ Bomb Threat & Bomb Detection etc.
__________________ DGCA Website also
AAI website
__________________ BCAS website
Ministry of Civil Aviation website http://
Various related ICAO Annexes & Documents
Indian Aircraft Manual

General Questions.
What are the main functions/responsibilities of BCAS in 
What are the main functions/responsibilities of DGCA in 

Objective Type of questions

Regulatory authority of Civil aviation Security in India is 
Registration of an Indian Civil aircraft is done by ­­­­­

A pilot, who is retired from Indian Air Force, but flying as a
commander   in   Air   India   can   get   his   B747   licence
renewed from IAF­True/False.

Answers to Objective Type of questions



UNIT 9 Aviation Safety Human Factor 173

Unit 9 Notes
Aviation Safety Human Factor __________________
OBJECTIVE __________________
Flight   safety  is the major  objective  of  the  International  Civil __________________
Aviation Organization. Considerable progress has been made, __________________
but additional improvements are needed and can be achieved. __________________
It has long been known that some three out of four accidents
result from less than optimum human performance, indicating
that   any   advance   in   this   field   can   be   expected   to   have   a
significant impact on the improvement of flight safety.

A   study   was   conducted   by   Department   of   Transport   and

Regional   Development   Bureau   of   Air   Safety   Investigation,
USA to analyze Human Factors in Fatal Aircraft Accidents
on the 75 fatal aeroplane accidents which occurred in USA in
the period 1  January  1988­31 December  1990. They found
that most accidents had more than one contributing factor,
and   out   of   that   over   70%   of   the   accidents   involved   pilot
Fatal accidents to fixed wing aircraft ­ broad accident factors
174 Aviation Safety and Security Management

Notes Accordingly   among   the   broad   accident   factors,   72%   of   the

__________________ accidents   were   judged   to   involve   pilot   factors   (see   figure).
__________________ Weather   was   a   factor   in   17%   of   the   accidents.   Other
__________________ personnel   contributed   to   12%   of   the   accidents.   (Other
__________________ personnel refers to people other than the pilot of the aircraft,
__________________ and   includes   air   traffic   controllers,   other   flight   crew   and
__________________ maintenance workers.)
__________________ This was recognized by the ICAO Assembly, which in 1986
formulated the following objective for the task:
"To improve safety in aviation by making States more aware
and responsive to the importance of human factors in civil
aviation operations through the provision of practical human
factors   material   and   measures   developed   on   the   basis   of
experience in States."
Human behaviour and performance are cited as causal factors
in the majority of aircraft accidents. If the accident rate is to be
decreased, Human Factors must be better understood and the
knowledge   more   broadly   applied.   The   expansion   of   Human
Factors   awareness   presents   the   international   aviation
community   with   the   single   most   significant   opportunity   to
make aviation both safer and more efficient.
So   much   so   that   even   a   specific   terminology   known   as
'ergonomics' meaning the 'Human Engineering' is being used to
denote   the   field   of   Human   Factor.   Ergonomics   is   commonly
thought of as how companies design tasks and work areas to
maximize  the efficiency and  quality  of their employees' work.
However,   ergonomics   comes   into   everything   which   involves
people,   like   sports   and   leisure,   health   and   safety   should   all
embody ergonomics principles if well designed.
As already mentioned, some three out of four accidents have
resulted from less than optimum human performance. This
has commonly been classified as "pilot error". The term "pilot
error" is of no help in accident prevention. In fact, it is often
counterproductive because, although this term may indicate
WHERE in the system a breakdown occurs, it provides no
guidance as to WHY it occurs.
An error attributed to humans in the system may have been
design­induced or stimulated by inadequate training, badly
UNIT 9 Aviation Safety Human Factor 175

designed   procedures   or   the   poor   concept   or   layout   of Notes

checklists or manuals. Further, the term "pilot error" allows __________________
concealment   of   the   underlying   factors   which   must   be __________________
brought to the fore if accidents are to be prevented. __________________
Most often it is thought that human factors are related to
flight crews only. However, now it has been established that
human   factors   problems   affect   on   the   performance   of
maintenance people, and other ground staff also.
SAFETY __________________
The best way to illustrate the effect on safety of a lack of
proper application of Human Factors is through the example
of   accidents.   A   few   accidents   in   which   aspects   of   Human
Factors are relevant are described here as examples.
In   December   1972   ­   an   L1011   crashed   in   the   Florida
Everglades and a B­737 crashed at Midway Airport in
Chicago.   In   the   first   case,   duties   were   not   properly
allocated and the whole flight crew became preoccupied
with a landing gear indicator light bulb. In the second
case, the captain ­ as a leader ­ did not properly manage
the resources which were available to him.
In   1974,   a   B­707   crashed   during   approach   at   Pago­Pago   in
Samoa, with a loss of 96 lives. A visual illusion related to
the black­hole phenomenon was a cause factor.

In 1974, a DC­10 crashed after take­off because a cargo door
failed (it opened and blew out). The force applied by a
cargo handler to close the cargo door, the door design
and an incomplete application of a service bulletin were
cited as factors.
In 1974, a B­727 approaching Dulles Airport in Washington
crashed   into   Mount   Weather,   with   a   loss   of   92   lives.
Lack   of   clarity   and   inadequacies   in   air   traffic   control
procedures   and   regulations   led   to   the   accident.   The
absence   of   timely   action   of   the   regulatory   body   to
resolve a known problem in air traffic terminology was
also listed as a factor.
176 Aviation Safety and Security Management

Notes In   1977,   two   B­747s   collided   while   on   the   runway   at

__________________ Tenerife,   with   a   loss   of   583   lives.   A   breakdown   in
__________________ normal   communication   procedures   and
__________________ misinterpretation   of   verbal   messages   were   considered
__________________ factors (ICAO Circular 153­AN/98).
__________________ In   1977,   a   DC­8   crashed   after   take­off   in   Alaska.   The
__________________ influence of alcohol on pilot performance was cited as a
In 1979, a DC­10 crashed into Mount Erebus in Antartica.
Information transfer and data entry errors played a role
in the accident.
In 1982, a B­737 crashed after take­off in icing conditions in
Washington. Erroneous engine thrust readings (higher
than actual), and the co­pilot's lack of assertiveness in
communicating   his   concern   and   comments   about
aircraft   performance   during   the   take­off   run   were
among the factors cited. .
The   report   of   a   1983   A300   accident   in   Kuala   Lumpur
suggests   that   variations   in   panel   layout   amongst   the
aircraft   in   the   fleet   had   adversely   affected   crew
performance. (The aircraft was on a dry lease.).
In 1984, a DC­10 overran the runway at John F. Kennedy
Airport in New York. Excessive reliance on automation
was noted in the accident report.
Excessive reliance on automation was also listed as a factor
in a loss of control incident in 1985, in which a B­747
lost 20,000 feet in less than two minutes and sustained
structural damage.
In 1987 an MD­80 crashed on take­off in Detroit. The pilots
had not set the flaps, thus violating standard operating
procedures. Also, the take­off configuration warning did
not sound, for undetermined reasons.

(Ref:   National   Transportation   Safety   Board   NTSB,   USA
Aircraft Accident Report No. & Date NTSB­AAR­79­7, June
7, 1979)
UNIT 9 Aviation Safety Human Factor 177

About   1815   Pacific  Standard   Time  on  December   28,   1978, Notes
United Airlines, Inc., DC­8­61 aircraft, operating Flight 173 __________________
crashed into a wooded, populated area of suburban Portland, __________________
Oregon,   during  an   approach   to  the   Portland   International __________________
Airport.   The   aircraft   had   been   holding   southeast   of   the __________________
airport at a low altitude for about one hour while the flight­ __________________
crew  coped  with  a landing  gear  malfunction  and  prepared __________________
the passengers for the possibility of a landing gear failure __________________
upon landing. __________________

The plane crashed about 6 nautical miles southeast of the __________________

airport. The aircraft was destroyed; there was no fire. Of the __________________

181   passengers  and   8  crewmembers   aboard,   8  passengers,

the flight engineer, and a flight attendant were killed and 21
passengers and 2 crewmembers were injured seriously.
During investigation it was determined that, as a result of a
relatively minor landing gear problem, the aircraft was in a
holding pattern while awaiting landing at Portland, Oregon.
Although the first officer knew the aircraft was low on fuel,
he failed to express his concerns convincingly to the captain.
The plane ran out of fuel and crashed, killing 10.
The National Transportation Safety Board summarized that
the   probable   cause   of   the   accident   was   the   failure   of   the
captain to monitor properly the aircraft's fuel state and to
properly respond to the low fuel state and the crewmember's
advisories   regarding   fuel   state.   This   resulted   in   fuel
exhaustion   to   all   engines.   His   inattention   resulted   from
preoccupation   with   a   landing   gear   malfunction   and
preparations for a possible landing emergency.
Contributing to the accident was the failure of the other two
flight crewmembers either to fully comprehend the criticality
of the fuel state or to successfully communicate their concern
to the captain.


Indeed, Human Factors problems can negatively impact the
performance of all personnel, whether they are on ground or
in the air, from senior personnel to the individual staff.
178 Aviation Safety and Security Management

Notes Human Factors can be classified into four primary categories:
__________________ aero­medical,   physiological,   performance,   and   design.   There
__________________ may be others, but these four have traditionally proven to be
__________________ the most common human factors noted in mishap investigation
__________________ reports. In each case, the causes, indicators, and approaches to
__________________ resolving the problems will be discussed.
__________________ Health 
__________________ Psychological State






Medical Health Problems:




Flying, maintaining, or handling an aircraft whilst fatigued
is a sure way to increase the probability of a mishap. The
ability to perceive, understand, and respond to even the most
mundane tasks can be greatly impaired when in a state of
physical and/or mental fatigue. One would expect fatigue to
become most evident during sustained operations, but it is
likewise observed during normal operations.


UNIT 9 Aviation Safety Human Factor 179

NOISE/VIBRATION STRESS __________________

CIRCADIAN (24­Hrs rhythmic biological Cycle)  __________________

DISTURBANCES __________________
EMOTIONAL STRESSORS __________________

Many of us are guilty of rushing to work without having had a __________________

good breakfast, or lunching on fast food items, or some make __________________

shift   breakfast.   Clearly,   inadequate   nutrition   can   degrade

physical strength as well as mental acuity; both of which are
critical to maintaining a safe aviation environment.
The last two categories are ties together. There are a number of
folks who will go to work even when they are quite ill. In some
jobs,   this   may   not   affect   performance.   In   aviation,   however,
being in good health is critical to optimizing performance. Still,
there are those who, as we shall see, feel that being ill is not a
sufficient   reason   to   go   temporarily   'hard   down'.   These   folks
tend   to   try   to   suppress   symptoms   of   their   illness   by   self­
medication; an option clearly forbidden to aviators. Sadly, there
are   still   instances   where   crews   are   found   to   betaking
medications while in flying status.

The question remains: why do these problems occur?

These are some of the causes for the onset of aero medical
problems.   It   is  interesting   to  note   here  that   by   definition,
people   in   aviation   tend   to   be   highly   competitive,   zealous
individuals. These attributes are reinforced throughout the
person's   career   and   are   often   manifested   outside   of   the
workplace.   Anything   that   may   disturb   the   inertia   toward
peak   performance   is   to   be   avoided   or,   when   that   is   not
possible, denied. The remainder of the causes listed reflect
both   physiological   and   emotional   factors   which   are
manifested as medical problems.
Here we see some of the indicators which provide evidence
for medical problems. Many of these again are discussed in
180 Aviation Safety and Security Management

Notes subsequent categories (physiological and performance­based
__________________ human   factors).   It   is   this   commonality   of   behavioural
__________________ indicators   which   precludes   one   from   being   able   to
__________________ consistently   diagnosis   the   etiology   of   the   human   factors
__________________ problem on such evidence.
__________________ ­ DISINTEGRATION OF SKILLED 
__________________ PERFORMANCE






COMPLACENCY (A feeling of reduced awareness 
of danger ahead.)


Ensure that crew health is monitored regularly & 
sick crews are not scheduled.

Conduct aero medical training re: health issues, 
human limitations, etc


If they are ill or fatigued, they should seek medical 
attention & should not fly.

How can one minimize mishaps where aero medical factors
were   found   to   be   involved?   Responsible,   proactive
intervention at all levels of the command chain is a must.
UNIT 9 Aviation Safety Human Factor 181

CRIMINAL BEHAVIOR __________________


Psychological   problems   may   not   always   be   as   evident   as __________________

biomedical   problems.   The   hidden   complexities   of __________________
psychodynamic processes may or may not manifest as overt __________________
indicators. As a community, those in aviation are as prone to
experiencing   the   same   societal,   financial,   and   familial
stresses  as  those  in  other  professional  communities.   Thus,
when psychological problems occur, and are not dealt with in
a   timely,   effective   manner,   the   result   can   result   not   only
affects the individuals involved, but may in turn impact an
organization's mission. This becomes most evident in the last
of the factors on this list: suicide.
Here are some common causes for the onset of psychological
problems.   They   affect   us   all,   but   it   is   when   their   results
become chronic or pronounced that the following indicators
become evident.








182 Aviation Safety and Security Management

Notes Again, we must stress that all of us may experience one or
__________________ more of these indicators from time to time. It is only when
__________________ these   indicators   are  chronically  observed,   especially   to  the
__________________ point   where   they   degrade   performance,   which   they   may
__________________ point to some form of psychological problem.
__________________ CHRONIC PERIODS OF
APATHY (Lack of interest in things)/ EUPHORIA (An 
__________________ exaggerated or false feeling of happiness)










Many   of  us  are   taught   to  take   our   problems   and   place   them
aside;   to   compartmentalize   them   until   such   time   as   we   can
allow ourselves to better deal with them. On first glance, this
can   be   a   noble   approach   and   an   effective   way   of   coping.
However,   a   problem   occurs   when   we   start   to   stockpile   our
problems in this way, essentially compounding them by failing
to resolving  them.  When this  occurs,  the  indicators  described
earlier start to appear; that is, compartmentalization fails and
performance is affected. It is imperative, therefore, to recognize
that   there   are   limits   to   compartmentalization,   and   that   not
everyone is as 'skilled' at this ability as others.

distinct parts)

UNIT 9 Aviation Safety Human Factor 183


COMPARTMENTALIZE __________________
INDICATORS APPEAR WHEN __________________

MECHANISM IS "MAXED OUT" (Exhausted) __________________
As with our approach to medical problems discussed earlier,
one   must   be   proactive   in   the   prevention   of   mishaps   as   a
function of psychological problems. One may not be able to
prevent   the   problem,   but   one   can   keep   the   affected
individual out of the air, or away from the aircraft.


Conduct periodic Human Factors Councils and 
Boards when necessary.

Provide training to heighten aircrew awareness.

Remove individual from flight schedules.

Conduct aero medical training re: psychological 
health issues, human limitations, etc.

Monitor crew mental health closely.


They should co­operate and should not hide any 

In case of any problem they should themselves offer 
for not flying.

There are a number of physiological issues which are 
addressed under the umbrella term of 'human factors'. Many
184 Aviation Safety and Security Management

Notes of them fall under one of the four general categories are 
__________________ listed here.
__________________ SURVIVAL AND SAFETY
__________________ Aircrew performance has been shown to be affected by the 
nature and scope of these factors.












Physiologists are concerned with performance in all of these
environments. Training in each of these areas is critical if
safety is to be maintained and survival ensured.



EGRESS (A place to Exit or escape)

UNIT 9 Aviation Safety Human Factor 185

HUMAN FACTORS __________________

The   effects   of   altitude   on   performance   become   clearest __________________

during physiology training. The effects of pressure changes __________________

and lack of oxygen are demonstrated in controlled altitude __________________

chamber 'Simulated flights'. __________________
The physiologist is also the expert in protective equipment
and systems; the 'gear' which is designed to  ensure safety
and survival.

It is the responsibility of administration to ensure that flight
crew   are   thoroughly  versed   in  the  physiological   aspects   of
human   factors.   This   is   best   accomplished   through   careful
monitoring of personnel records for currency, and providing
for physiological training if and when required.




Up   to   this   point,   we've   examined   how   the   medical,

psychological,   and   physiological   aspects   of   human   factors
will   affect   performance.   We   will   now   turn   to   a   more
'cognitive'   approach   to   performance   by   examining   an
individual's   behavioural   capabilities   and   limits,   and   how
they   are   manifested.   Capabilities   will   vary   with   the
individual;   what   we   all   have   in   common   is   that   we   make
errors.   It   is,   however,   possible   to  enhance   our   capabilities
whilst minimizing error (or the effects of error).



186 Aviation Safety and Security Management

SYCHO­MOTOR ISSUES (or pertaining to movement 
produced by action of the mind or will.)
Performance   problems   are   manifested   as   breakdowns   in
flight   behaviour(s).   Some   originate   at   a   perceptual   level
whilst   others   combine   perceptual   and   cognitive   anomalies.
Both result in degraded performance.








These   are   some   of   the   primary   causes   of   degraded   flight

performance most often noted in mishap analyses.





an   information   processing   view   of   an   individual's
psychological functions.)



UNIT 9 Aviation Safety Human Factor 187

Some of the more prominent behavioural indicators are  Notes

listed here. __________________
POOR HEADWORK __________________




Will we ever be able to totally eliminate human error, and
the other factors leading to degraded performance? Probably
not, but one can continue to strive for that goal. How can the
person in the cockpit, on the flight deck, or in the hangar
minimize his/her making an error? Some of the more 'classic'
recommendations are listed here. However, there is a better
way to tackle the types of human factors problems discussed
to this point.











188 Aviation Safety and Security Management

__________________ LIGHTING
__________________ EASY ACCESS
__________________ SPECIAL GEAR/TOOLS
__________________ FOOLPROOFING

Each organization should create and maintain and ongoing,
dynamic   human   factors   program.   This   can   be   best
accomplished   under   the   umbrella   of   operational   risk
management.   It   is   also   critical   to   revise   existing   safety
programs   to   include   a   strong   emphasis   on   human   factors.
Human factors councils and boards must be carried out as
per instruction. The way to best prevent the onset of human
factors problems is to maintain a highly visible HF training








Another way to ensure that Human Factors programs can be
promulgated is  by incorporating one into an organization's
Safety   program.   This   does   not   require   any   added
administrative processes. Rather, incorporation of a Human
UNIT 9 Aviation Safety Human Factor 189

Factors   necessitates   an   ongoing   program   of   training   and Notes

awareness. __________________
Again, the best way to promote Human Factors awareness is __________________
by training.  This brief  is but  one resource in this process. __________________
There are a host of other HF briefs and resources available __________________
from military and civilian safety and aviation agencies. __________________
The   Human   Factor   in   Naval   Aviation   Safety,   Cdr   Andy __________________
Bellenkes Force Aviation Human Factors Safety Officer,
Comnavairlant Code N452, USA
Document   No.   CAP   719,   Fundamental   Human   Factors
Concepts,   ­A   publication   of   Civil   Aviation   Authority,
Document   No.   CAP   716,   Aviation   Management   Human
Factors, ­A publication of Civil Aviation Authority, U.K.
ICAO   as   Circular   number   216­AN/131.   Human   Factors,
Digest No. 1 "Fundamental Human Factors Concepts".
Department of Transport and Regional Development, USA,
Bureau   of   Air   Safety   Investigation­Human   Factors   in
Fatal Aircraft Accidents.

General Questions.
What are the primary categories of human factors that may
adversely affect the performance of aircraft personnel,
and may result into an aircraft accident or incident?
Taking   example   of   the   case   history   an   aircraft   accident
caused   due   to   involvement   of   some   extent   of   human
factor,   please   give   the   causes   of   the   accident   with
possible   methods   of   prevention   and   your   views   on
avoiding such accidents.
Describe briefly the various categories of human factors.
190 Aviation Safety and Security Management

Notes Objective Type of questions

As per statistical records, maximum number of aircraft 
accidents are caused due to ­­­­­
__________________ Human   Factors   can   be   classified   into   four   primary
__________________ categories: aero­medical, ­­­­­­, performance, and design.
Answers to Objective Type of questions
__________________ Human Factors.
__________________ Physiological.
UNIT 10 Air Operation Areas Safety Management 191

Unit 10 Notes
Air Operation Areas __________________

Safety Management __________________

Airport   Operations are  complex  and  diverse,  with  hazards
and   their   severity   varying   by   the   type   of   operation.
Accordingly the functional areas of air side can be divided
under the following groups;
Ramp operations

Hangars and maintenance shops

Runway incursions

Specialized services

0 Aviation Fuel Handling

1 Aircraft Rescue and Fire fighting (ARFF)

2 De­icing (Mostly for European & US Airports)

Ramp operations
The ramp area (Apron) is generally designed for the aircraft,
and not for the vehicles that service and/or operate in the
proximity of the aircraft. On the other hand, the ramp area
sees a diverse collection of high placed activities that involve
aircraft, vehicles and individuals working in close proximity
to one another. This may include activities such as;
Aircraft ground handling like taxiing, towing, chocking, 
parking, mooring etc.

Aircraft servicing­catering, cleaning, food service

Baggage and cargo handling

Ground Power supply

Routine checks and maintenance
192 Aviation Safety and Security Management

Notes Individuals   engaged   in   above   activities   are   exposed   to

__________________ several of the occupational hazards like cuts from protruding
__________________ aircraft   parts,   slips,   trips,   falls,   strains   from   baggage
__________________ handling, exposure to hazardous materials like aircraft fuel,
__________________ hydraulic fluids, hot oil, high pressure air, electrical hazards,
__________________ aircraft   noise   from   engines   etc.   Accordingly   suitable
__________________ precautions are to be taken.
Air side Vehicle Operation
__________________ A   number   of   incidents   take   place   involving   collision   of
__________________ vehicle   with   aircraft   or   with   another   vehicle.   At   the   busy
airports separate vehicular lanes are drawn for movement of
the vehicles. Similarly yellow lines are drawn and no vehicle
is   permitted   to   cross   this   line.   While   plying   on   the
operational area and while close to an aircraft, all vehicles
are required to move with slow speed.
In addition to watching for moving aircraft, the vehicles are
also required to be careful not to get too close to a parked
aircraft,   to   prevent   collision   with   the   aircraft,   and   also   to
avoid the problem of jet blast or prop wash. There have been
several   cases   where   vehicles   have   been   overturned   by   jet
When driving near navigational aids, the vehicles are to stay
out of the protected areas around them to avoid interfering
with their signals.
At   "controlled"   airports   whenever   the   Control   tower   is
operating,   the   vehicles   must   get   permission   from   the
controller to be on the runway or taxiways, their associated
safety areas, or any other part of the movement area by radio
or with advanced coordination with ATC.

Night Driving or Bad Weather Driving

Extra   precautions   have   to   be   taken   by   vehicle   drivers   for
driving at night or in bad weather. They should be driven
with slow speed and with care.
Under   winter   conditions,   signs   and   marking   may   be
obscured due fog. Caution has to be taken as there may be
extra risks present.
UNIT 10 Air Operation Areas Safety Management 193

Foreign Object Damage (FOD) Notes

FOD or Foreign Object Damage is caused due to ingestion of
loose objects by  aircraft   engines,   or due  to  hitting  of   such
material with the aircraft. Trash or rocks sucked into a jet __________________

engine   can   shred   parts   of   the   engine   in   seconds.   A   rock __________________

caught by a propeller can damage the propeller, as well as __________________

become a deadly projectile. It should be made sure that all __________________

trash is put in a covered container that won't be blown over. __________________

Also all loose trash, rocks, pebbles, nails, bolts, or pieces of __________________

metal near aircraft movement areas should be picked up and __________________
removed. Also anything that could cause FOD or puncture __________________
tires should be picked up and tracking mud and rocks onto
the pavement surfaces should be avoided.

Aviation Fuel Handling

Fuel handling is an important safety issue not only to fuel
handlers but also to other airport personnel, passengers, and
to the operations  of  the aircraft. Failure to adhere to safe
operating   procedures   during   refuelling   of   the   aircraft,   or
transporting the fuel from one location to other, may result
into major disasters.
A   few   vulnerable   areas   concerning   the   fuel   handling   are
health hazards to refuellers, Fuel contaminations, explosions
and   fires   due   fuel,   hazards   from   spill   etc.   Thus   strict
precautions   are   to   be   taken   by   the   concerned   officials   in
order   to   avoid   such   incidents.   As   aircraft   fuel   is   highly
flammable,   strict   precautions   are   to   be   taken   not   to   use
ignition   system   (Like   starting   of   vehicles)   and   not   to   use
even RT (Radio Transmitter) as it may create fire. Electrical
equipment should be earthed properly.

The  problem  of  de­icing  occurs  mainly at  US or  European
airports,   and   at   places   where   temperature   goes   normally
below freezing point.
Presence of ice and snow on the control surfaces, airfoil and
sensor surfaces can create serious problems for the aircraft
operations, and hence the same has to be removed before
194 Aviation Safety and Security Management

Notes the take off of the aircraft, by the spray of de­icing fluid. The
__________________ fluid should be used with care failing which, it may cause
__________________ damage   to   sensitive   aircraft   controls   like   angle   of   attack
__________________ sensors,   pitot   &   static   sensors,   engines   etc.   It   is   also
__________________ hazardous for the health of personnel.
Runway Incursions
__________________ A   runway   Incursion   is   defined   as   an   occurrence   at   an
__________________ aerodrome involving the incorrect or unauthorized presence
__________________ of an aircraft, vehicle or person on the protected area of a
__________________ surface, designated for the landing and take­off of aircraft.
A large number of cases of runway incursions take place at
many airports in some form or the other. There are many
reasons for occurrence of runway Incursions. Main reasons
can be divided into the following groups;
Operational Error: This is due to failure of ATC system

Pilot Error: This is due to violation of flight procedure or 
incorrect procedure by the pilot.
Vehicle/ Pedestrian Mistake: Due to unauthorized or faulty
entry or movement of any vehicle or person on the active
Miscellaneous: Due to any reason not covered under any of
the   above   mentioned   groups   (e.g.   due   equipment
Runway incursion prevention programme involves 4 groups 
of persons/services.
Pilots of aircraft.

Drivers of vehicle /Pedestrians/Personal working at the 
Aerodrome owner/operator.

Air Traffic Controllers.

Miscommunication between controller and pilot, improper use
of  ICAO  phraseology,   read   back   and   hear   back   error,   lack   of
knowledge of the operational area by airport staff engaged
UNIT 10 Air Operation Areas Safety Management 195

in   different   airport   operations   were   found   to   be   the Notes

contributory factors. __________________
In order to avoid Runway  incursion causing safety hazard
which   may   eventfully   lead   to   serious   incident/accident
DGCA   has   issued   guidelines   in   the   form   of   Aeronautical
Information Circular No. 06 of 2006, Dt 14th Oct 2006, to be
observed   by   all   concerned   while   operating   at   Indian
Airports.   Extracts   from   AIC   06/2006   are   given   below.
Complete AIC is enclosed as Appendix.
Extracts from AIC 06/2006 __________________

I. Guidelines for Pilots:

Detailed investigations of runway incursions have identified
three major areas where pilots can help.

Airport knowledge

Cockpit procedures for maintaining orientation.

1. Communications:  Effective   pilot/controller

communications   are   key   to   safe   surface   operations.
Clear   understanding   of   instructions   should   never   be
compromised,   especially   during   busy   times   when   the
frequency is congested.
0 Listen before you transmit.

1 If able, monitor RT communication to have mental 
picture of Airport activity.
2 Keep communications with the controller clear and 
3 Ensure you understand all instructions. Never 
4 Read back runway hold short instructions verbatim.

Airport knowledge: Ground operations can be the most 
demanding and complex phase of the flight.
0 Review airport diagrams before taxing or landing.
196 Aviation Safety and Security Management

Notes 1 Keep the airport diagrams including taxi routings 
__________________ readily available.
2 Be alert to airport vehicle and pedestrian activity.
3 Maintain situational awareness of proximity to 
__________________ Runway at all times.
__________________ 4 Comply with Holding Point markings/signage
Cockpit   procedures:  Pilots   can   use   proven   and  effective
procedures in the cockpit to help conduct safe operations
on the ground and during take­off and landing.
0 Avoid unnecessary conversation, during 
movements, takeoff, and landing.
1 Constantly scan outside the cockpit, especially 
when on runways.
2 If lost notify Air Traffic Control immediately.

3 Make your aircraft visible by proper use of aircraft 
4 If unfamiliar with the airport do not hesitate to 
request progressive taxi instructions.
5 Insure proper radio telephony operation and check 
audio panel, volume control and squelch settings.
Stay   alert   especially   when   visibility   is   low:  Extra
vigilance is required when visibility decreases and the
ability   for   pilots   and   controllers   to   maintain   desired
level   of   situational   awareness   becomes   significantly
more difficult.
Report   confusing   or   deteriorating   surface   markings
and   signs:  Report   confusing   or   deteriorating   surface
markings and signs and inaccurate airport diagrams to
the tower or airport manager.

Guidelines applicable to Airport owners/ Operators and

Airside vehicle Drivers:
The term ground aids commonly refers to Aerodrome Signs,
Markings, Lightings and any other appearance
UNIT 10 Air Operation Areas Safety Management 197

or object that is utilized to help guide the users of the  Notes

Airport. __________________
It   is   important   to   emphasize   that   effective   and   consistent
training in the use of aerodrome ground aids is crucial
in   reducing   the   runway   incursion   problem.   It   is
therefore important that all personnel having access to
aerodrome   operational   areas   and   aerodrome   ground
aids   undergo   training   in   correct   interpretation   of __________________

information provided by signs markings and lightings. __________________

The training programme should be well coordinated and __________________

should   make   ample   use   of   SARPS   and   guidance __________________

material   as   outlined   in   Annex   14   and   associated

technical manuals. A runway includes a runway strip, it
is   not   just   the   pavement   surface,   but   includes
grass/gravel areas. Edge of the strip is marked, which
needs to be always followed.
One of the primary causes of runway incursion is the lack of
familiarization with the aerodrome lay out, it is important
for   the   ground   vehicle   drivers   to   have   on   sight   training
experience   in   getting   to   know   the   aerodrome   signs,
markings and lighting. Maintain situational awareness of
proximity to Runway at all times

All   operations   by   vehicles   on   the   runways   or   taxiways

require   individual   authorization   from   control   tower,
even for pass holders in each individual case.
Pilots   of   aircraft   and   vehicles   operating   on   or   near   the
runway  are  expected   to  keep  watch   for   light   or   other
signals   that   might   be   issued   from   control   tower
according   to  local   procedures.   Radio   equipped   aircraft
and   vehicles   should   maintain   continuous   listening
watch on Tower or Ground Control frequencies.
Faded   signs   and   incorrectly   placed   signs   often   lead   to
runway   incursion.   Frequent   and   random   inspection
shall be carried out to prevent the above.
Deficiency in the aerodrome marking and visual aids often 
lead to runway incursion.
198 Aviation Safety and Security Management

Notes All runway markings are white. This is to differentiate them 
__________________ from taxiway markings.
Equip all airside vehicles with ICAO compliant markings 
and lighting.
__________________ Provide airside escort vehicle to, vehicles/ aircraft unfamiliar
__________________ with aerodrome layout/ procedure.
__________________ Runway side strip markings shall always be provided for 
precision approach runway.
All taxiway markings are yellow to differentiate them from 
runway markings.
Runway holding position marking shall be in yellow colour.
Aerodrome signs are divided in to mandatory instruction 
signs and information signs.
Mandatory instruction signs are made in red background with
white inscriptions. Aircraft and vehicles are not allowed to
proceed beyond these points unless specifically authorized
by control tower. These include runway designation sign,
runway   holding   position   sign,   no   entry   sign   and   road
holding position sign.

Information   signs   are   made   of   combination   of   yellow   and

black colours. Information sign includes location signs,
destination signs and direction signs. Location sign is in
black background with yellow inscription and when it is
stand­alone   will   have   yellow   border.   All   other
information signs will have black inscription on yellow
A   location   sign   shall   be   provided   in   conjunction   with   a
direction   sign   except   it   may   be   omitted   when
aeronautical studies indicate that it is not needed.
Aerodrome   lights   include   the   stop   bar   lights   or   runway
guard lights. All traffic shall stop and hold at all lit stop
bars and only proceed when specifically authorized by
aerodrome control tower.
UNIT 10 Air Operation Areas Safety Management 199

III. Guidelines for Air Traffic Controllers: Notes

Apply existing ICAO standards and recommended practices 
and procedures.
Vehicles and aircraft shall not be permitted to hold closer to __________________
the   runway   than   the   applicable   runway   holding __________________
positions. __________________

Do  not   use  conditional   phrases  such  as:   ­   "behind  landing __________________

aircraft"   or   "after   departing   aircraft"   for   movements __________________

affecting active runways unless appropriate pilot or the __________________

controller both see the aircraft concerned. __________________

Controller   shall   listen   to   the   read   back   of   clearances   and

instructions   to   enter,   land   on,   take­off,   hold   short   of,
cross and back­track on any runway whether active or
not   to   ascertain  that   the  clearance   or   instruction  has
been   correctly   acknowledged   by   the   flight   crew   and
shall take immediate action to correct any discrepancy
revealed by the read back.
ROGER and WILCO do not constitute a read­back. Correct 
read­backs are mandatory.
Controller shall listen to the read back instructions carefully
to avoid Read back and Hear back error i.e. controller
confirming instructions as right although it is wrong.
Be alert for similar call signs, change call signs temporarily 
if required.
Avoid expectation bias i.e. hearing what is expected instead 
of what is really said.
In poor visibility conditions visual surveillance may be 
augmented by Radar if available.
If   Surface   Movement   radar   is   either   not   provided   or
unserviceable   during   low   visibility   operations,   all
aircraft and vehicles must report having vacated active
runway. Also by having the aircraft report airborne, the
controller can be assured that the aircraft is no longer
on the active runway.
200 Aviation Safety and Security Management

Notes When a taxi clearance contains a taxi limit beyond a runway,
__________________ it shall contain an explicit clearance to either "cross" or
__________________ "hold short" of that runway.
To   reduce  the  potential   for   misunderstanding,   the  take­off
clearance shall include the designator of the departure
If the control tower is unable to determine, either visually or
by Radar that a vacating or crossing aircraft has cleared
the   runway,   the   aircraft   shall   be   requested   to   report
when   it   has   vacated   the   runway.   The   report   shall   be
made   when   the   entire   aircraft   is   beyond   the   relevant
runway holding position.
One of the reasons for misunderstanding due to differences
in FAA and ICAO phraseology has now been done away
with.   The   phrase   "TAXI   TO   HOLDING   POINT
RUNWAY   27"   shall   be   used   instead   of   TAXI   TO
All runway incursion incidents come under the category of
incidents and must be reported as per procedure established
for ATS incidents.

Safety Management System (SMS)

What's SMS, & Why it is needed?

No other transportation industry has a better safety record
than aviation. And yet there is still always a need to improve
it further. Technology helped a lot in the recent decades to
maintain   a   more   or   less   constant   accident   rate   while
passengers' numbers went up tremendously, but now a need
is   felt   to   sharpen   the   management   skills   so   as   to   remain
ultra­safe in the future.
SMS,   or   Safety   Management   Systems,   is   exactly   the   right
tool   to   achieve   safety   in   aviation.   It   basically   is   a   process
where operators identify the hazards and associated safety­
risks that are inherent in their individual operation and then
develop appropriate mitigation strategies.
SMS has two main purposes. The first is to reduce the safety­
risks for passengers, aircraft, personnel or property to a level
UNIT 10 Air Operation Areas Safety Management 201

as   low   as   reasonably   practical.   The   second   is   to   assist Notes

managers with their constant dilemma between production __________________
and protection: "is it a good idea to make an offer to that __________________
customer   who   wants   us   to   fly   around   unfamiliar __________________
mountainous   terrain   in   marginal   weather   or   should   we __________________
simply skip this business opportunity?" __________________

SMS is not just about investing in the improvement of an __________________

already quite impressive safety record. It's also about saving __________________

a lot more by managing the daily operations more safely and __________________

more   effectively   using   Quality   Management   principles.   Of __________________

course there is no "off­the­shelf" or "one­size­fits­all" system, __________________

and   some   fine­tuning   is   needed   in   every   organization

implementing SMS.

First,  it's not new: other major industries have implemented
SMS for decades and to revert to the "old days without SMS" is
simply unthinkable for them. They gained too much. The best
companies in business aviation have also been benefiting from
SMS for years, and they won't step back either.

Second,  from   a   purely   business   point   of   view   there's   no

reason to wait to improve efficiency and reduce safety risks.
Implementing an SMS has a cost, but  definitely less  than
smashing a wing­tip in the hangar or less than refusing a
flight request because risks were not properly assessed and
mitigated (just to take rather "happy­ending" occurrences).
Third,  ICAO   demands   it   and   the   various   civil   aviation
authorities are preparing for it. The ICAO deadline for Air
Traffic   Service   providers   and   airports   has   already   passed;
aircraft   operators   and   maintenance   organizations   are   the
next in line. ICAO has issued DOC 9859­AN/460 containing
the details of Safety Management System.

Safety Management Systems of ICAO-General Descrip-

The scope of SMS encompasses most of the activities of the
organization. SMS must start from senior management, and
safety must be considered at levels of the organization. SMS
202 Aviation Safety and Security Management

Notes aims to make continuous improvement to the overall level of
__________________ safety. All aviation stakeholders have a role to play in SMS.
__________________ States are responsible for establishing a safety program.
SMS is inclusive of the following components;
__________________ Safety regulation
__________________ Safety oversight
Accident/ incident investigation
__________________ Mandatory/ voluntary reporting systems
Safety data analysis

Safety promotion

SMS Features
Systematic­ Safety management activities are in accordance
with   a   pre­determined   plan,   and   applied   in   a   consistent
manner throughout the organization.
Proactive­An   approach   that   emphasizes   prevention,
through   hazards   identification   and   risk   control   and
mitigation measures, before events that affect safety occur.
Explicit­ All Safety management activities are documented,
visible   and   performed   independently   from   other
management activities.

Responsibilities of SMS
A   Systematic   approach   to   managing   safety,   including   the
necessary   organizational   structures,   policies   and
Providers (operators, organizations­In our case AAI) are 
responsible for establishing an SMS.
States (In our case DGCA) are responsible for the acceptance
and oversight of providers SMS.
It is also required by ICAO that the States shall establish a
safety programme, in order to achieve an acceptable level of
safety in:
UNIT 10 Air Operation Areas Safety Management 203

The Operation of aircraft Notes
The maintenance of aircraft
The Provision of air traffic services __________________
Aerodrome operations
The acceptable level of safety to be achieved shall be  __________________
established by the States concerned. __________________
ICAO SMS Framework
Safety Policies & objectives __________________

1.1  Management commitment and responsibility

1.2  Safety accountabilities of managers

1.3  Appointment of key safety personnel

1.4  SMS implementation plan

1.5  Documentation

Safety Hazard identification and risk management 2.1

Hazard identification processes

2.2  Risk assessment and mitigation processes

2.3  Internal safety investigations

Safety Assurance

3.1  Safety performance monitoring and measurement

3.2  Audits and surveys

3.3  The management of change

3.4  Continuous improvement of the safety system.

Safety Promotion

4.1  Training and Education

4.2  Safety Communication
204 Aviation Safety and Security Management

Notes Emergency response Planning
5.1  Development of the Emergency response Plan.
__________________ Difference between SMS & Quality Management
Focuses on Safety, human & Focuses on Products of an operation
__________________ organizational aspects of an (i.e. Customer satisfaction)
__________________ operation (i.e. Safety
Results in the design and QMS techniques provide a
__________________ implementation of organizational structured process for ensuring
processes & procedures to processes & procedures achieve
identify hazards and control/ their intended objectives and where
mitigate risks in aviation they fall short, to improve them.
operation. (SMS builds partly QMS principles).
SMS should include both safety
& quality policies.
The coverage of quality policies
should be limited to quality in
support of safety.
Safety objectives should receive
primacy where conflicts are

Airports Authority of India's Safety Policy for Air

Operation Areas
Safety Management System
The   formal   systematic   procedures   and   practices   for   the
management of safety of Air Operation Areas are generally
referred to collectively as a safety management system.
As   a   first   step   in   formulating   the   ATS   Safety   Management
System, the Safety Policy of Airports Authority of India in the
form of following components has been formally established:

Safe Navigation of Aircraft

Airports   Authority   of   India   will   provide   the   highest
reasonable standard of safety within the Air Traffic Services
Systems which it plans, provides and operates by identifying
and minimizing those risks arising from Airports Authority of
India's activities which could contribute to aircraft accidents.
UNIT 10 Air Operation Areas Safety Management 205

Priority of Safety Notes

Airports Authority of India will regard the safety of the air
traffic services system as the most important consideration
throughout all its activities.
Management Responsibility __________________
Safety is an integral part of the provision of an efficient &
effective   air   traffic   management   system.   All   concerned
executives   are   accountable   for   the   performance   in   their
areas of responsibility.
Adoption of Explicit Safety Standards
Airports Authority of India will  continue to adopt  Explicit
Safety Standards which comply with statutory obligations
with the safety requirements of the Director General Civil 

Safety Culture
Airports Authority of India will develop a culture among all
its   Executives   and   Staff   which   fosters   an   increasing
understanding of the importance of safety in all its activities
and the resultant responsibility of each individual. Airports
Authority of India will provide the environment, support and
training necessary to achieve this goal.

Airports Authority of India will  ensure that the air traffic
management   systems   and   technology   it   uses,   whether
developed   internally   or   bought   externally,   meet   specified
and appropriate system.

Objectives of ATS safety Management system

The   safety   objectives   applicable   to   the   provisions   of   ATS
within   airspaces   and   aerodromes   controlled   by   Airports
Authority of India have been formally established as below:
ensure that the established level of safety applicable to the
provision of ATS within an airspace or at an aerodrome
is met.
206 Aviation Safety and Security Management

Notes 2. ensure  that  safety­related  enhancements  are
__________________ implemented whenever necessary.
__________________ 3. ensure that the achievement of satisfactory safety in
__________________ ATM shall be accorded the highest priority over
__________________ commercial, environmental and social pressures.
__________________ 4. ensure that Airports Authority of India's safety policy,
__________________ organizational   responsibilities   and   positional
__________________ responsibilities are understood by its employees
__________________ whenever their activities may have impact on safety.
__________________ 5. ensure that there is a system in place to assess the safety
__________________ implications and safety hazards in ATM operations and
to determine the action necessary to minimize those
hazards, and to monitor the implementation of that
action on a periodic basis.
6. control and manage safety hazards in any change to
existing systems, equipment or procedures to ensure any
unacceptable hazards are eliminated by the time the
change is completed.
7. ensure that processes are in place which deliver
personnel who are adequately trained, motivated and
competent to perform the tasks required of them, in
addition to being properly rated if so required and to
monitor their continuing competence on a periodic basis.
8. ensure that processes are in place to facilitate the safe
and effective management of the operations of air traffic
services, aeronautical telecommunications services and
aeronautical radio navigation facilities on a continuing
9. ensure that processes are in place to minimize the
impact of any abnormal operation on those utilizing the
service and report and record the abnormal operation,
thereby providing a mechanism for review, as and when
required, after the event.
10. ensure that processes are in place to deliver accurate
presentation of aeronautical information to the users of
that information as and when they require it.
11. ensure that the control of entry of personnel into
operational fire fighting functions and to periodically
UNIT 10 Air Operation Areas Safety Management 207

monitor and endorse the continuing competency of those Notes

personnel. __________________

comply with ICAO standards for ATS messages recording and __________________
access to recordings on a continuing basis.
ensure   that   processes   are   in   place   which   assure   the
provision of facilities for safe navigation on an on­going

References __________________
DGCA CAR   Section  4  ­  Aerodrome  & Air  Traffic  Services,
Series   'X'   Part   IV,   17­10­07,   "Runway   Safety
Programme and formation of Runway Safety Teams".
Aeronautical Information Circular 6 of 2006.

ICAO Runway Safety Toolkit and DOC. 9870.

FAA, 2000 Publication­The National Blueprint for the 
Runway Safety.
ICAO Document DOC 9859­AN/460 (Safety Management 
Federal Aviation Administration (FAA) Advisory Circulars 
on SMS
Commercial Aviation Safety by Alexander T. Wells, Ed.D. & 
Clarence C. Rodrigues, Ph.D., P.E.
Various Circulars and notifications on "Safety Management 
System" issued by DGCA.
DGCA,   Civil   Aviation   Requirements,   Section   8   ­   (Aircraft
Operations),   Series   'A'   Part   II,   Issue   I,   Dated   16th
October,   1995,   Subject:­Safety   Regulation   And
Oversight Of Flight Operations.
AAI Air Traffic Services Manual.

Civil Aviation Authority, UK Publication CAP 730­Safety 
Management Systems for Air Traffic Management.

Civil Aviation Authority, UK Publication CAP 642­Airside 
Safety Management Systems.
208 Aviation Safety and Security Management

Notes Federal  Aviation Administration (FAA)  Acquisition System

__________________ Toolset (FAST)­ System Safety Management Program /
__________________ Section 1 (Revised 12/2004)
U.S.   Department   of   Transportation,   Federal   Aviation
Administration, Advisory Circular AC No: AC 150/5200­
37   Date:   February   28,   2007,   "Introduction   to   Safety
Management Systems (SMS) For Airport Operators".
__________________ Questions
General Questions.
What is meant by 'Runway Incursion'? What are the primary
reasons for occurrence of runway Incursions? Describe
main   features   of   prevention   programme   for   'Runway
incursion' involving various groups of persons/ services
as per DGCA Circular.
Define manoeuvring area and movement area at an airport.
What are the objectives of ATS Safety management system
What are precautions required to be taken for vehicle 
operations at the air side.

Objective Type of questions

Ramp operations on an airport include­­­­­­

Foreign Object Damage (FOD) to an aircraft can be caused 
by the following;­­­­
Three major areas where pilots can help are; i) 
Communications ii) Airport knowledge and iii) ­­­­

Answers to Objective Type of questions

­Aircraft servicing, catering, cleaning, cargo loading, 
refuelling etc.
Aircraft engines sucking a loose stone lying on the runway.
Cockpit procedures for maintaining orientation.
UNIT 11 Air Transport Safety Management Principle 209

Unit 11 Notes
Air Transport Safety __________________

Management Principle __________________

11.1 GENERAL __________________
Aviation  is  remarkable  for  the  giant   technological   leaps   it __________________
has   made   over   the   last   century.   This   progress   would   not __________________
have   been   possible   without   parallel   achievements   in   the __________________
control and reduction of aviation's safety hazards. Given the
many ways that aviation can result in injury or harm, those
involved   with   aviation   have   been   preoccupied   with
preventing   accidents   since   the   earliest   days   of   flying.
Through   the   disciplined   application   of   best   safety
management   practices,   the   frequency   and   severity   of
aviation occurrences have declined significantly.


11.2.1   In   order   to   understand   safety   management,   it   is
necessary to consider what is meant by "safety".
Depending   on   one's   perspective,   the   concept   of   aviation
safety may have different connotations, such as:
zero accidents (or serious incidents), a view widely held by 
the travelling public;
the freedom from danger or risks, i.e. those factors which 
cause or are likely to cause harm;
the attitude towards unsafe acts and conditions by 
employees (reflecting a "safe" corporate culture);
the degree to which the inherent risks in aviation are 
the process of hazard identification and risk management; 
the control of accidental loss (of persons and property, and 
damage to the environment).
210 Aviation Safety and Security Management

Notes 11.2.2   While   the   elimination   of   accidents   (and   serious

__________________ incidents) would be desirable, a one hundred per cent safety
__________________ rate is an unachievable goal. Failures and errors will occur,
__________________ in spite of the best efforts to avoid them. No human activity
__________________ or human­made system can be guaranteed to be absolutely
__________________ safe, i.e. free from risk.
__________________ Safety   is   a   relative   notion   whereby   inherent   risks   are
acceptable in a "safe" system.
11.2.3 Safety can be defined as below:
__________________ Safety is the state in which the risk of harm to persons or of
property damage is reduced to, and maintained at or below,
an acceptable level through a continuing process of hazard
identification and risk management.


11.3.1   Although   major   air   disasters   are   rare   events,   less
catastrophic accidents and a whole range of incidents occur
more   frequently.   These   lesser   safety   events   may   be
forerunners   of   underlying   safety   problems.   Ignoring   these
underlying safety hazards could pave the way for an increase
in the number of more serious accidents.
3.2 Accidents (and incidents) cost money. Although purchasing
"insurance"   can   spread   the   costs   of   an   accident   over   time,
accidents make bad business sense. While insurance may cover
specified   risks,   there   are   many   uninsured   costs.   In   addition,
there are less tangible (but no less important) costs such as the
loss of confidence of the travelling public. An understanding of
the total costs of an accident is fundamental to understanding
the economics of safety.
11.3.3   The   air   transportation   industry's   future   viability   may
well be predicated on its ability to sustain the public's perceived
safety while travelling. The management of safety is therefore a
prerequisite for a sustainable aviation business.


11.4.1 Safety has always been the overriding consideration 
in all aviation activities. This is reflected in the aims and
UNIT 11 Air Transport Safety Management Principle 211

objectives of ICAO as stated in Article 44 of the Convention Notes
on International Civil Aviation (Doc 7300), commonly known __________________
as   the   Chicago   Convention,   which   charges   ICAO   with __________________
ensuring the safe and orderly growth of international civil __________________
aviation throughout the world. __________________

11.4.2   In   establishing   States'   requirements   for   the __________________

management   of  safety,   ICAO   differentiates   between  safety
programmes   and   safety   management   systems   (SMS)   as
A safety programme is an integrated set of regulations and
activities aimed at improving safety.
A   safety   management   system   (SMS)  is   an   organized
approach   to   managing   safety,   including   the  necessary
organizational structures, accountabilities, policies and
11.4.3 ICAO's Standards and Recommended Practices (SARPs)
require that States establish a  safety programme  to achieve
an   acceptable   level   of   safety   in   aviation   operations.   The
acceptable   level  of  safety  shall  be  established  by   the  State(s)
concerned. While the concept of safety programmes and SMS is
restricted to Annexes 6, 11 and 14 at present, it is possible that
the concept will be expanded to include additional operational
Annexes in the future.

11.4.4 A safety programme will be broad in scope, including
many   safety  activities  aimed   at   fulfilling  the  programme's
objectives. The safety programme may include provisions for
such   diverse   activities   as   incident   reporting,   safety
investigations, safety audits and safety promotion.
11.4.5 Therefore, in accordance with the provisions of ICAO
Annexes 6, 11 and 14, States shall require that individual
operators,   maintenance   organizations,   ATS   providers   and
certified  aerodrome   operators   implement   SMS   accepted   by
the State. As a minimum, such SMS shall
identify safety hazards;

ensure that remedial actions necessary to mitigate the 
risks/hazards are implemented; and
212 Aviation Safety and Security Management

Notes provide for continuous monitoring and regular assessment of
__________________ the safety level achieved.
11.4.6 An organization's SMS accepted by the State shall also
clearly define lines of safety accountability, including a direct
accountability for safety on the part of senior management.
__________________ 4.7 ICAO provides specialized guidance material, including
__________________ the   manual   for   Safety   Management   System   (ICAO   DOC
__________________ 9859), for the fulfilment of the SARPs. This manual includes
__________________ a   conceptual   framework   for   managing   safety   and
__________________ establishing   an   SMS   as   well   as   some   of   the   systemic
processes   and   activities   used   to   meet   the   objectives   of   a
State's safety programme.

Acceptable level of safety

11.4.8   In   any   system,   it   is   necessary   to   set   and   measure
performance   outcomes   in   order   to   determine   whether   the
system is operating in accordance with expectations, and to
identify   where   action   may   be   required   to   enhance
performance levels to meet these expectations.
11.4.9 The introduction of the concept of acceptable level of
safety   responds   to   the   need   to   complement   the   prevailing
approach to the management of safety based upon regulatory
compliance, with a performance­based approach. Acceptable
level of safety expresses the safety goals (or expectations) of
an oversight authority, an operator or a service provider. It is
a   reference   against   which   the   oversight   authority   can
measure   safety   performance.   In  determining   an   acceptable
level of safety, it is necessary to consider such factors as the
level of risk that applies, the cost/benefits of improvements to
the   system,   and   public   expectations   on   the   safety   of   the
aviation industry.
11.4.10 In practice, the concept of acceptable level of safety is
expressed   by   two   measures/metrics   (safety   performance
indicators and safety performance targets) and implemented
through various safety requirements.
Safety   performance   indicators   are   a   measure   of   the   safety
performance of an aviation organization or a sector of
UNIT 11 Air Transport Safety Management Principle 213

the industry. Safety indicators should be easy to measure Notes
and be linked to the major components of a State's safety __________________

programme, or an operator's/service provider's SMS. __________________
Safety indicators will therefore differ between segments
of   the   aviation   industry,   such   as   aircraft   operators,
aerodrome operators or ATS providers.
Safety performance targets (sometimes referred to as goals __________________
or objectives) are determined by considering what safety __________________
performance   levels   are   desirable   and   realistic   for __________________
individual   operators/   service   providers.   Safety   targets __________________
should be measurable, acceptable to stakeholders, and
consistent with the State's safety programme.
Safety   requirements   are   needed   to   achieve   the   safety
performance indicators and safety performance targets.
They   include   the   operational   procedures,   technology,
systems   and   programmes   to   which   measures   of
reliability,   availability,   performance   and/or   accuracy
can be specified.
11.4.11 The relationship between acceptable level of safety,
safety   performance   indicators,   safety   performance   targets
and safety requirements is as follows:

­acceptable level of safety is the overarching concept;

­safety   performance   indicators  are   the   measures/metrics

used to determine if the acceptable level of safety has been

­safety   performance  targets   are   the   quantified   objectives

pertinent to the acceptable level of safety; and

­safety   requirements  are   the   tools   or   means   required   to

achieve the safety targets.
11.4.12 Safety indicators and safety targets may be different
(for example, the safety indicator is 0.5 fatal accidents per
100 000 hours for airline operators, and the safety target is a
40   per   cent   reduction   in   fatal   accident   rate   for   airline
operations), or they may be the same (for example, the safety
indicator is 0.5 fatal accidents per 100 000 hours for airline
214 Aviation Safety and Security Management

Notes operators, and the safety target is not more than 0.5 fatal 
__________________ accidents per 100 000 hours for airline operators).
11.4.13   Establishing   acceptable   level(s)   of   safety   for   the
safety programme does not replace legal, regulatory, or other
established   requirements,   nor   does   it   relieve   States   from
their obligations regarding the Convention on International
Civil   Aviation   (Doc   7300)   and   its   related   provisions.
Likewise,   establishing   acceptable   level(s)   of   safety   for   the
__________________ SMS does not relieve operators/service providers from their
__________________ obligations   under   relevant   national   regulations,   and   those
__________________ arising from the Doc 7300.

11.4.14 State safety programme.

An   oversight   authority   establishes   an   acceptable   level   of

safety to be achieved by its safety programme that will be
expressed by:
0.5  fatal   accidents   per   100  000  hours   for   airline operators
(safety   indicator)   with  a  40   per   cent   reduction  in  five
years (safety target);
50   aircraft   incidents   per   100   000   hours   flown   (safety
indicator)  with a 25 per  cent reduction in three years
(safety target);
200 major aircraft defect incidents per 100 000 hours flown
(safety indicator) with a 25 per cent reduction over the
last three­year average (safety target);
1.0   bird   strike   per   1   000   aircraft   movements   (safety
indicator)   with   a   50   per   cent   reduction   in   five   years
(safety target);
no   more   than   one   runway   incursion   per   40   000   aircraft
movements   (safety   indicator)   with   a   40   per   cent
reduction in a 12­month period (safety target); and
40   airspace   incidents   per   100   000   hours   flown   (safety
indicator)   with   a   30   per   cent   reduction   over   the   five­
year moving average (safety target).
UNIT 11 Air Transport Safety Management Principle 215

11.4.15 The safety requirements to achieve these safety  Notes

targets and safety indicators include: __________________
the oversight authority accident prevention programme;
a mandatory occurrence reporting system; __________________
a voluntary occurrence reporting system;
a bird strike programme; and __________________

the deployment of radar systems in the State's three busiest  __________________
airports within the next 12 months.
11.4.16 Airline operator SMS.

An   oversight   authority   and   an   airline   operator   agree   on   an

acceptable level of safety to be achieved by the operator SMS,
one   measure   of   which   ­   but   not   the   only   one   ­   is   0.5   fatal
accidents   per   100   000   departures   (safety   indicator);   a   40   per
cent reduction in five years (safety target) and ­ among others
the development of GPS approaches for airfields without ILS
approaches (safety requirement).
11.4.17 Service provider and aerodrome operator SMS.

An oversight authority, an ATS provider and an aerodrome
operator agree on an acceptable level of safety to be achieved
by the provider and operator SMS, one element of which ­
but not the only one ­ is no more than one runway incursion
per 40 000 aircraft movements (safety indicator); a 40 per
cent   reduction   in   a   12­month   period   (safety   target)   and   ­
among   others   ­   the   establishment   of   low   visibility   taxi
procedures (safety requirement).


11.5.1 With global aviation  activity forecast  to continue to
rise, there is concern that traditional methods for reducing
risks   to   an   acceptable   level   may   not   be   sufficient.   New
methods   for   understanding   and   managing   safety   are
therefore evolving.
11.5.2 Safety management may therefore be considered from
two different perspectives ­ traditional and modern.
216 Aviation Safety and Security Management

Notes Traditional perspective

11.5.3   Historically,   aviation   safety   focused   on   compliance
with   increasingly   complex   regulatory   requirements.   This
approach   worked   well   up   until   the   late   1970s   when   the
accident rate levelled off.
Accidents   continued   to   occur   in   spite   of   all   the   rules   and
__________________ regulations.
__________________ 11.5.4 This approach to safety reacted to undesirable events
__________________ by prescribing measures to prevent recurrence. Rather than
__________________ defining   best   practices   or   desired   standards,   such   an
approach aimed at ensuring minimum standards were met.
11.5.5 With an overall fatal accident rate in the vicinity of
10­6 (i.e. one fatal accident per one million flights), further
safety improvements were becoming increasingly difficult to
achieve using this approach.

Modern perspective

Figure­ Safety management process

Strategies   to   reduce   or   eliminate   the   hazards   are   then

developed   and   implemented   with   clearly   established
accountabilities. The situation is reassessed on a continuing
basis, and additional measures are implemented as required.
UNIT 11 Air Transport Safety Management Principle 217

11.5.6 The steps of the safety management process outlined  Notes

in Figure above are briefly described below: __________________
Collect the data.
Analyse the data.
Prioritize the unsafe conditions. __________________
Develop strategies. It may include;
0 Spread  the   risk   across   as   large   a   base   of   risk­ __________________
takers   as   practicable.   (This   is   the   basis   of __________________
insurance.) __________________

1 Eliminate the risk entirely (possibly by ceasing 
that operation or practice).
2 Ac ce pt the risk and continue operations 
3 Mitigate  the   risk   by   implementing   measures   to
reduce the risk or at least facilitate coping with the
When   selecting   a   risk   management   strategy,   care   is
required to avoid introducing new risks that result in
an unacceptable level of safety.
Approve strategies.

Assign responsibilities and implement strategies.

Re­evaluate situation.

Collect additional data.
11.5.7   Safety   management   requires   analytical   skills   that
may not be routinely practiced by management. The  more
complex the analysis, the more important is the need for the
application   of   the   most   appropriate   analytical   tools.   The
closed   loop   process   of   safety   management   also   requires
feedback to ensure that management can test the validity of
its   decisions   and   assess   the   effectiveness   of   their

Safety oversight
11.5.8 The term safety oversight refers to the activities of a 
State under its safety programme, while safety performance
218 Aviation Safety and Security Management

Notes monitoring refers to the activities of an operator or service
__________________ provider under its SMS.
11.5.9   Safety   oversight   or   safety   performance   monitoring
activities   are   an   essential   component   of   an   organization's
safety management strategy. Safety  oversight provides the
means   by   which   a   State   can   verify   how   well   the   aviation
industry is fulfilling its safety objectives.
11.5.10 Some of the requirements for a safety performance

monitoring   system   will   already   be   in   place   in   many

organizations.   For   example,   States   would   normally   have
regulations relating to mandatory reporting of accidents and
11.5.11 In order to keep safety risks at an acceptable level
with   the   increasing   levels   of   activity,   modern   safety
management practices are shifting from a purely reactive to
a more proactive mode.
11.5.12 No single element will meet today's expectations for
risk management. Rather, an integrated application of most
of   these   elements   will   increase   the   aviation   system's
resistance to unsafe acts and conditions. However, even with
effective   safety   management   processes,   there   are   no
guarantees that all accidents can be prevented.
5.13 Even where the risk is classed as acceptable (tolerable),
if any measures that could result in the further reduction of
the   risk   are   identified,   and   these   measures   require   little
effort   or   resources   to   implement,   then   they   should   be
11.5.14 The acronym ALARP is used to describe a risk that
has   been   reduced   to   a   level   that   is   as   low   as   reasonably
practicable. In determining what is "reasonably practicable"
in   this   context,   consideration   should   be   given   to   both   the
technical   feasibility   of   further   reducing   the   risk,   and   the
cost; this could include a cost­benefit study.
11.5.15 Showing that the risk in a system is ALARP means
that   any   further   risk   reduction   is   either   impracticable   or
grossly outweighed by the costs. It should, however, be borne
in mind that when an individual or society "accepts" a risk,
UNIT 11 Air Transport Safety Management Principle 219

this does not mean that the risk is eliminated. Some level of Notes
risk remains; however, the individual or society has accepted __________________
that the residual risk is sufficiently low that it is outweighed __________________
by the benefits. __________________
11.5.16 These concepts are illustrated diagrammatically in
the Tolerability of Risk (TOR) triangle in Figure below. (In
this figure, the degree of risk is represented by the width of
the triangle.)

Tolerability of Risk (TOR) triangle



An accident is an occurrence during the operation of an 
aircraft which entails:
0 a fatality or serious injury;

1 substantial damage to the aircraft involving 
structural failure or requiring major repair; or
2 the aircraft is missing or is completely inaccessible.

An   incident   is   an   occurrence,   other   than   an   accident,

associated   with   the   operation   of   an   aircraft   which
affects or could affect the safety of operation. A serious
incident   is   an   incident   involving   circumstances
indicating that an accident nearly occurred.
220 Aviation Safety and Security Management

Notes 1: 600 Rule
11.6.2 Research into industrial safety in 1969 indicated that
for every 600 reported occurrences with no injury or damage,
there were some:
__________________ 30 incidents involving property damage;
__________________ 10 accidents involving serious injuries; and
1 major or fatal injury.
__________________ 11.6.3   The   1­10­30­600   ratio   shown   in   Figure   below   is
__________________ indicative of a wasted opportunity if investigative efforts are
focused only on those rare occurrences where there is serious
injury or significant damage.

Figure­­­­­1: 600 Rule

The factors contributing to such accidents may be present in
hundreds of incidents and could be identified ­before serious
injury   or   damage   ensues.   Effective   safety   management
requires   that   staff   and   management   identify   and   analyse
hazards before they result in accidents.


11.7.1 ICAO requires States to establish a safety programme
in   order   to   achieve   an   acceptable   level   of   safety   in   the
operation of aircraft. As part of their safety programme,
UNIT 11 Air Transport Safety Management Principle 221

States require operators to implement an accepted safety  Notes

management system (SMS). __________________
11.7.2 An SMS allows operators to integrate their diverse 
safety activities into a coherent system.
Examples of safety activities that might be integrated into  __________________
an operator's SMS include: __________________

hazard and incident reporting; __________________
Flight Data Analysis (FDA); __________________

Line Operations Safety Audit (LOSA); and __________________

cabin safety.


11.8.1   The   principles   and   operation   of   successful   incident
reporting systems have been established. Nowadays, many
operators  have  made this commitment   to  safety  and,   as  a
result,   benefited   not   only   from   improved   hazard
identification   but   also   from   improved   efficiencies   in   flight

11.8.2   Incident   reporting   systems  are   one   of   an   operator's
most effective tools for proactive hazard identification, a key
element of effective safety management. Policies, procedures
and   practices  developed   within   an   organization   sometimes
introduce unforeseen hazards into aircraft operations. These
latent conditions (hazards) may lie dormant for years. They
are usually introduced unknowingly, often with the best of
intentions.   Examples   include   poor   equipment   design,
inappropriate   management   decisions,   ambiguously   written
procedures   and   inadequate   communication   between
management and line personnel. Line management can also
introduce such hazards by instituting operating procedures
that do not work as intended under "real world" conditions.
In   short,   hazards   may   have   their   origins   far   removed   in
space   and   time   from   the   incidents   that   may   eventually
result from them.
222 Aviation Safety and Security Management

Notes 11.8.3   An   accident   or   incident   may   not   result   from   these

__________________ hazards immediately because "front­line personnel" (whether
__________________ they be pilots, ATCOs or AMEs) often develop ways of coping
__________________ with  the  hazard ­  sometimes  described  as  "work arounds".
__________________ However,   if   the   hazards   are   not   identified   and   addressed,
__________________ sooner or later the coping mechanisms fail and an accident
__________________ or incident ensues.
__________________ 11.8.4   A   properly   managed   in­house   reporting   system   can
__________________ help   companies   identify   many   of   these   hazards.   By
__________________ collecting,   aggregating   and   then   analysing   hazard   and
__________________ incident   reports,   safety   managers   can   better   understand
problems   encountered   during   operations.   Armed   with   this
knowledge, they can initiate systemic solutions, rather than
short­term fixes that may only hide the real problems.

Encouraging the free flow of safety information

11.8.5   The   trust   of   employees   in   the   incident   reporting
system   is   fundamental   to   the   quality,   accuracy   and
substance of data reported. If hazard and incident data are
collected   in   a   corporate   atmosphere   where   employees   feel
free to openly share safety information, the data will contain
much   useful   detail.   Since   it   will   represent   the   actual
environment, it will be helpful in determining contributing
factors and areas of safety concern.
11.8.6   On   the   other   hand,   if   the   company   uses   incident
reports   for   disciplinary   purposes,   the   company   incident
reporting system will only receive the minimum information
required   to   comply   with   company   rules.   Little   useful
information from a safety perspective could be expected.
8.7 The trust necessary for the free flow of safety information
is very fragile. It may take years to establish; yet, one breach
of that trust may undermine the effectiveness of the system
for a long time.
To   be   effective,   as   a   minimum,   an   operator's   reporting
programme should include hazard and incident reports from
flight operations personnel, AMEs and cabin crew.
UNIT 11 Air Transport Safety Management Principle 223

Commercially available systems Notes

11.8.9   An   increasing   number   of   commercially   available
incident reporting systems that run on personal computers
(PCs) and are available at relatively low cost, have proven to
be well suited for company reporting systems. These off­the­
shelf   software   packages   collect   and   store   data,   generate
reports,   and   can   be   used   for   trend   analysis   and   safety __________________

performance monitoring. __________________
11.8.10 Three examples of such systems are listed below:
British Airways Safety Information System (BASIS)  __________________

website at
INDICATE  (Identifying   Needed   Defences   in   the   Civil
Aviation   Transport   Environment),   developed   in
Australia, website at
Aircrew Incident Reporting System (AIRS) was 
developed by Airbus Industrie


11.9.1 Flight Data Analysis (FDA) programmes, sometimes
referred   to   as   Flight   Data   Monitoring   (FDM),   or   Flight
Operations Quality Assurance (FOQA), provide another tool
for the proactive identification of hazards. FDA is a logical
complement to hazard and incident reporting and to LOSA.


11.10.1   As   has   been   discussed   earlier,   the   negative
consequences   of   human   behaviour   can   be   proactively
managed. Hazards can be identified, analysed and validated
based on data collected through the monitoring of day­to­day
operations.  Line  Operations Safety  Audits  (LOSA)   are  one
method   for   monitoring   normal   flight   operations   for   safety
purposes. LOSA programmes then provide another proactive
safety management tool.
ICAO   endorses   LOSA   as   a   way   to   monitor   normal   flight
224 Aviation Safety and Security Management


__________________ General
__________________ 11.11.1   Cabin   safety   is   aimed   at   minimizing   risks   to   the
__________________ occupants of the aircraft. By reducing or eliminating hazards
__________________ with the potential for creating injuries or causing damage,
__________________ cabin safety focuses on providing a safer environment for the
__________________ occupants of the aircraft.
11.11.2 The range of threats to the aircraft and its occupants
in­flight turbulence;

smoke or fire in the cabin;


emergency landings;

emergency evacuations; and

unruly passengers.

11.11.3   The   work   environment   and   working   conditions   for

cabin   crew   are   influenced   by   a   diverse   set   of   human
performance issues that may affect how cabin crew respond
to threats, errors and other undesirable situations.
11.4   The   cabin   crew   are   usually   the   only   company
representatives   that   passengers   see   while   in   the   aircraft.
From the passengers' perspective, the cabin crew are there to
provide in­flight service. From a regulatory and operational
perspective,   cabin   crew   are   on   board   to   manage   adverse
situations   that   may   develop   in   the   aircraft   cabin   and   to
provide   direction   and   assistance   to   passengers   during   an

ICAO requirements
11.11.5   Although   ICAO   does   not   require   cabin   crew   to   be
licensed,   Chapter   12   of   Annex   6   ­   Operation   of   Aircraft
specifies requirements with respect to:
(a) assignment of emergency duties;
UNIT 11 Air Transport Safety Management Principle 225

role during emergency evacuations; Notes
use of emergency equipment;
flight­ and duty­time limits; and __________________
11.11.6 Safety inspections, safety surveys and safety audits
are   tools   that   can   be   used   to   ensure   that   requisite   cabin
safety standards are being maintained. Once an operator is
certificated,   cabin   safety   standards   may   be   confirmed
through an ongoing programme of:
aircraft inspections (e.g. emergency exits, emergency 
equipment, and galleys);
pre­flight (ramp) inspections;

in­flight   cabin   inspections   (e.g.   passenger   briefings   and

demonstrations,   crew   briefings   and   use   of   checklists,
crew   communications,   discipline,   and   situational
training inspections (e.g. facilities, quality of instruction, 
and records); and
base inspections (e.g. crew scheduling, dispatch, safety 
incident reporting and response), etc.
11.11.7 A company's internal safety audit programme should
include the cabin crew department. The audit process should
include a review of all cabin operations, as well as an audit
of   cabin   safety   procedures,   training,   the   cabin   crew's
operating manual, etc.

11.12 DGCA's Programme for Safety Regulation

And Oversight Of Flight Operations for
Indian Operators.
DGCA vide their Civil Aviation Requirements (CAR) Section
8, ­ Aircraft Operations Series 'A' Part II Issue I, Dated 16th
October, 1995, issued their Programme for Safety Regulation
226 Aviation Safety and Security Management

Notes And   Oversight   Of   Flight   Operations   for   Indian   Operators,

__________________ with motto of the Strict adherence to the laid down operating
__________________ procedures   and   limitations   and   compliance   with   the   rules
__________________ and regulations.
The main objective of the programme was to ensure:
effective implementation of the safety related Standards and

Recommended   Practices   contained   in   the   ICAO

Annexes, particularly Annexes 1 and 6 and the relevant

rules,   regulations,   procedures   and   requirements   laid

down in the various national regulatory documents;
that safety weaknesses in the flight operations are identified
and   necessary   corrective   measures   are   taken   in   time
before they become a potential safety hazard; and
that the capability of the operator to conduct the operations
safely be maintained at or above the level required by
the regulations.
11.12.1 The Civil Aviation Requirement (CAR) identified the
important operational aspects which needed close monitoring
and   described   broadly   the   system   of   safety   oversight
required to be exercised on the air transport operations by
the operators and the DGCA officers.
Compliance   of   the   requirements   of   the   CAR   was   made
applicable to all Indian operators engaged in scheduled air
transport services for carriage of passengers, mail or cargo
and to Non­Scheduled/Air Taxi Operators. For new operators
seeking permission to commence operations, it was to be a
pre­requisite for the grant of the operating permit.
The main points of the CAR are given below;


Various statutory/regulator documents, namely, the Aircraft
ACT 1934, the Aircraft Rules 1937, Aeronautical Information
Publication (AIP) India, Aeronautical Information Circulars
(AIC), Civil Aviation Requirements (CAR) etc. stipulate the
safety and operational requirements applicable to different
UNIT 11 Air Transport Safety Management Principle 227

types   of   operations,   which   shall   be   complied   with   by   the Notes

operators.   In   addition,   implementation   of   the   following __________________
important   safety   and   operational   requirements   shall   be __________________
closely   monitored   by   the   operators   and   DGCA   Officers   to __________________
enhance safety of operations. __________________

11.13.1 In accordance with Rule 134 of the Aircraft Rules, __________________

1937,  no  person  shall   operate any   air   transport   service  in __________________

India without obtaining the necessary permit for operating __________________

such   services.   The   operating   permit   shall   be   maintained __________________

current   and   valid   and   the   operations   shall   be   conducted __________________

within the scope and provisions of the permit. __________________

11.13.2 The operators shall demonstrate, before grant of the
permit,   their  capability  to  safely  operate  the air  transport
services sought to be operated. It shall be ensured that the
manpower, infrastructure, facilities, systems and operating
capability does not degrade below the required level at any
time   and   is   enhanced   continually   commensurate   with
expansion of operations.
11.13.3   The   operators   shall   clearly   outline   in   their
operations manual their policy relating to flight operations
in accordance with the provisions of ICAO Annex 6, Aircraft
Rules, 1937 and the applicable CARs and shall also lay down
the procedures for implementation of the same.
11.13.4 The Chief of Operations shall be overall responsible
for implementation of the flight operations policy. For this
purpose, the operators shall have flight operations offices at
the main base and also at the regional stations exercising
control on the flight operations. The operations offices shall
bemoaned by adequate number of operations officers, flight
dispatchers approved by DGCA and other supporting staff.
The strength of such officers shall have to be increased as
the size of operating fleet grows.
11.13.5   The   operations   manual,   CARs,   AIP   ­   India,   Aircraft
Rules, AICs, flight manual,  Jeppeson  manual,  relevant ICAO
Annexes and related guidance material,  check­lists and other
operations   documents   shall   be   kept   up­to­date   by   the
operations offices. The operator shall remain on the mailing list
of the suppliers of these documents for the purpose of
228 Aviation Safety and Security Management

Notes receiving   regular   amendments,   wherever   such   a   service  is

__________________ available.
11.13.6   A   master   folder   for   each   type   of   regulatory/policy
document viz. CARs, AICs, Operations Circulars, and Safety
Bulletins etc. shall be maintained by the operations offices
for reference by crew members and other personnel.
11.13.7 Whenever any new aircraft operations requirement
or circular is issued by the aircraft manufacturer, DGCA or
the operator, the operations offices shall bring the same to
the   notice   of   all   their   concerned   personnel   and   ensure
compliance.   The   operations   manual   shall   also   be  amended
from time to time, as required.
11.13.8 There shall be a proper system of distribution of the
circulars   and   other   documents   to   all   crew   members   and
other concerned personnel.
11.13.9   Whenever   a   new   crew   or   an   operations   officer   is
appointed,   the   operator   shall   give   him/her   a   thorough
familiarization   of   the   operations   manual,   the   standing
operations circulars and other relevant documents.
11.13.10 The operations offices shall have a proper system of
maintaining operational and flight records of personnel and
shall monitor records of each crew member (including foreign
crew, if employed) in order to ensure that:
the flight and duty time limitations are complied with;

their licences, instrument ratings etc. are maintained valid;
Validity of their medical checks.

all proficiency checks are carried out as per the procedures 
and within the stipulated periods; and
periodic refreshers are undergone as required.

For   this   purpose,   a   fool­proof   system   of   record   keeping   in

proper formats, preferably a computer based system, shall be
established and followed.
11.13.11 All the flight crew members shall undergo periodic
refresher and flight safety courses as stipulated. During the
UNIT 11 Air Transport Safety Management Principle 229

crew training and refresher courses, all the new operations Notes
and   safety   circulars   and   bulletins,   major   accident/incident __________________

case studies shall be discussed. __________________
11.13.12 The operators shall specify procedures for ensuring
flight crew proficiency for:
Commencement of operations after long leave/ grounding i.e. __________________
more than 30 days; __________________

Corrective training and checks after failure in a proficiency  __________________
11.13.13 The operators shall establish specific operating 
procedures/precautions for:
Operations to critical airports of their operating network i.e.
airports   surrounded   by   hilly/difficult   terrain,   satellite
airfields etc;
Operations to airfields having marginal runway length;

Operations during monsoon period; and

Operations during winter to airfields which become fog 
11.13.14   The   operators   shall   lay   down   and   obtain   DGCA
approval   of   their   airport   weather   minimums   and   ensure
adherence to the same by their flight crewmembers.
11.13.15   Suitable   alternate   aerodrome   for   each   airport   on
their  network   shall   be   designated   by  the  operators,   which
shall   meet   the   minimum   safety   requirements   for   safe
operation of the aircraft type, keeping also in view the watch
hours of the airport.
11.13.16 Minimum reserve fuel as laid down in AIP India
shall always be carried on each flight.
11.13.17 The operators shall have facilities and doctors for
carrying out pre­flight medical checks of their crew members
as   per   the   requirements.   The   equipment   used   for   the
purpose must be reliable to give accurate digital  record of
observations. It shall be calibrated frequently, at least once
in a year or as per the manufacturer's requirements.
230 Aviation Safety and Security Management

Notes 11.13.18   The   operators   shall   have,   trained/qualified   and

__________________ DGCA   approved   load   and   trim   sheet   personnel   at   each
__________________ airport for the type of aircraft operated. The operator shall
__________________ ensure   that   in   no   case   the   aircraft   is   loaded   beyond   the
__________________ maximum permissible limits determined from runway length
__________________ (takeoff/   landing)   requirement,   climb   and   enroute   obstacle
__________________ clearance or any other limitation. It would be desirable that
__________________ the operators should have appropriate charts for each airport
giving the RTOLW (Rejected Take off and Landing Weight)
at different ambient temperatures and wind conditions.

__________________ 11.13.19 Only trained, qualified and DGCA approved cabin
crew   shall   be   employed   and   they   shall   undergo   periodical
refresher and flight safety courses.
11.13.20 The operators shall train adequate number of experienced
pilots and  obtain  approval  from  DGCA for them to  act  as Check
Pilots, Instructors and Examiners on the type of aircraft operated
to carry out the training and proficiency checks of pilots and also
for monitoring the flight operations. In case an operator does not
have   its   own   experienced   pilots   suitable   for   training   as   Check
Pilot/Instructor/Examiner, the operator may use pilots of the other
operators   or   foreign   pilots   approved   by   the   DGCA   to   discharge
these functions on the type of aircraft.

11.13.21 The operators engaged in carriage of cargo only and
those   authorized   to   carry   dangerous   goods,   shall   train
adequate number of personnel in handling dangerous goods
and   shall   ensure   that   all   stipulated   requirements   with
regard   to   packaging,   handling,   loading/unloading   and
transportation of such goods are complied with.
11.13.22   The   operators   engaged   in   over­water   operations
with   twin   engined   aircraft   shall   ensure   compliance   of   the
requirements relating to ETOP operations (Extended Range
Twin­ Engine Operations).
11.13.23   The   operators   shall   carry   out   regular   in   flight
monitoring   of   their   flight   operations   to   ensure   compliance
with   the   operating   procedures   through   the   senior
commanders and the internal safety audit team. Records of
the   deficiencies   observed   and   the   corrective   actions   taken
shall be maintained.
UNIT 11 Air Transport Safety Management Principle 231

11.13.24 In addition to other information, extensive use of Notes
the data recorded on the flight recorders (CVR/ FDR) should __________________
be   made   by   the   Chief   of   Operations   in   the   performance __________________
monitoring the flight crew, thus permitting early detection of __________________
safety   hazards   and   the   initiation   of   appropriate   accident __________________
prevention measures. __________________

Corrective measures shall be taken immediately when any __________________
deficiency is observed.
11.13.25   Based   on   the   experience   of   flight   operations,   the
operators  shall  issue  operations circulars   to eliminate any __________________
weak or potentially dangerous area in their operations.
11.13.26 The operators shall prepare operational flight plan
for each route including diversion sectors giving information
on   route   navigation,   fuel   requirements,   flight   time/speed/
distance   between   different   reporting   points,   maximum
permissible   weights,   airport   weather   minimas   and   other
safety related information.
11.13.27 Before commencing operations to a new station, the
operator shall carry out assessment of the suitability of the
airport for safe operations of the type of aircraft intended to
be  operated  particularly  from  the point  of  view  of  runway
length and strength, one engine inoperative approach, take
off   and   climb   procedures   and   capability,   adequacy   of   fire
fighting and rescue facilities, clearance of enroute obstacles
in   case   of   an   engine   failure   and   the   other   safety   related
Requirements of CAR Section 3, Series 'E', Part I, dated 1st
March 1994 ("Minimum Requirements for Grant of Permit to
Operate Scheduled Passenger Air Transport Services.") shall
be   complied   with   before   commencing   operations   to   new
11.13.28   In   cases   where   the   aircraft   used   by   an   operator
have been procured on wet lease the operations office shall
ensure   compliance   with   the   applicable   operations
requirements for operations with wet­leased aircraft.
11.13.29 If a foreign pilot is employed by an Operator, the
operator shall ensure that the pilot has at least 500 hours
232 Aviation Safety and Security Management

Notes experience   as   PIC   on   the   type   (with   licence,   ratings   and

__________________ medical current) and has adequate working knowledge of the
__________________ English   language,   DGCA   may   grant   exemption   from   this
__________________ requirement in specific cases where the operator satisfies the
__________________ Director General that safety will not be compromised.
__________________ 11.13.30 An operator employing any foreign pilot shall obtain
__________________ for him the required security clearance through DGCA before
__________________ that pilot is scheduled for operations. That pilot shall also be
__________________ given   thorough   familiarization   about   Indian   Rules   and
__________________ Regulations,   operating   procedures,   facilities   available   at
__________________ different airports, prohibited areas, current Notams and the
operations   manual   of   the   operator.   After   the   Chief   of
Operations is satisfied with and has certified the aforesaid
briefing, the pilot shall be required to pass an oral check by a
DGCA board and then only his licence shall be revalidated to
fly Indian registered aircraft.
11.13.31 For scheduling a foreign pilot for operations unto a
period of three months, the operator, in addition to fulfilling
the   requirements   of   Para   11.13.30,   shall   ensure   that   an
Indian pilot forms part of the crew complement.
11.13.32 A foreign pilot shall be permitted to operate Indian
registered   aircraft   regularly   as   a   line   pilot   for   more   than
three   months   only   if   has   passed   the   DGCA's   written
examination in Air Regulations.
11.13.33   Whenever   any   crew   member   of   an   operator   joins
another   operator,   that   crewmember   shall   be   familiarized
with the operations manual of the new operator which shall
be followed by the oral check by a DGCA board before that
crewmember is scheduled for operations.
11.13.34   The   operators   shall   have   a   system   of   frequent
exchange   of   information   between   pilots   and   engineers   to
improve coordination and understanding of operational and
airworthiness aspects. A record of such discussions shall be
11.13.35   Any   differences   between   various   aircraft   of   the
same type in the fleet of an operator, shall be circulated to
all   the   flight   crew   members.   Adequate   briefing   should   be
given to them as required.
UNIT 11 Air Transport Safety Management Principle 233

11.13.36   The   operators   shall   emphasize   to   all   their   pilots Notes

that   they   should   meticulously   record   the   snags   in   the __________________

aircraft as and when observed. __________________
11.13.37 While accepting an aircraft, the pilots shall ensure
that snags carried forward, if any, are not beyond the scope
of   MEL   and   the   aircraft   is   loaded   within   the   permissible
limits of weight and seats. The engineering and commercial
personnel   shall   also   ensure   compliance   of   these   aspects
11.13.38   The   operators   shall   prepare   a   Flight   Safety   Manual
giving   amongst   other   information,   policies   and   procedures
relating to investigation of incidents/accidents, implementation
of   safety   recommendations,   safety   awareness   and   accident/
incident prevention programmes. The Chief of flight Safety of
the   operators   shall   be   responsible   for   implementation   of   the
policies laid down in their Flight Safety Manuals and all safety
measures relating to their flight operations.

11.13.39 The Chief of Flight Safety shall ensure compliance
with the safety recommendations made in the investigation
reports, safety audit reports, spot checks etc. Proper record
of such implementation shall be maintained.
11.13.40   The   Chief   of   Flight   Safety  shall   arrange   periodic
safety audits and make reports on the same. The deficiencies
observed   shall   be   brought   to   the   notice   of   the   concerned
departments   and   appropriate  corrective  measures   shall   be
taken promptly.
11.13.41 The operators shall take all necessary measures to
implement   the   ICAO   programme   for   prevention   of
Controlled Flight into Terrain (CFIT) accidents including the
related   ICAO   provisions.   The   operators   shall   discuss   the
important   operational   aspects   of   the   CFIT   programme
during initial and recurrent training of flight crew.
11.13.42 The operators shall make every effort to enhance
accident/incident   prevention   measures,   particularly   in   the
areas   of   information   feed­back   and   analysis,   voluntary
reporting system and prompt investigation of incidents and
implementation of safety recommendations.
234 Aviation Safety and Security Management

Notes 11.13.43   The   operators   shall   take   into   account   relevant

__________________ human factors aspects when developing operating procedures
__________________ and training of personnel. The operators are encouraged to
__________________ engage in cooperation and mutual exchange of information
__________________ on   problems   related   to   influence   of   human   factors   on   the
__________________ safety of aircraft operations.
__________________ 11.13.44   The   operators   shall   lay   down   in   their   Training
__________________ Manuals,   the   policies   relating   to   the   initial   and   recurrent
__________________ training of their flight crew and operations personnel.
11.13.45   The   Chief   of   Training   shall   prepare   necessary
training   programmes   for   their   flight   crew   and   other
operations personnel keeping in view the background of the
persons recruited and the operating requirements. Approval
of   the   training   programmes   shall   be   obtained   from   DGCA
before commencing the training.
The Chief of Training shall also be responsible for training of
Check   Pilots/Instructors/Examiners   as   per   the   DGCA
11.13.46 Before sending trainees for training to any institute,
the Chief of Training shall ensure that the institute has the
requisite   facilities   and   qualified   and   approved   Instructors
and   Examiners   and   the   institute   is   approved   by   the
Aeronautical Authority of the Country and also by the DGCA
India for imparting such training.
The training records shall be maintained and submitted to
DGCA as per the standing requirements.
11.13.47 The Chief of Training shall ensure that necessary
changes in the training programmes are carried out, where
necessary,   based   on   the   experience   and   the   observations
made   during   implementation   of   the   safety   oversight
programme and safety audits.
11.13.48 In case of any violation, the operator shall promptly
take effective corrective action including punitive action as
necessary to prevent similar occurrences in future. A record
of such action shall be maintained.
11.13.49   To   confirm   continued   capability   to   conduct   the
operations authorized under the Operating Permit, the
UNIT 11 Air Transport Safety Management Principle 235

operators   shall   submit   to   the   DGCA,   while   applying   for Notes

renewal of the Operating Permit, the following information: __________________
Continued compliance of the requirements contained in CAR
Section 3, Air Transport, Series 'C' Part II for grant of
permission   and   to   operate   scheduled   air   transport
Report of the in­house safety audit team of the operator on __________________
the   safety   audit   carried   out   within   60   days   prior   to __________________
expiry   of   the   Operating   Permit   and   the   action   taken __________________
thereon. __________________
11.13.50   The   Operating   Permit   of   any   operator,   shall   be
liable to revocation if the operator subsequently fails or is
unable   to   meet   the   applicable   laid   down   requirements
during the course of its operations under the Permit.


Effective safety regulation and oversight of flight operations
can   be   achieved   only   by   joint   efforts   on   the   part   of   the
operators   and   the   regulatory   authority.   It   is,   therefore,
essential that in addition to the safety oversight programme
of   DGCA,   the   operators   should   also   have   their   in­house
monitoring   programme   commensurate   with   the   type   and
scale   of   their   operations.   Broadly,   the   safety   oversight   of
flight operations shall be conducted on the following lines:
11.14.1   The   operators   shall   lay   down   their   policies   and
procedures   for   compliance   of   the   operational,   safety   and
training requirements in their operations manual, flight safety
manual   and   training   manual.   The   responsibility   of
implementation   of   the   policies   and   procedures   contained   in
these  manuals  may  be  assigned  to their officials  as  indicated
below:­a)   Operations   Manual   ­   Chief   of   Flight   Operations   b)
Flight   Safety   Manual   ­   Chief   of   Flight   Safety   c)   Training
Manual ­ Chief of Training The division of responsibility for this
purpose shall be clearly reflected in the relevant manuals.

14.2   The   day­to­day   safety   regulation   and   in­house

monitoring of the flight operations should be exercised by
236 Aviation Safety and Security Management

Notes the   Chief   of   Operations   through   the   senior   Pilots,   Check

__________________ Pilots,   Instructors,   Examiners   and   operations   officers.
__________________ Necessary check lists should be devised for carrying out such
__________________ monitoring. There shall be a proper system of documentation
__________________ and   recordkeeping   of   the   deficiencies   observed   and   the
__________________ corrective measures taken.
__________________ 11.14.3 In addition to the day­to­day monitoring, periodic in­
__________________ house   safety   audits   shall   be   carried   out   by   the   dedicated
__________________ safety audit teams of the operators to ensure that the safety
__________________ regulations are being complied with. Corrective action shall
__________________ be taken immediately by the Chief of Flight Safety on the
deficiencies observed during the audit. Relevant records and
data in proper formats shall be maintained in this regard.
11.14.4   In   order   to   discharge   the   responsibility   for   safety
oversight   in   accordance   with   the   provisions   of   ICAO
Annex.6, surveillance of flight operations including training
shall   be   carried   out   by   the   DGCA   officers   viz.   Flight
Inspectors, safety audit teams and other authorised officers.
The Operations Manual for Flight Inspectors stipulates the
method of surveillance of airline flight operations. The flight
inspectors shall frequently fly with the airline pilots to carry
out   the   surveillance   in   accordance   with   their   Operations
Manual.   Deficiencies   observed   shall   be   intimated   to   the
operators for corrective action. Deputy Director Flight Crew
Standards   in   DGCA   Headquarters   shall   ensure   that
necessary actions are taken on the observations made by the
Flight Inspectors.
11.14.5  The   DGCA  safety  audit   teams   or   other   authorized
persons   shall   carry   out   safety   audits   of   the   operators
periodically.   The   deficiencies   observed   during   these   audits
shall be brought to the notice of the concerned operator for
taking   necessary   corrective   measures.   The   Director   of   Air
Safety   in   the   DGCA   Headquarters   shall   take   appropriate
measures to ensure that necessary actions are taken by the
operators  to  remove  the  deficiencies  and  to  implement  the
safety recommendations. Where punitive action is required
to be taken for serious lapses, the Director of Air Safety shall
initiate the same promptly.
UNIT 11 Air Transport Safety Management Principle 237




PROGRAMME. __________________
Review   of   implementation   of   the   safety   regulations   and
oversight   programme   shall   be   carried   out   as   and   when
required   by   the   DGCA   Headquarters   jointly   with   the
operators   to   assess   functioning   and   effectiveness   of   the
programmes.   The  Deputy  Director,  Flight   Crew   Standards
shall   coordinate   this   review.   This   would   also   provide   an
opportunity to the operators to learn from the experience of __________________

others and to improve their own systems. During the review,
it   would   also   be   assessed   whether   the   national   rules,
regulations, procedures and requirements are adequate and
effective   in   the   implementation   of   the   relevant   ICAO
Standards   and   Recommended   Practices   and   if   found
necessary, appropriate amendments would be suggested.

ICAO Doc 9859­AN/460­Safety Management Manual (SMM)
CAA,   UK   CAP   712,   Safety   Management   Systems   for
Commercial   Air   Transport   Operations­A   Guide   to
Implementation   prepared   by   the   Air   Transport
Operations ­ Safety Management Group
DGCA   Civil   Aviation   Requirements,   Section   8   ­   Aircraft
Operations,   Series   'A'   Part   Ii,   Issue   I,   Dated   16th
October, 1995 Covering Subject:­Safety Regulation And
Oversight Of Flight Operations.
Federal   Aviation   Administration   (FAA)   Website:   on   Air   Transport   Oversight
ICAO Document DOC 9859­AN/460 (Safety Management 
Various DGCA Circulars and notifications on "Safety 
Management System".
238 Aviation Safety and Security Management

Notes Questions
__________________ General Questions.
__________________ What is the difference between the Safety Performance 
__________________ Indictors and Safety Targets? Give examples.
What is meant by Safety Management System (SMS)? What
are its advantages and describe various steps involved
in implementation of SMS?
__________________ In   establishing   States'   requirements   for   the   management   of
__________________ safety,   how   ICAO   differentiates   between   safety
programmes and safety management systems (SMS).

How Aircraft Accidents and incidents are related to each 
other state in the context of 1:600 Rule.

Objective Type of questions

Universal Safety Oversight Audit Program (USOAP) is the 
program for ….
The main features of SMS are Systematic, ­­­ and Explicit.

Answers to Objective Type of questions

auditing the implementation of safety related standards of 
an organization.
UNIT 12 Principles of System Safety 239

Unit 12 Notes
Principles of System Safety __________________
12.1 Definition of System Safety __________________
System safety is a specialty within system engineering that __________________
supports program risk management. It is the application of __________________
engineering   and   management   principles,   criteria   and __________________
techniques to optimize safety. The goal of System Safety is to
optimize safety by the identification of safety related risks,
eliminating or controlling them by design and/or procedures,
based   on   acceptable   system   safety   precedence.   System
Safety Management as a critical functional discipline to be
applied during all phases of the life cycle of an acquisition.
SSM contains a five step approach:
Plan:  The   safety   risk   management   process   shall   be
predetermined, documented in a plan that must include
the criteria for acceptable risk.
Hazard   identification:  The   hazard   analyses   and
assessments   required   in   the   plan   shall   identify   the
safety   risks   associated   with   the   system   or   operations
under evaluation.
Analysis:  The   risks   shall   be   characterized   in   terms   of
severity of consequence and likelihood of occurrence in
accordance with the plan.
Comparative Safety Assessment: The Comparative Safety
Assessment of the hazards examined shall be compared
to the acceptability criteria specified in the plan and the
results   provided   in   a   manner   and   method   easily
adapted for decision making.
Decision:  The risk management decision shall include  the
safety   Comparative   Safety   Assessment.   Comparative
Safety   Assessments   may   be   used   to   compare   and
contrast options.
240 Aviation Safety and Security Management

Notes The system safety principles involved in each of these steps
__________________ are discussed in the following paragraphs.
__________________ 12.2 Planning
__________________ System   safety   must   be   planned.   It   is   an   integrated   and
__________________ comprehensive   engineering   effort   that   requires   a   trained
__________________ staff   experienced   in   the   application   of   safety   engineering
__________________ principles.   The   effort   is   interrelated,   sequential   and
__________________ continuing   throughout   all   program   phases.   The   plan   must
__________________ influence   facilities,   equipment,   procedures   and   personnel.
__________________ Planning   should   include   transportation,   logistics   support,
storage,   packing,   and   handling,   and   should   address
Commercial   Off­the­Shelf   (COTS)   and   Non­developmental
Items (NDI). A System Safety Management Plan is needed
in   the   Pre­investment   Decision   phases   to   address   the
management   objectives,   responsibilities,   program
requirements,   and   schedule   (who?,   what?,   when?,   where?,
and   why?).   After   the   Investment   Decision   is   made   and   a
program   is   approved   for   implementation,   a   System   Safety
Program Plan is needed.

Managing Authority (MA) Role

The term Managing Authority (MA) is used to identify the
responsible entity for managing the system safety effort. In
all cases, the MA has responsibility for the program, project
or activity. Managerial and technical procedures to be used
must   be   approved   by   the   MA.   The   MA   resolves   conflicts
between safety requirements and other design requirements,
and   resolves   conflicts   between   associate   contractors   when

Defining System Safety Requirements

System   safety   requirements   must   be   consistent   with   other
program   requirements.   A   balanced   program   attempts   to
optimize safety, performance and cost. System safety program
balance is the product of the interplay between system safety
and the other three familiar program elements of cost, schedule,
and performance as shown in the figure below.
UNIT 12 Principles of System Safety 241


Figure 12­1: Cost vs. Safety Effort (Seeking Balance)

Programs   cannot   afford   accidents   that   will   prevent   the

achievement of the primary mission goals. However, neither
can   we   afford   systems   that   cannot   perform   due   to
unreasonable  and unnecessary safety requirements.  Safety
must   be   placed   in   its   proper   perspective.   A   correct   safety
balance   cannot   be   achieved   unless   acceptable   and
unacceptable conditions are established early enough in the
program   to   allow   for   the   selection   of   the   optimum   design
solution and/or operational alternatives. Defining acceptable
and   unacceptable   risk   is   as   important   for   cost­effective
accident   prevention   as   is   defining   cost   and   performance

12.3 Hazard Analysis

Both   elements   of   risk   (hazard   severity   and   likelihood   of
occurrence) must be characterized. The inability to quantify
and/or lack of historical data on a particular hazard does not
exclude   the   hazard   from   this   requirement.   Hazards   are
subdivided into sub­categories related to environment such
as   system   states,   environmental   conditions   or   “initiating”
and “contributing” hazards.
Realistically,   a   certain   degree   of   safety   risk   must   be
accepted.   Determining   the   acceptable   level   of   risk   is
generally the responsibility of management. Any
242 Aviation Safety and Security Management

Notes management   decisions,   including   those   related   to   safety

__________________ must   consider   other   essential   program   elements.   The
__________________ marginal costs of implementing hazard control requirements
__________________ in a system must be weighed against the expected costs of
__________________ not implementing such controls.
__________________ The   cost   of   not   implementing   hazard   controls   is   often
__________________ difficult   to   quantify   before   the   fact.   In   order   to   quantify
__________________ expected accident costs before the fact, two factors must be
__________________ considered. These are related to risk and are the potential
__________________ consequences   of   an   accident   and   the   probability   of   its
__________________ occurrence. The more severe the consequences of an accident
(in   terms   of   dollars,   injury,   or   national   prestige,   etc.)   the
lower the probability of its occurrence must be for the risk to
be  acceptable.   In  this   case,   it   will   be   worthwhile  to  spend
money   to   reduce   the   probability   by   implementing   hazard
controls. Conversely, accidents whose consequences are less
severe   may   be   acceptable   risks   at   higher   probabilities   of
occurrence and will consequently justify a lesser expenditure
to   further   reduce   the   frequency   of   occurrence.   Using   this
concept as a baseline, design limits must be defined.

12.3.1 Accident Scenario Relationships

In   conducting   hazard   analysis,   an   accident   scenario   as
shown in Figure 12­2 is a useful model for analyzing risk of
harm due to hazards. Throughout this System Safety notes,
the term hazard will be used to describe scenarios that may
cause   harm.   It   is   defined   as   a   “Condition,   event,   or
circumstance   that   could   lead   to   or   contribute   to   an
unplanned or undesired event.” Seldom does a single hazard
cause   an   accident.   More   often,   an   accident   occurs   as   the
result   of   a   sequence   of   causes   termed   initiating   and
contributory hazards. As shown in Figure 12­2, contributory
hazards   involve   consideration   of   the   system   state   (e.g.,
operating environment) as well as failures or malfunctions.
UNIT 12 Principles of System Safety 243


Figure 12­2: Hazard Scenario Model

12.3.2 Definitions for Use

Acquisition Process The FAA System Engineering Council
(SEC)   has   approved   specific   definitions   for   Severity   and
Likelihood to be used during all phases of the acquisition life
cycle. These are shown in Table 12­2 and Table 12­3.

Table 12­2: Severity Definitions for FAA AMS (Acquisition
Management System) Process

Catastrophic Results in multiple fatalities and/or loss of the system

Hazardous Reduces the capability of the system or the operator ability

to cope with adverse conditions to the extent that there
would be:
Large reduction in safety margin or functional capability

Crew physical distress/excessive workload such that

operators cannot be relied upon to perform required tasks
accurately or completely

(1) Serious or fatal injury to small number of occupants of

aircraft (except operators)

(2) Fatal injury to ground personnel and/or general public

Major Reduces the capability of the system or the operators to

cope with adverse operating condition to the extent that
there would be –
Significant reduction in safety margin or functional capability
244 Aviation Safety and Security Management

Notes Significant increase in operator workload

__________________ Conditions impairing operator efficiency or creating

__________________ significant discomfort

__________________ Physical distress to occupants of aircraft (except operator)

including injuries
Major occupational illness and/or major environmental
damage, and/or major property damage
Minor Does not significantly reduce system safety. Actions required
__________________ by operators are well within their capabilities. Include
Slight reduction in safety margin or functional capabilities
Slight increase in workload such as routine flight plan
__________________ changes.

Some physical discomfort to occupants or aircraft (except


Minor occupational illness and/or minor environmental

damage, and/or minor property damage

No Safety Has no effect on safety


Table 12­3:

Likelihood of Occurrence Definitions

Probable Qualitative: Anticipated to occur one or more times

during the entire system/operational life of an item.

Qua ntit ativ e: Probability of occurrence per

operational hour is greater that 1 x 10 -5
Remote Qualitative: Unlikely to occur to each item during its
total life. May occur several time in the life of an
entire system or fleet.

Qua ntit ativ e: Probability of occurrence per

operational hour is less than 1 x 10 -5, but greater
than 1 x 10-7
Extremely Remote Qualitative: Not anticipated to occur to each item
during its total life. May occur a few times in the life
of an entire system or fleet.

Qua ntit ativ e: Probability of occurrence per

operational hour is less than 1 x 10-7 but greater
than 1 x 10-9
Extremely Improbable Qualitative: So unlikely that it is not anticipated to
occur during the entire operational life of an entire
system or fleet.
Quantitative: Probability of occurrence per
operational hour is less than 1 x 10 -9
UNIT 12 Principles of System Safety 245

Definitions of Severity and Likelihood Notes

An   example   taken   from   MIL­STD­882C   of   the   definitions
used to define Severity of Consequence and Event Likelihood
are in Tables 12­4 and 12­5, respectively.
Table 12­4: Severity of Consequence __________________

Description Category Definition __________________

Catastrophic I Death, and/or system loss, and/or severe
environmental damage. __________________

Critical II Severe injury, severe occupational illness, __________________

major system and/or environmental __________________

Marginal III Minor injury, minor occupational illness,

and/or minor system damage, and/or
environmental damage.

Negligible IV Less then minor injury, occupational

illness, or less then minor system or
environmental damage.

Table 12­5: Event Likelihood (Probability)

Description Level Specific Event

Frequent A Likely to occur frequently

Probable B Will occur several times in the life of

Occasional C Likely to occur some time in the life of the


Remote D Unlikely but possible to occur in the life of

the system.

Inprobable E So unlikely, it can be assumed that

occurrence may not be experienced.

12.3.3 Comparison of FAR and JAR Severity

Other   studies   have   been   conducted   to   define   severity   and
event   likelihood   for   use   by   the   FAA.   A   comparison   of   the
severity classifications for the FARs and JARs from one such
study2 is contained in Table 12­6.
FAA Federal Aviation Administration, USA

JARs Joint Aviation Regulations with European countries

FAR Federal Aviation Administration Regulations.
246 Aviation Safety and Security Management

Notes   Aircraft Performance Comparative Safety Assessment
__________________ Model (APRAM), Rannoch Corporation, February 28, 2000
Table 12­6 Most Severe Consequence Used for Classification

12.4 Comparative Safety Assessment

Selection of some alternate design elements, e.g., operational
parameters and/or architecture components or configuration
in   lieu   of   others   implies   recognition   on   the   part   of
management that one set of alternatives will result in either
more   or   less   risk   of   an   accident.   The   risk   management
concept emphasizes the identification of the change in risk
with a change in alternative solutions. Safety Comparative
Safety   Assessment   is   made   more   complicated   considering
that a lesser safety risk may not be the optimum choice from
a   mission   assurance   standpoint.   Recognition   of   this   is   the
keystone   of   safety   risk   management.   These   factors   make
system safety a decision making tool. It must be recognized,
however, that selection of the greater safety risk alternative
carries   with   it   the   responsibility   of   assuring   inclusion   of
adequate   warnings,   personnel   protective   systems,   and
procedural controls. Safety Comparative Safety Assessment
is   also   a   planning   tool.   It   requires   planning   for   the
development   of   safety   operating   procedures   and   test
programs to resolve uncertainty when safety risk cannot be
completely controlled by design. It provides a control system
to   track   and   measure   progress   towards   the   resolution   of
uncertainty and to measure the reduction of safety risk.
Assessment   of   risk   is   made   by   combining   the   severity   of
consequence with the likelihood of occurrence in a matrix.
UNIT 12 Principles of System Safety 247

Risk   acceptance   criteria   to   be   used   in   the   FAA   AMS Notes

(Acquisition   Management   System)   process   are   shown   in __________________

Figure 12­3 and Figure 12­4. __________________

Figure 12­3: Risk Acceptability Matrix

Figure 12­4: Risk Acceptance Criteria

An example based on MIL­STD­882C is shown in Figure 12­
The   matrix   may   be   referred   to   as   a   Hazard   Risk   Index
(HRI), a Risk Rating Factor (RRF), or other terminology, but
in   all   cases,   it   is   the   criteria   used   by   management   to
determine acceptability of risk.
The Comparative Safety Assessment Matrix of Figure 12­5
illustrates an acceptance criteria methodology.
Region R1 on the matrix is an area of high risk and may be
considered unacceptable by the managing authority. Region
R2 may be acceptable with management review of controls
and/or   mitigations,   and   R3   may   be   acceptable   with
management review. R4 is a low risk region that is usually
acceptable without review.
248 Aviation Safety and Security Management

__________________ Figure 12­5: Example of a Comparative
__________________ Safety Assessment Matrix
12­ 11 Early in a development phase, performance objectives
may tend to overshadow efforts to reduce safety risk. This is
because   sometimes   safety   represents   a   constraint   on   a
design. For this reason, safety risk reduction is often ignored
or overlooked. In other cases, safety risk may be appraised,
but  not fully enough to serve as a significant input to the
decision   making   process.   As   a   result,   the   sudden
identification of a significant safety risk, or the occurrence of
an   actual   incident,   late   in   the   program   can   provide   an
overpowering   impact   on   schedule,   cost,   and   sometimes
performance.   To   avoid   this   situation,   methods   to   reduce
safety   risk   must   be   applied   commensurate   with   the   task
being performed in each program phase.
In  the early  development  phase  (investment   analysis  and
the early part of solution implementation), the system safety
activities are usually directed toward:
establishing risk acceptability parameters;

practical tradeoffs between engineering design and defined 
safety risk parameters;
avoidance of alternative approaches with high safety risk 
defining system test requirements to demonstrate safety 
characteristics; and,
safety planning for follow­on phases. The culmination of this
effort is the safety Comparative Safety Assessment that
is a summary of the work done toward minimization of
unresolved safety concerns and a
UNIT 12 Principles of System Safety 249

calculated appraisal of the risk. Properly done, it allows Notes
intelligent   management   decisions   concerning __________________

acceptability of the risk. __________________
The general principles of safety risk management are:
All system operations represent some degree of risk. __________________

Recognize that human interaction with elements of the  __________________
system entails some element of risk.
Keep hazards in proper perspective. __________________

Do not overreact to each identified risk, but make a  __________________

conscious decision on how to deal with it.
Weigh the risks and make judgments according to your own
knowledge,   inputs   from   subject   matter   experts,
experience, and program need.
It   is   more   important   to   establish   clear   objectives   and
parameters for Comparative Safety Assessment related
to   a   specific   program   than   to   use   generic   approaches
and procedures.
There may be no “single solution” to a safety problem. There 
are usually a variety of directions to pursue.
Each of these directions may produce varying degrees of risk
reduction. A combination of approaches may provide the
best solution.
Point out to designers the safety goals and how they can be
achieved   rather   than   tell   him   his   approach   will   not
There are no “safety problems” in system planning or design.
There   are   only   engineering   or   management   problems
that, if left unresolved, may lead to accidents.
The determination of severity is made on a “worst credible
case/condition”   in   accordance   with   MIL­STD­882,   and
AMJ 25.1309.
Many   hazards   may   be   associated   with   a   single   risk.   In
predictive analysis, risks are hypothesized accidents,
250 Aviation Safety and Security Management

Notes and   are   therefore   potential   in   nature.   Severity

__________________ assessment   is   made   regarding   the   potential   of   the
__________________ hazards to do harm.
__________________ 12.5 Risk Management Decision Making
__________________ Risk Management is a concept that has gained acceptance in
__________________ many   fields   of   business   and   industry.   It   seems   largely   from
__________________ financial concerns and a realization that losses from different
__________________ areas in a business must be either reduced or accepted. Risk
__________________ Management   is   the   overall   process   of   identifying,   evaluation,
__________________ controlling or reducing and accepting risks. It is a general term
given   to   the   process   of   making   management   decisions   about
risk that have been identified and analysed.

For   any   system   safety   effort   to   succeed   there   must   be   a

commitment   on   the   part   of   management.   There   must   be
mutual   confidence   between   program   managers   and   system
safety   management.   Program   managers   need   to   have
confidence that safety decisions are made with professional
competence.   System   safety   management   and   engineering
must   know   that   their   actions   will   receive   full   program
management attention and support. Safety personnel need to
have a clear understanding of the system safety task along
with   the   authority   and   resources   to   accomplish   the   task.
Decision­makers need to be fully aware of the risk they are
taking when they make their decisions. They have to manage
program safety risk. For effective safety risk management,
program   managers   should:   Ensure   that   competent,
responsible, and qualified engineers be assigned in program
offices   and   contractor   organizations   to   manage   the   system
safety program.

Ensure that system safety managers are placed within the
organizational structure so that they have the authority and
organizational flexibility to perform effectively.
Ensure that all known hazards and their associated risks
are defined, documented, and tracked as a program policy so
that the decision­makers are made aware of the risks being
assumed when the system becomes operational.
UNIT 12 Principles of System Safety 251

Require that an assessment of safety risk be presented as a Notes
part  of  program reviews and at  decision milestones.  Make __________________
decisions  on   risk  acceptability   for   the  program   and   accept __________________
responsibility for that decision. __________________
12.6 Safety Order of Precedence __________________
One   of   the  fundamental   principles   of   system   safety  is   the __________________
Safety   Order   of   Precedence   in   eliminating,   controlling   or __________________
mitigating   a   hazard.   The   Safety   Order   of   Precedence   is __________________

shown in Table 12­7. __________________
Table 12­7: Safety Order of Precedence

Description Priority Definition

Design for minimum risk 1 Design to eliminate risks. If the

identified risk cannot be eliminated,
reduce it to an acceptable level
through design selection.

Incorporate safety devices 2 If identified risks cannot be eliminated

through design selection, reduce the
risk via the use of fixed, automatic, or
other safety design features or
devices. Provisions shall be made for
periodic functional checks of safety

Provide warning devices 3 W hen neither design nor safety

devices can effectively eliminate
identified risks or adequately reduce
risk, devices shall be used to detect
the condition and to produce an
adequate warning signal. Warning
signals and their application shall be
designed to minimize the likelihood
of inappropriate human reaction and
response. W arning signs and
placards shall be provided to alert
operational and support personnel of
such risks as exposure to high voltage
and heavy objects.

Develop procedures and training 4 Where it is impractical to eliminate

risks through design selection or
specific safety and warning devices,
procedures and training are used.
However, concurrence of authority is
usually required when procedures
and training are applied to reduce
risks of catastrophic, hazardous,
major, or critical severity.
252 Aviation Safety and Security Management

Notes Examples:
__________________  Design for Minimum Risk: Design hardware systems as per
specifications, e.g. use low voltage
rather than high voltage where access
__________________ is provided for maintenance activities.
__________________  Incorporate Safety Devices If low voltage is unsuitable, provide
__________________ interlocks.

__________________  Provide warning devices If safety devices are not practical,

provide warning placards
 Develop procedures and training Train maintainers to shut off power
before opening high voltage panels
__________________ 12.7 Behavioural-Based Safety
Safety   management   must   be   based   on   the   behaviour   of
people   and   the   organizational   culture.   Everyone   has   a
responsibility   for   safety   and   should   participate   in   safety
management   efforts.   Modern   organization   safety   strategy
has   progressed   from   “safety   by   compliance”   to   more   of   an
appropriate concept of “prevention by planning”. Reliance on
compliance could translate to after­the­fact hazard detection,
which does not identify organizational errors, that are often
times, the contributors to accidents.
Modern   safety   management,   i.e.—“system   safety
management”—   adopts   techniques   of   system   theory,
statistical analysis, behavioural sciences and the continuous
improvement concept. Two elements critical to this modern
approach are a good organizational safety culture and people
The establishment of system safety working groups, analysis
teams,  and product  teams  accomplishes  a positive cultural
involvement   when   there   are   consensus   efforts   to   conduct
hazard analysis and manage system safety programs.
Real­time   safety   analysis   is   conducted   when   operational
personnel are involved in the identification of hazards and
risks,   which   is   the   key   to   behavioural­based   safety.   The
concept consists of a “train­the trainer” format.