MDSA 812 - Aviation Safety & Security Management0001

MDSA-812
AVIATION SAFETY AND

SECURITY MANAGEMENT
MBA (AVM)
Course Code: MDSA-812
Course Name: Aviation Safety and Security Management
© UNIVERSITY OF PETROLEUM & ENERGY STUDIES

Contents
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
Appendix............................................................................................................. 277
UNIT 1 Airport Surface Operations 1
Notes
Unit 1 __________________
__________________
Airport Surface Operations __________________
__________________
__________________
__________________
Part-I __________________
AIRPORT LAYOUT __________________
__________________
__________________
AIRPORT
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
Runway (RWY) is a defined rectangular area on a land

aerodrome used for landing and take-off of aircraft. Runways
on an established aerodrome may be a man-made surface
(often asphalt, concrete, or a mixture of both), and for small
aerodromes it could also be a natural surface (grass, dirt, or
gravel).
Notes
__________________
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 one-tenth 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 degree-alignment (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.
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 right-A pair of parallel runways 35L/17R & 35R/
__________________ 17L
__________________
For aircraft it is advantageous to perform take-offs 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:
(a) Non-precision approach runway: An instrument

runway served by visual aids and a non-visual aid
providing at least directional guidance adequate for a
straight-in approach.
(b) Precision approach runway, category I: An Notes

instrument 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. __________________
(c) 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. __________________
(d) 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.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
 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.
 The Runway is the entire paved surface, which typically

features threshold markings, numbers, centre lines, and
overrun areas at both ends.
 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 take-off or a take-off 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, take-off or land on stopways,
except in an emergency.
 Threshold. The beginning of that portion of the runway

usable for landing.
 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
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. __________________
__________________
__________________
Taxiway
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 'B-4' etc. Busy airports typically
__________________
construct high-speed or rapid-exit 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.
__________________
1. Double yellow lines mark the boundary between areas
under jurisdiction of ATC and the parking areas.
2. A single solid yellow line marks the taxiway centre line.
3. 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.
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 pre-flight 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 de-icing/
anti-icing facility and on a designated isolated aircraft
parking position intended to be used at night.
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
aircraft.
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 etc.
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
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:
 radios for communication with aircraft, linked to

controllers' headsets or to microphones and speakers;
 a telephone system that connects dedicated voice lines

Notes and public telephone lines via quick-dial systems to

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

following:
 an Aerodrome Traffic Monitor with a small radar

display.
 a Surface Movement Radar displaying aircraft and

vehicles on the airport to assist controllers at night and
in poor visibility.
 computerised meteorological information or a met

observer, flight data and briefing systems.
Hangar
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.
Notes 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.
Markings
A symbol or group of symbols displayed on the surface of the
movement area in order to convey aeronautical information.
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: __________________

__________________
1. 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 fixed-distance markers-two large,
white rectangles on either side of the centre line about
1,000 ft (305 m) from the threshold.
2. An Instrument Runway (non-precision approach)

supports both VFR and IFR traffic. As indicated by its
name, this type of runway is served by a non-precision
instrument approach, usually a VOR or NDB approach.
In addition to the markings used on a visual runway, a
non-precision runway also has threshold markings.
3. An Instrument Runway (precision approach) supports

a precision approach, usually an ILS. Precision runways
have all the marks found on a non-precision runway,
plus touchdown zone markings. These marks appear at
500-ft (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.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
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
operations.
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
edge lights are employed, the light fixtures may be located Notes
on the grass shoulder just beyond the declared runway width. __________________
__________________
Runway Edge Lighting is white except in the following
__________________
instances:
__________________
(a) 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.
(b) Pre-Threshold Lighting
Where a landing threshold is displaced, but the pre-

threshold area is available for the take-off 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.
(c) Runway Exit Lighting
One or two omni-directional blue lights may replace or

supplement the edge lights in order to indicate an exit
taxiway.
(d) 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.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
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 low-visibility 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.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
Types of Approach Lights

Following approach lighting system (ALS) are used.
1. Green threshold lights mark the beginning of the

runway.
2. A long line of lead-in lights aligned with the runway

centre-line. The lead-in lights extend from the end of
the runway into the approach area.
Notes 3. Alignment bars perpendicular to the lead-in lights that

__________________ help the pilot quickly determine if the airplane is
__________________ properly aligned with the runway.
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
These lights can be seen on the high-rise 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.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
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
(UHF) MHz
Exta or Super High Between 3 GHz to 30 GHz
Freq (SHF)
Non-Directional Beacon (NDB)

Non-directional beacon (NDB): is a radio beacon
transmitting non-directional 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.
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 Omni-directional 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 aircraft.
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 in-built 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.
VORs are assigned radio channels between 108.0 MHz Notes

(megahertz) and 117.95 MHz (with 50-kHz spacing); this is __________________
in the VHF (very high frequency) range. __________________
The VOR system uses the phase relationship between a __________________

reference-phase and a rotating-phase signal to encode __________________
direction. The carrier signal is omni-directional 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
__________________
D-VOR/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 transponder-based 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 land-based transponder by sending and
receiving pulse pairs - two pulses of fixed duration and
separation. The ground stations are typically co-located with
VORs. Sometimes DME is also co-located 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 ground-based

instrument approach system which provides precise
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 sub-systems, 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
co-located antennas. Each antenna transmits a fairly narrow
beam, one slightly to the left of the runway centre line, the
other to the right.
The localizer receiver on the aircraft measures the Difference Notes

in 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
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.
__________________
__________________  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.
 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.
 Category III: is further subdivided
 Category III A: A precision instrument approach
and landing with:
(a) a decision height lower than 30 m (100 ft) above
touchdown zone elevation, or no decision
height; and
(b) a runway visual range not less than 200 m.
 Category III B: A precision instrument approach
and landing with:
(a) a decision height lower than 15 m (50 ft) above
touchdown zone elevation, or no decision
height; and
(b) a runway visual range less than 200 m but not
less than 50 m.
 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
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.
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

instructions
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
Part-II
Manoeuvring area: That part of an aerodrome to be used

for the take-off, landing and taxiing of aircraft, excluding
aprons.
Movement area: That part of an aerodrome to be used for

the take-off, landing and taxiing of aircraft, consisting of the
manoeuvring area and the apron(s).
OBJECTIVE
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
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.

Notes ESSENTIAL INFORMATION ON AERODROME

__________________ 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
__________________ include;
__________________
(a) construction or maintenance work on, or immediately
__________________
adjacent to the movement area;
__________________
__________________ (b) rough or broken surfaces on a runway, on a taxiway or
on apron.
(c) water, snow, slush or ice on a runway, on a taxiway or

on apron.
(d) other temporary hazards, including parked aircraft and

birds on the ground or in the air.
(e) failure or irregular operation of aerodrome lighting

system.
(f) any other pertinent information.
Traffic on the manoeuvring area
Use of Runway-Holding 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.
CONTROL OF OTHER THAN AIRCRAFT TRAFFIC. Notes

__________________
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

operation:
(a) 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;
(b) the vehicles shall remain at safe distance from taxiing

aircraft.
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:
(a) vehicles, vehicles towing aircraft and pedestrians shall

give way to aircraft which are landing, taking off or
taxiing;
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 runway-in use than:
__________________
(a) at a taxiway/ runway intersection - at a runway holding
__________________
position; and
__________________
(b) at a location other than a taxiway/ runway intersection
- at a distance equal to the separation distance of the
runway-holding position.
Communication Requirements and Visual Signals

At controlled aerodrome vehicles employed on the
manoeuvring area shall be capable of maintaining two-way
radio communication with the aerodrome control tower,
except when the vehicle is occasionally used on the
manoeuvring area and is:
(a) accompanied by a vehicle with the required

communications capability, or
(b) 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
Stop
Move off the landing area or taxiway and watch out for aircraft
Vacate manoeuvring area in accordance with local

instructions
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
__________________
CONTROL OF TRAFFIC IN THE TRAFFIC CIRCUIT. __________________

__________________
General
__________________
Aircraft in the traffic circuit shall be controlled to provide __________________
the separation minima except that:
(a) aircraft in formation are exempted from the separation
minima with respect to separation from other aircraft
of the same flight;
(b) aircraft operating in different areas or different runways
on aerodromes suitable for simultaneous landings or
take-offs are exempted from the separation minima;
(c) 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
possible.
Priority shall be given to:
(a) an aircraft which anticipates being compelled to land
because of factors affecting the safe operation of the
aircraft (engine failure, shortage of fuel, etc.);
Notes (b) hospital aircraft or aircraft carrying any sick or seriously

__________________ injured persons requiring urgent medical attention;
__________________
(c) aircraft engaged in search and rescue operations;
__________________
__________________ (d) VVIP aircraft.
__________________ ORDER OF PRIORITY FOR ARRIVING AND DE-
__________________ PARTING 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.
__________________
CONTROL OF DEPARTING AIRCRAFT.

Departure sequence
Departures shall normally be cleared in the order in which
they are ready for take-off, 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, inter-alia:
(a) types of aircraft and their relative performance;
(b) routes to be followed after take-off;
(c) any specified minimum departure interval between take-

offs;
(d) need to apply wake turbulence separation minima;
(e) aircraft which should be afforded priority; and
(f) aircraft subject to ATFM requirements.
Separation of departing aircraft.

A departing aircraft will not normally be permitted to
commence take-off until the preceding departing aircraft has
crossed the end of the runway-in-use or has started a turn or
until all preceding landing aircraft are clear of the runway-
in-use.
Take-off clearance.
Take-off clearance may be issued to an aircraft when there Notes

is reasonable assurance that the separation will exist when __________________
the aircraft commences take-off. __________________
__________________
When an ATC clearance is required prior to take off, the
take-off clearance shall not be issued until the ATC clearance __________________
has been transmitted to and acknowledged by the aircraft __________________

concerned. __________________
__________________
The take-off clearance shall be issued when the aircraft is
__________________
ready for take-off and at or approaching the departure
runway, and the traffic situation permits. To reduce the __________________
potential for misunderstanding, the take-off clearance shall __________________

include the designator of the departure runway.
In the interest of expediting traffic, a clearance for immediate

take-off 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.
CONTROL OF ARRIVING AIRCRAFT.

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
runway-in-use, or has started a turn, or until all preceding
landing aircraft are clear of the runway-in-use.
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:
(a) hold short of an intersecting runway after landing;
(b) land beyond the touchdown zone of the runway;
(c) vacate the runway at a specified exit taxiway;
(d) expedite vacating the runway.
PROCEDURES FOR LOW VISIBILITY OPERATIONS.

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.
Subject to the provisions in, the vehicles shall remain at safe Notes
distance from taxiing aircraft. __________________
__________________
SUSPENSION OF VISUAL FLIGHT RULES (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. __________________
__________________
AERONAUTICAL GROUND LIGHTS.
General
All aeronautical ground lights shall be operated
(a) during the time from sunset to sun rise;
(b) during time from sunrise to sunset when visibility is

3000 m or less;
(c) when requested by pilot. When so requested, further

adjustment of the intensity light shall also be made
whenever possible.
(d) at any other time when their use, based on weather

conditions, is considered desirable for the safety of air
traffic.
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
used.
Notes Runway lighting.

__________________
Runway lighting shall not be operated if that runway is not
__________________
in use for landing, take-off or taxiing purposes, unless
__________________
required for runway inspections or maintenance.
__________________
__________________
(a) at aerodromes where air traffic control service is
provided and where lights are centrally controlled, the
__________________
lights of one runway shall remain lighted after take-off
__________________
as long as is considered necessary for the return of the
__________________
aircraft due to an emergency occurring during or
__________________ immediately after take-off;
__________________
(b) 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 take-off.
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.
Un-serviceability lights may not be turned off while the

aerodrome is open.
References
1. ICAO Annex 14 to the Convention on International Civil
Aviation-Volume I-' Aerodrome Design and Operations',
Fourth Edition, July 2004
2. Civil Aviation Requirements, Section-4, 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. __________________
3. 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. __________________
__________________
4. ICAO Manual of Surface Movement Guidance and
Control Systems (SMGCS) (ICAO Doc 9476) __________________
__________________
5. Airports Authority of India ATS Manual.
6. ICAO Annex 10 -Volume I-Aeronautical

Telecommunications- Radio Navigation Aids, Fifth
Edition - July 1996
Questions
General Questions
1. Describe the functioning of a Visual Approach Slope
Indicator System (VASIS) or a Precision Approach Path
Indicator (PAPI)
2. What is an ILS (Instruments Landing System)? What

are its main features?
3. What are the different types of aircraft emergencies?

What are the actions taken by various ground agencies
to handle such emergencies?
Objective Type Questions.

a. Two parallel runways located in North/South direction
will be named as ----- and -----.
b. Precision Approach Runway Cat II is a kind of
i. Instrument runway
ii. Non- Instrument runway
iii. Grassy runway
iv. Unlighted Runway

Notes c. An aircraft is landing on Runway 09 at an airport. This

__________________ means that the aircraft is approaching from; ---- to ------
__________________
d. VOR & DME are used for getting the ------ & --------- of
__________________
the aircraft from an airport.
__________________
__________________
e. Top Priority for landing should be given to the aircraft
__________________ 1. Aircraft experiencing in-flight emergency like engine

__________________ failure, fire, shortage of fuel etc.
__________________
f. The Taxiway markings are shown by broken white lines
__________________ and the colour of taxiway edge lights is ------
__________________
g. The NDB (Non Directional Beacon) is used by aircraft
for communication with ATC. (True or False)
h. Displaced Threshold mean;
i. A threshold not located at the extremity of a runway.
ii. A runway not aligned properly.
iii. A runway located very far from the airport.
iv. A misplaced taxiway
Answers to Objective Type of questions

a. 18L/36R, 18R/36L
b. i. Instrument runway
c. West to East
d. Direction & Distance
e. Aircraft experiencing in-flight emergency like engine

failure, fire, shortage of fuel etc.
f. Blue
g. False
h.
i. A threshold not located at the extremity of a runway.

UNIT 2 Crew Alerting Management 41
Notes
Unit 2 __________________
__________________
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, Co-pilots, 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
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, de-icing,
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 software-driven 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 ground-collision warning system
(GCWS).
The system monitors an aircraft’s height above ground as Notes

determined by a radar altimeter. A computer then keeps __________________
track of these readings, calculates trends, and will warn the __________________
captain with visual and audio messages if the aircraft is in __________________
certain defined flying configurations (“modes”), like “Whoop __________________
Whoop Pull up”.
__________________
The modes are: __________________
__________________
Risk Warning (Aural/Visual)
__________________
1. Excessive descent rate (“PULL UP” “SINKRATE”) __________________
2. Excessive terrain closure rate (“TERRAIN” “PULL UP”) __________________
3. Altitude loss after take off (“DON’T SINK”)
4. Unsafe terrain clearance (“TOO LOW - TERRAIN” “TOO

LOW - GEAR” “TOO LOW - FLAPS”)
5. Excessive deviation below glide slope (“GLIDE

SLOPE”)
6. Bank angle protection (“BANK ANGLE”)-[With EGPWS]
7. 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 mid-1970s. 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.
In 2002 an advanced version of GPWS, known as “Enhanced

Ground Proximity Warning System” (EGPWS) or “Terrain
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 IL-76 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 ill-fated aircraft mingled with the dead
bodies fell over the fields. The mid-air collision left the world
stunned.
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 Saudia-Kazakh mid-air, another

incident was reported. ‘Air-Force One’ (also known as the
‘flying White’ House), the VIP Jumbo jet (B747-200) 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 1500-
2000 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
state-of-the-art equipment known as “Traffic Alert Collision
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 air-to-
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 ground-based 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 questions-answers (or Interrogator-transponder)
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 question-answer is
between ground and the aircraft, in case of ACAS the
interrogation is between aircraft to aircraft.
TYPE OF EQUIPMENT
There are 3 type of ACAS equipment presently available.
ACAS-I 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
ACAS-I, known as Traffic Advisories (TA) is in the form of
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:
__________________ TRAFFIC; TRAFFIC
__________________
In other words, ACAS-I 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.
__________________
ACAS-II: 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
ACAS-II, also issues Resolution Advisories (RA) alerting the
pilot to take evasive action for avoidance of collision. For
example:
 CLIMB; CLIMB; CLIMB
 CLIMB - CROSSING CLIMB; CLIMB - CROSSING
CLIMB;
 DESCENT; DESCENT; DESCENT
 REDUCE DESCEND; REDUCE DESCEND
 INCREASE CLIMB; INCREASE CLIMB
 MONITOR VERTICAL SPEED; MONITOR VERTICAL
SPEED
 CLEAR OF CONFLICT, and so on...
ACAS-III: ACAS III provides vertical as well as horizontal
Resolution Advisories in addition to Traffic Advisories.
ACAS-IV: ACAS IV is being designed to meet the operational

requirements of Free Flight and Future Air Navigation
Systems (FANS) and may include GPS composition
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 take-of, 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.
Notes Some such cases could be

__________________
 One engine shut down due oil loss, heavy vibration or
__________________
similar such malfunctions etc. (Other engines working
__________________
normally).
__________________
__________________  Minor Instrument failure
__________________  Bad weather
__________________
 Other minor snags
__________________
__________________  Fuel leakage or not having sufficient fuel to reach to the
__________________ desired destination
 Smoke warning
 Any other warning, which is assumed to be False

indication.
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;
 Fire on aircraft
 Malfunction of any Control system
 Major Failure of any critical part/Instrument
 Aircraft loosing height due multi engine failure
 Acute Fuel shortage
 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.
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 belly-landing 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;
 LOCAL STANDBY
 FULL EMEGENCY
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.
(a) 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;
(b) decide upon the most appropriate type of assistance

which can be rendered;
(c) enlist the aid of any other ATS unit or other services
which may be able to provide assistance to the aircraft;
(d) 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;
(e) 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;
and
(f) notify the appropriate ATS units and authorities as

specified in local instructions
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:
(a) transmit, and continue to transmit, information

pertinent to the safe conduct of the flight, without
expecting a reply from the aircraft;
(b) 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;
(c) 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;
Notes (d) 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 two-way 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, direction-finder,
navigation aids or sighting by another aircraft. Care must be
taken when providing navigation assistance to ensure that
the aircraft does not enter cloud.
OTHER IN-FLIGHT CONTINGENCIES

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.”
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.
References
1. Aeronautical Information Circular No. 03 of 2006 issued
by DGCA Dt 19th May 2006.
2. ICAO Airport Services Manual (Doc 9137) Part 1 —

Rescue and Fire Fighting.
3. DGCA, Civil Aviation Requirement, Aircraft

Instrument, Equipment And Accessories-GPWS, Series
I-Part VII, Issue II, Dated 28-5-99
4. DGCA, Civil Aviation Requirement, Aircraft

Instrument, Equipment And Accessories-ACAS, Series
I-Part VIII, Issue II, Dated 24-4-97
5. AAI Air Traffic Services Manual
6. AAI Airport Operations Manual

Notes 7. DGCA Website http://dgca.nic.in/ also http://dgca.gov.in/

__________________
8. AAI website http://aai.aero/AAI/
__________________
__________________ 9. Indian Aircraft Manual
__________________
10. FAA Advisory circulars on various Cockpit Warning
__________________ Instruments.
__________________
__________________ Questions
__________________
General Questions.
__________________
__________________ 1. What is the Airborne Collision Avoidance System
(ACAS) or TCAS. How it functions?
2. 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?
3. 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.
4. Describe the functioning of GPWS equipment.
Objective Type of questions

a. In case of hydraulic failure the aircraft may experience
the following problems;
b. If two aircraft come dangerously close to each other, an

alert warning will be issued by — equipment installed
in the aircraft.
c. GPWS is the equipment installed for safety of aircraft

to avoid of collision with high terrain and hills etc. It
stands for ——-
d. In case of Pressurization failure, the aircraft may need

the following assistance;
i. ——
e. EICAS (Engine Indicating and Crew Alerting System);
i. ——
ii. It only provides engine information Notes

__________________
iii. It shuts down all aircraft engines in case the pilot
__________________
receives a smoke warning.
__________________
iv. It is another form of ACAS. __________________
f. GPWS issues alert warning “Terrain-Terrain”, __________________
whenever; __________________
__________________
i. —
__________________
g. In case of a fire on one of its engines, the aircraft may; __________________
__________________
i. Make an Emergency landing.
ii. Make a precautionary landing
iii. Fly near control tower for visual confirmation
iv. Continue its flight as long as there is no fuel shortage.
h. Prior to an emergency landing, the Fuel dumping is

necessary so as to;
i. To cool down the temperature of the aircraft.
ii. reduce the landing weight of the aircraft to bring it

within the maximum permissible & safe limit of
landing.
iii. To increase the flying speed of the aircraft.
iv. Achieve a quick descent rate.

General Questions
5. What is the Airborne Collision Avoidance System
(ACAS) or TCAS. How it functions?
6. 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?
7. 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.
8. Describe the functioning of GPWS equipment.

Notes Answers to Objective Type of questions

__________________
a. 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.
__________________
b. ACAS .
__________________
__________________ c. Ground Proximity Warning System
__________________ d. Immediate descent to a height of 8000 ft or low.
__________________
e. 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.
f. Aircraft comes in close proximity of a high hill or high

ground.
g. Make an Emergency landing.
h. 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
Notes
Unit 3 __________________
__________________
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
Organisation.
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.
Notes The hazardous material that have been forbidden in carry-

__________________ on and checked baggage on board the commercial aircraft
__________________ have been categorised in different classes as given below;
__________________ HAZARD CLASS COMMON ITEMS**
__________________
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 &

pharmaceuticals.
Magnetized Materials Magnets as in some loudspeakers and laboratory

equipments.
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.)
** 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.
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 10-litre 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 Calcutta-
Mumbai (Bombay) flight was to take-off. 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
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 Calcutta-Mumbai (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 Annex-18 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.
 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.
 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);
 A permission in writing is required to be granted by the Notes

Central Government for carriage of explosives and __________________
radioactive material. __________________
__________________
 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. __________________
 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
 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.
 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.
 The dangerous goods shall be classified in accordance

with the provisions of the Technical Instructions.
 Dangerous goods will be required to be packed in

Technical Instructions
Notes  It shall be ensured that no harmful quantity of a

__________________ dangerous substance adheres to the outside of the
__________________ packagings.
__________________  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.
__________________  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
 No packaging used for the transport of the dangerous
goods shall be re-used unless inspected and found free
from corrosion or other damage
 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.
 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 (Four-digit 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.
 No shipper or his agent shall offer any package or

overpack (An enclosure used by a single shipper to
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. __________________
__________________
__________________
 The operator shall accept dangerous goods for transport

by air, subject to duly certified, labelled, marked, as per
the Technical Instructions
 The package, overpack or freight container containing

the dangerous goods should be inspected for evidence
of leakage or damage before loading.
 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
therein.
 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.
 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.
Notes  Dangerous goods should not be carried in an aircraft

__________________ cabin occupied by passengers or on the flight deck of an
__________________ aircraft.
__________________
 Any hazardous contamination found on an aircraft as a
__________________ result of leakage or damage to dangerous goods shall be
__________________ removed without delay.
__________________
 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 non-fixed contamination are
__________________ not more than the values specified in the Technical
Instructions.
 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.
 Packages of toxic and infectious substances shall be

stowed on an aircraft in accordance with the
 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
 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.
 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.
Notes
__________________
 The operator shall provide information in writing to the
__________________
pilot-in-command about the dangerous goods before
__________________
departure of the aircraft.
__________________
 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. __________________
__________________
 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.
 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.
 If an in-flight emergency occurs, the pilot-in-command

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
Instructions.
 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 pilot-in-command.
Notes  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 pilot-in
__________________
command.
__________________
__________________
__________________
 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 pilot-in-command 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: -
 the type, nationality and registration marks of aircraft;
 the name of the owner, operator and hirer of the aircraft;
 the name of the pilot-in-command of the aircraft;
 the nature and purpose of the flight;
 the date and time of the dangerous goods accident or

incident;
 the place where the accident occurred:
 the last point of departure and the next point of intended

landing of the aircraft;
 the details of the dangerous goods on board the aircraft

viz. their proper shipping name, UN number, quantity
etc.
 the known cause of the dangerous goods accident or Notes

incident; __________________
__________________
 details of other cargo on board the aircraft;
__________________
 the extent of known damage to the aircraft, other __________________
property and persons on board the aircraft; __________________
 any other information required to be included by the __________________

Director-General. __________________
__________________
 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 re-occurrence of such accident or

incident.
 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.
 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.
 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 twenty-four months of
previous training to ensure knowledge is current.
 The training programmes established and maintained

by or on behalf of operators shall be subjected to review
and approval by Government/ DGCA.
 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
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.
__________________
__________________
__________________
 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.
 Where the Director-General, 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

Consignments
There are special requirements as regards to transportation

of radioactive consignments by air formulated in consultation
with Bhabha Atomic Research Centre (BARC), Mumbai.
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 __________________
investigation. __________________
__________________
"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.
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).
__________________
References
__________________
__________________ 11. ICAO Annex-18 to the Convention on International Civil
__________________ Aviation-The Safe Transport of Dangerous Goods by Air
__________________ 12. Technical Instructions for the Safe Transport of
__________________ Dangerous Goods by Air (ICAO Doc 9284).
13. DGCA Website http://dgca.nic.in/ also http://dgca.gov.in/
14. DGCA Air Safety Circular no. 02 of 1962
15. DGCA Air Safety Circular no. 02 of 1989
16. Indian Aircraft Manual
Questions
General Questions
1. How ICAO defines 'Dangerous Goods'
2. 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.
3. What is the meant by 'cooling period' in respect of

unaccompanied baggage.
4. What actions are required to be taken in the event of an

aircraft carrying Radio Active material meets with an
accident.

a. The following item is considered as a Hazardous
material and can not be carried on board the aircraft as
hand baggage;
i. Acid Battery Notes

__________________
ii. Shaving Cream
__________________
iii. Double edged (Twin Blade) Safety Razor __________________
__________________
iv. Camera Equipment with Battery
__________________
b. Hazardous cargo should be carried as per the __________________
instructions contained in the ICAO document known
__________________
as ----
__________________
c. For carriage of Dangerous cargo, the airline operator __________________
must be certified by --- __________________
d. State True or False;
i. "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
ii. "Bacterial cultures, viral organism, medical

laboratory specimens and such other hospital
wastes or Infectious Material are categorised as
'hazardous materials.'- True/False"
iii. "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"
iv. "The operator shall provide such information in the

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"
v.
Notes Answers to Objective Type of questions

__________________
a. Acid Battery
__________________
__________________ b. "Technical Instructions for the safe transport of
__________________ Dangerous Goods by Air (ICAO Doc 9284)"
__________________
c. DGCA
__________________
__________________ d. State True or False;
__________________ i. True
__________________
ii. True
__________________
iii. True
iv. True
UNIT 4 Administrative Practices & Procedures 73
Notes
Unit 4 __________________
__________________
Administrative Practices & __________________
Procedures __________________
__________________
__________________
National Regulations and Requirments __________________
__________________
1.1 DESIGNATED AUTHORITIES
__________________
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:---
1. CIVIL AVIATION
Technical Centre,
Opp. Safdarjung Airport
New Delhi - 110 003.
TEL : 91 - 11 -24622495
FAX : 91 - 11 - 24629221
AFS : VIDDYAYG, email- http://dgca.gov.in/
Rajiv Gandhi Bhawan
Safdarjung Airport
TEL :
Notes 91 - 11 - 24693160 / 24632930

__________________
FAX : 91 - 11 – 24632990
__________________
__________________ E. MAIL : chairman@aai.aero,chairman@airport sindia.org.
__________________
AFS : VIDDYXAC
__________________
__________________ 2. METEOROLOGY
__________________
Director General of Meteorology
__________________
__________________ India Meteorology Department,
__________________ Mausam Bhawan, Lodhi Road
TEL : 91 - 11 - 24619415 - 19,
FAX : 91 - 11 - 24699216
AFS : VIDDYMYX
3. CUSTOMS
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
4. IMMIGRATION
Foreign Regional Registration Office,
Hans Bhawan,
Bahadur Shah Zafar Marg,
New Delhi
91 - 11 -3319489(Off)/ 25652386(Airport)
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 __________________
6. EN-ROUTE & AERODROME / HELICOPTER

CHARGES
Airports Authority of India
Rajiv Gandhi Bhawan
Safdarjung Airport
TEL : 91 - 11 – 24693160
FAX : 91 - 11 – 24629221
E. MAIL: chairman@aai.aero , chairman@airportsindia.org
AFS : VIDDYAYG
7. AGRICULTURAL QUARANTINE
Directorate of Plant Protection
Quarantine and Storage
NH4, Faridabad-121 001.
Haryana
TEL : 91 - 129. 5413985/5416349
FAX : 91 - 129 - 5416349
AFS : NIL
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
__________________
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:
1. Attached / Autonomous Organisations
 Directorate General of Civil Aviation
 Bureau of Civil Aviation Security
 Commission of Railway Safety
 Indira Gandhi Rashtriya Uran Akademi
2. Air Carriers
 Air India Ltd.
 Indian Airlines Ltd.
 Pawan Hans Helicopters Ltd.
3. Airports
 Airports Authority of India
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.
THE DIRECTOR GENERAL OF CIVIL AVIATION

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;
 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
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 non-scheduled
__________________ flights of such operators
__________________  Conducting investigation into accidents/incidents and
__________________ taking accident prevention measures including
__________________ formulation of implementation of Safety Aviation
__________________ Management Programmes
__________________  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
Convention
 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
oversight
 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;
 Coordination at national level for flexi-use 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; __________________
 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 __________________
required; __________________
__________________
 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.
AIRPORTS AUTHORITY OF INDIA (AAI)

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
2002-03, 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).
Notes Broadly the two main functions are;

__________________
 Development & Management of Airport Infrastructure
__________________
__________________  Air Traffic Management
__________________
Other functions are;
__________________
__________________  management of the entire Indian airspace including
oceanic Airspace
__________________
__________________  Provision of Communication, Navigational and
__________________ Surveillance aids
__________________
 Design, development, operation and maintenance of
passenger terminals.
 Operation, maintenance and up-gradation of operational

areas viz., runways, aprons, taxiways etc.
 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

(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.
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
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”.
__________________
OTHER AIRLINES & LOW COST CARRIERS

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).
1.2 ENTRY, TRANSIT AND DEPARTURE OF AIR-

CRAFT
1. GENERAL
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.
Notes Some of the regulations are as follows;

__________________
__________________
i. The Aircraft Act, 1934 (22 of 1934)
__________________ ii. The Aircraft Rules, 1937
__________________
__________________ iii. The Aircraft (Public Health) Rules, 1954
__________________
iv. The Indian Aircraft Rules, 1920 (Part IX)
__________________
__________________ v. The Carriage by Air Act, 1972 (69 of 1972)
__________________
vi. The Tokyo Convention Act, 1975 (20 of 1975)
__________________
vii. The Indian Wireless Telegraphy (Foreign Aircraft)
Rules, 1973.
viii. The Anti-Hijacking Act, 1982 (65 of 1982)
ix. The Suppression of Unlawful Acts Against Safety of Civil

Aviation Act, 1982 (66 of 1982)
x. 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.
Note:
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.
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: __________________
__________________
(a) State of the airline and India must be a party to a
__________________
multilateral or bilateral International Air Transport
Services Agreement; and
(b) 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.
(c) 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.
(d) It is advisable for the pilot-in-command 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
Notes services are given in Aeronautical Information Circular (AIC)

__________________ No. 3 of 2000 which inter-alia includes:
__________________
(a) 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.
__________________
(b) 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 Delhi-110003.
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.
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
respectively.
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.
3.1.5 Pilot-in-Command 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.
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 non-scheduled flight(s) is
__________________ required to be submitted in advance with a minimum notice
__________________
period as follows:
__________________ (a) Seven working days for flights for traffic purposes; and
__________________
(b) Three working days for flights for non-traffic 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:
(a) Ambulance flight (name and address of the patient and

the doctor to be given);
(b) Relief flight of a scheduled passenger airline necessitated

due to grounding of aircraft; and
(c) 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 Delhi-110003.
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:
(a) stay of any aircraft in India for more then 15 days.
(b) flight of an aircraft registered in a state not member of
ICAO; and
(c) passenger charter flights to India not covered by Tourist Notes

Charter Guidelines. __________________
__________________
3.4.2 Operations of flights with aircraft capable of air-
__________________
dropping.
__________________
3.4.2.1 Request for operating flights with aircraft capable of __________________
air-dropping require detailed scrutiny/check-up 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. __________________
__________________
3.4.2.2 Aircraft capable of air-dropping are not permitted to
overfly Indian territory and are required to land at first
International Airport for Customs check.
3.4.2.3 Except for take-off or landing, such aircraft shall have

to maintain a minimum flight level FL100 while in Indian
airspace.
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:
(a) the replacing aircraft is not capable of air-dropping; or
(b) the approved flight scheduled time is not pre-poned

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
above.
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 pay-load of three tonnes provided it is fitted with
ACAS-II/TCAS-II. (Ref: AIC-05/1998).
1.3 ENTRY, TRANSIT AND DEPARTURE OF PASSENGERS

AND CREW
1. CUSTOMS REQUIREMENTS
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.
(a) Passengers must ensure to file correct declaration of

their baggage.
(b) Passengers walking through the green channel with

dutiable/prohibited goods are liable to prosecution/
penalty and confiscation of goods.
(c) 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 www.cbec.gov.in
Enquiries can be made at igiacustoms@hotmail.com.
Enquiries can also be made from the following officers of the
Customs Department;
Commissioner of Customs, New Delhi at telephone numbers Notes

Deputy Commissioner (Admn) 91-11-25652088, Additional __________________
Commissioner 91-11-25652090, Commissioner of Customs __________________
(General) 91- 11-25652970. __________________
__________________
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.
__________________
(a) Provisions of Baggage Rules are also extended to
unaccompanied baggage except where they have been
specifically excluded.
(b) 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.
(c) 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.
(d) 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
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 re-export 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

(a) 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.
(i) Where the value of Foreign Currency notes exceeds

US$5000 or equivalent.
(ii) 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. __________________
__________________
(b) 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.
OTHER INFORMATION
(a) 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.
(b) Trafficking of narcotic drugs and psychotropic

substances is prohibited.
Notes (c) Export of goods purchased against foreign exchange

__________________ brought in by foreign passengers are allowed except for
__________________ prohibited goods.
__________________
(d) Carrying of Indian currency notes in the denomination
__________________ of Rs. 500 and Rs. 1000 to Nepal is prohibited.
__________________
(e) 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.
__________________
__________________
(f) 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.
(g) 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 re-import 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 :
PROHIBITED GOODS
 Narcotic Drugs and Psychotropic substances.
 Pornographic material
 Counterfeit and pirated goods and good infringing any Notes

of the legally enforceable intellectual property rights. __________________
__________________
 Antiquities.
__________________
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 dead.
 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
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.
__________________
Mis-declare their goods at the Red Channel Attempt to export
prohibited or restricted goods Abet the commission of any of
the above offences
THE PENAL PROVISION MAY LEAD TO :
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 person-in-charge 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.
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 person-in- __________________
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. IMMIGRATION REQUIREMENTS
2.1 Pre-requisite for entry into India:
(i) Foreigner should have valid travel documents such as
visa, passports etc.
(ii) 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.
(iii) Nepalese visiting India by air from third country other

then Nepal or Bhutan should carry national passport
and Indian visa.
(iv) Foreigner should not be an insane person.
(v) Foreigner should not be suffering either from a

loathsome disease or an infectious disease.
Notes (vi) Foreigner should not have been sentenced abroad for
__________________ an extraditable offence.
__________________
(vii) His entry should not have been banned by any
__________________
government agency.
__________________
__________________ (viii) Foreigners coming from or through yellow fever
countries must come with proper vaccination
__________________
certificate.
__________________
__________________ (ix) 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:
(i) Valid national passport;
(ii) 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;
(iii) 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:
(i) Seamen being repatriated:
Foreign seamen, who are signed on at an Indian port,
are under the terms of their articles required to be
returned for discharge to the port of their engagement. Notes

If 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. __________________
__________________
(ii) 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
Documents.
2.1.4 Non-scheduled flights:
Members of crew of non-scheduled 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.
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 10-year 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
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. PUBLIC HEALTH REQUIREMENTS

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
fever.
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 Pilot-in-Command 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 Pilot-
in-Command of the aircraft to proceed to Kolkata or Mumbai
or any other place as may designated by the Airport Health
Officer and Pilot-in-Command of the aircraft shall obey such
directions.
3.7 No departure formalities are required for embarking

passengers.
1.4 ENTRY, TRANSIT AND DEPARTURE OF CARGO

1. Customs requirements concerning Cargo and
other articles
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.

1.5 AIRCRAFT INSTRUMENTS, EQUIPMENT AND FLIGHT Notes

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 __________________
purpose.
__________________
2. 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
A. All aeroplane shall be fitted with radio communication

equipment capable of
(a) Conducting two-way communication for aerodrome

control purposes.
(b) Receiving meteorological information at any time

during flight, and
(c) 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
Notes communication equipment shall be capable of

__________________ operating on SSB mode.
__________________
B. 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
__________________
__________________ A. All aeroplanes shall be provided with navigation
__________________ equipment, which will enable it to proceed:
__________________
(a) In accordance with its operational flight plan;
__________________
(b) In accordance with prescribed Required Navigation
Performance (RNP) types; and
(c) In accordance with the requirements of air traffic

services;
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.
B. 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
which:
(a) 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:
(b) Has been authorised by DGCA for MNPS operations

concerned.
C. 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:
(a) Shall be provided with equipment which is capable

of:
(i) Indicating to the flight crew the flight level Notes

being flown; __________________
__________________
(ii) Automatically maintaining a selected flight
level; __________________
__________________
(iii) 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 __________________
__________________
(iv) Automatically reporting pressure-altitude; and
__________________
(b) Shall be authorised by DGCA for operation in the __________________
airspace concerned.
D. 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.
E. 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.
F. 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.
3. Carriage of Pressure Altitude Reporting

Transponder
All aeroplane having maximum certified take-off 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.
Notes The requirements for installation of Pressure Altitude

__________________ Reporting Transponder are laid down in the CAR Section 2
__________________ Series. R. Part IV.
__________________
4. Carriage of Airborne Collision Avoidance System
__________________ (ACAS)
__________________
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:
__________________
__________________
(a) 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,
(a) 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.
(b) 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.
(c) A twin jet engined aeroplane having maximum certified

passenger seating configuration of less than 10 and a
maximum certified take-off mass less than 5700 Kg, if
such aeroplane is not equipped with approved ACAS I.
4. 4 Unless otherwise authorised by DGCA, no person shall Notes

acquire for the purpose of operation In Indian airspace, from __________________
1st January, 2004; __________________
__________________
(a) 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. __________________
__________________
(b) 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. __________________
(c) A twin jet engined aeroplane having maximum certified

passenger seating configuration of less than 10 and a
maximum certified take-off 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.
5. 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.
1.6 SUMMARY OF INDIAN REGULATIONS AND INTER-

NATIONAL AGREEMENTS/CONVENTIONS
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 :
1. Air Transport Services:
Rule 134 and Schedule XI of Aircraft Rules, 1937 and

Civil Aviation Requirements Section 3. Air Transport—
Notes “Provides for the minimum airworthiness, operational

__________________ and other general requirements for grant of permit for
__________________ air transport operations in India.”
__________________
2. 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.”
__________________
3. 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.”
4. Radio Telegraph apparatus:
Rule 9 of the Aircraft rules, 1937—Provides for the

operation of radio telegraph apparatus by licensed
person.
5. Prohibited areas:
Rule 12 and Schedule I of Aircraft Rules, 1937—Provides

for the areas prohibited for flying.
6. 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.”
7. 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 __________________
licences.” __________________
__________________
8. Dropping of articles and decent by parachute:
__________________
Rule 26 of the Aircraft Rules, 1937—“Provides for the __________________
requirement for dropping of articles/descent by
parachute.”
9. Air Traffic Services:
Civil Aviation Requirements Section 4. Aerodrome

Standards and Air Traffic Services.
Provides for requirements for Aerodrome Standards and

Air Traffic Services.
10. National Legislation:
Aircraft Manual (India) Volume II provides the

national legislation.
i. The Air Corporation Act, 1953 (27 of 1953)
ii. The Air Corporations (Transfer of Undertakings

and repeal) Ordinance, 1994 (4 of 1994)
iii. The Air Corporations (Transfer of Undertakings

and repeal) Act, 1994 (13 of 1994)
iv. The International Airports Authority of India Act,

1971 ( 43 of 1971)
v. The National Airports Authority of India Act, 1985

( 64 of 1985)
vi. The Airports Authority of India Act, 1994 ( 55 of

1994)
vii. The Carriage by Air Act, 1972 ( 69 of 1972)

Notes viii. The Tokyo Convention Act, 1975 ( 20 of 1975)

__________________
ix. The Anti-hijacking Act, 1982 (65 of 1982)
__________________
x. The Anti-hijacking (Amendment) Act, 1994 (39 of
__________________
1994)
__________________
xi. The Suppression of Unlawful Acts Against Safety
__________________
of Civil Aviation Act, 1982 (66 of 1982)
__________________
__________________
xii. The Suppression of Unlawful Acts Against Safety
of Civil Aviation (Amendment) Act, 1994 (40 of
__________________
1994)
__________________
__________________
xiii. Notification regarding application of the Carriage
by Air Act, 1972, to carriage by air which is not
International.
11. International Conventions:
Aircraft Manual (India) Volume II provides the
details of following International Conventions.
i. Chicago Convention, 1944
ii. The International Air Services Transit
Agreement, 1944
iii. The International Air Transport Agreement,
1944
iv. Protocol on the Authentic Trilingual Text of the
Convention on International Civil Aviation, 1944
v. Warsaw Convention, 1929
vi. The Hague Protocol, 1955
vii. Guatemala City Protocol, 1971
viii. The Additional Protocol No. 1, 1975
ix. The Additional Protocol No. 2, 1975
x. The Additional Protocol No. 3, 1975
xi. The Montreal Protocol No. 4, 1975
xii. Gualdalajara Convention, 1961
xiii. Geneva Convention, 1948
xiv. Rome Convention, 1952
xv. Tokyo Convention, 1963
xvi. The Hague Convention, 1970 Notes

__________________
xvii. Montreal Convention, 1971
__________________
xviii. Montreal Protocol, 1988
__________________
xix. Montreal Convention, 1991 __________________
12. 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. __________________
13. 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.
14. 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
Requirements.
15. 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.
16. 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.”
17. 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
Notes from mental disorders or epilepsy in aircraft, prisoners

__________________ and animals, birds and reptiles in the aircraft.”
__________________ 18. Smoking in Aircraft:
__________________
Rule 25 of the Aircraft Rules, 1937—“provides
__________________
requirements for smoking in an Indian registered
__________________ aircraft.”
__________________
19. Fuelling of Aircraft:
__________________
Rule 25A of the Aircraft Rules, 1937—“provides
__________________
requirements for fuelling of aircraft.”
__________________
__________________
20. 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.
Questions
General Questions
1. What are the main functions and responsibilities of
Ministry of Civil Aviation?
2. Write main functions and responsibilities of Airports Notes

Authority of India. __________________
__________________
Objective Type of questions __________________
a. Various rules and regulations pertaining to Indian Civil __________________
Aviation are contained in the document known as ——. __________________
__________________
b. State True or False
__________________
i. The registration certificate of a new aircraft in India __________________
is issued by —
__________________
ii. Investigation of accident/ incident to any passenger __________________
aircraft is conducted by —as per Indian aircraft
rules.
iii. “No prior permission is required for any aircraft

operating outside the Indian territory, however, it
an operator intends to perform a non-scheduled
flight into, from or over Indian territory, it is
necessary for to apply and obtain prior approval of
DGCA. ”- True/False
iv. “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

a. “Aircraft Manual”.
b. State True or False
i. DGCA
ii. DGCA
iii. True
iv. True
UNIT 5 Aircraft Rescue and Fire Fighting Services. 113
Notes
Unit 5 __________________
__________________
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
worker.
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 5-1.-Requirements for combustion.

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.5-2) that takes place in a fire that allows the fire to both
__________________ sustain itself and grow.
__________________
__________________
__________________
__________________
__________________
__________________
Figure 5-2.-Chain reaction.
This process of fire is now called the "fire tetrahedron." See

figure 5-3.
Figure 5-3.-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.
1. Smothering: removing the oxygen.

2. Cooling: removing the heat. Notes

__________________
3. 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 fire.
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
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 low-velocity
__________________
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 petroleum-based 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 re-ignition. The
extinguishing agents recommended for combating class B
fires are CO2, PKP, Halon, and Aqueous Film-Forming 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.
The most effective tactic is to de-energize 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 fire-fighting
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 fire-fighting

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 smoke-filled 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.
Notes
__________________
AFFF is composed of synthetically produced materials
__________________
similar to liquid detergents. These film-forming agents are
__________________
capable of forming water solution films on the surface of
__________________ flammable liquids.
__________________
AFFF concentrate is non-toxic and biodegradable in diluted
__________________
form. When proportioned with water, AFFF provides three
__________________
fire-extinguishing advantages.
__________________
__________________ 1. An aqueous film is formed on the surface of the fuel that
prevents the escape of the fuel vapours.
__________________
2. The layer effectively excludes oxygen from the fuel
surface.
3. 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, non-corrosive 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 non-conductor 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
fires involving reactive metals like magnesium and Notes

titanium. __________________
__________________
__________________
Halon is a halogenated hydrocarbon. Halon 1211, known __________________
chemically as bromo-chloro-difluoromethane, 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 fire-fighting equipment.
__________________
Potassium bicarbonate (PKP) is a dry chemical principally

used as a fire-fighting 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 non-toxic. 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 (JP-4, JP-5, and JP-8), engine oils, oxygen systems, and
hydraulic fluids constitute problems in aircraft fire-fighting.
Under aircraft crash impact conditions where fuel-air mixtures
or mists are created, all fuels are easily ignited.
Notes
__________________
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.
__________________
__________________
__________________
JP-4 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
__________________ minute.
__________________
JP-5 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 full-fledged 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
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 built-in 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 fire-fighting 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.
Anti-icing fluids are usually a mixture of about 85-percent

alcohol and 15-percent glycerine. While not as great as other
aircraft hazards, however alcohol used in aircraft anti-icing
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 self-contained breathing
apparatus.
Notes
__________________
Alkaline or nickel-cadmium 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 strength-to-weight 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 fire-fighting units must attempt to extinguish fires
involving carbon-fibre-reinforced composites as quickly as
possible and to provide maximum containment of the aircraft
debris.
Composite materials reinforced with boron fibres also provide

superior stiffness, a high strength-to-weight 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.
Notes
__________________
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 cut-off 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
5-1 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 5-1 below for that category,
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 5-1: 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
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 5-1A. The minimum number of
rescue and fire fighting vehicles provided at an aerodrome
are in accordance with the following.
Table 5-1A
Category of aerodrome ARFF vehicles.

1 to 5 1.
6, 7 2.
8 3.
9 4.
10 5.
Notes
__________________
__________________
__________________
__________________
Fire Station of Cochin International Airport Limited (CIAL), __________________
Kochi __________________
__________________
5.10 Vehicle performance. __________________
ARFF vehicles would meet all the requirements outlined in __________________
Table 5-2 below. __________________
Table 5-2: Suggested minimum characteristics for rescue and

fire fighting vehicles.
RFF vehicles upto 4500 RFF vehicles over 4500

litre litres
Monitor Optional for Categories Required
1&2.
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
nozzles
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
drive
capability
Automatic Yes Required
and semi
automatic
transmission
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
departure
Minimum 30 degree 28 degree
angle of tilt
(static)
Notes ARFF vehicles and equipment are subjected to inspection

__________________ schedules and tests on a daily, weekly, monthly, quarterly,
__________________ half-yearly 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
5.3.
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
Table5-2 would arrive no more than one minute after the
first responding vehicle(s) so as to provide continuous agent
application.
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.
/minute
Categor (L) (L) (L) (L) (Kg)
y
(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
5. 8100 4500 5400 3000 180 Contd...
6. 1180 6000 7900 4000 225
0
7. 1820 7900 12100 5300 225
0
8. 2730 10800 18200 7200 445
0
9. 3640 13500 24300 9000 450
0
10. 4820 16600 32300 11200 450
0
me 1 solution 1 /minute powders.
/minute
Categor (L) (L) (L) (L) (Kg)
y
(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
5. 8100 4500 5400 3000 180 Notes
6. 1180 6000 7900 4000 225 __________________
0
7. 1820 7900 12100 5300 225 __________________
0
__________________
8. 2730 10800 18200 7200 445
0 __________________
9. 3640 13500 24300 9000 450
0 __________________
10. 4820 16600 32300 11200 450 __________________
0
__________________
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
criteria.
The primary attack agent for ARFF vehicles would be aqueous
film forming foam (AFFF), performance conforming to level
B, as given below in table 5-4. Requisite quantities of foam
compound would be maintained at each station in
conformation with ICAO guidelines.
Table 5-4
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
Notes / ISO or equivalent. The discharge rate of the foam solution

__________________ would not be less than the rates shown in Table-5-2. 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
service.
5.16 Emergency access roads

Emergency access roads would be provided on an aerodrome
where terrain conditions permit their construction, to
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 / up-gradation 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
established.
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
(a) types of emergencies planned for viz.;.
 aircraft crash.
 aircraft emergencies (local standby, visibility
standby & full emergency);.
 bomb threat;.
 unlawfully seized aircraft;.
 building fires; and.
 national / natural disasters.
(b) agencies involved in the plan;.
(c) 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
crash;.
(d) information on names and telephone numbers of offices
or people to be contacted in the case of a particular
emergency; and.
(e) 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
emergency operations. It would provide for co-operation 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 corrected.
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) a list of equipment and personnel on, or in the vicinity
of, the aerodrome which would be available for such
purpose; and.
(b) arrangements for the rapid receipt of aircraft recovery
equipment kits available from other aerodromes.
17. ICAO Annex 14 to the Convention on International Civil

Aviation-Volume I-' Aerodrome Design and Operations',
Fourth Edition, July 2004
18. Civil Aviation Requirements, Section-4, 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.
19. ICAO Airport Services Manual (Doc 9137) Part 1 - Rescue

and Fire Fighting.
Notes 20. Airports Authority of India Air Traffic Services Manual

__________________
21. 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?

a. Class 'C' fire is caused due to ------.
b. Most suitable fire extinguishing agent for control of

burning aircraft fuel is ------
c. Four essential conditions for origination and

continuation of fire are Heat, Oxygen, Fuel and ----.
d. 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
e. 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
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 __________________

__________________
__________________
__________________
__________________
Answers to Objective Type of questions __________________
a. Electrical faults. __________________
__________________
b. Aqueous Film-forming Foam (AFFF)
c. Chain Reaction.
d. True
e. The Aerodrome Category is 10 (Highest of all)

UNIT 6 ICAO Standards & Recommended Practices 135
Notes
Unit 6 __________________
__________________
ICAO Standards & __________________
Recommended Practices __________________

__________________
__________________
INTERNATIONAL CIVIL AVIATION __________________
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 border-crossing 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 line-of-command 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.
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 never-ending cycle of flights. In
__________________
fact, modern aviation is one of the most complex systems of
__________________ interaction between human beings and machines ever
__________________ created.
__________________
This clock-work 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
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 Co-operation Bureau, the Legal
Bureau, and the Bureau of Administration and Services.
ICAO PUBLICATIONS
A. The ICAO Bulletin: This document is published 12
times annually and contains a digest of ICAO meetings
and activities for the previous period.
B. 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
C. 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
D. 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.
E. Supplementary Procedures: Certain procedures apply

only in specific regions and those are published as
Supplementary Procedures.
Notes F. 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.
__________________ G. 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
__________________ H. 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.
ANNEXES TO THE CONVENTION

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
2. Annex 2, Rules of the Air, contains rules relating to

conducting visual and instrument flight
3. Annex 3, Meteorological Service for International Air

Navigation, provides for meteorological services for
international air navigation and reporting of
meteorological observations from aircraft
4. Annex 4, Aeronautical Charts, contains specifications

for aeronautical charts used in international aviation
5. Annex 5, Measurement Units Used in Air and Ground

Operations, lists dimensional systems to be used in air
and ground operations
6. Annex 6, Operation of Aircraft, enumerates Notes

specifications 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
__________________
7. Annex 7, Aircraft Nationality and Registration __________________
Marks, specifies requirements for registration and __________________
identification of aircraft
__________________
8. Annex 8, Airworthiness of Aircraft, specifies uniform
procedures for certification and inspection of aircraft
9. Annex 9, Facilitation, provides for simplification of

border-crossing formalities
10. Annex 10, Aeronautical Telecommunications,

volume 1, provides for standardization of
communications equipment and systems, and volume 2
standardizes communications procedures
11. Annex 11, Air Traffic Services, includes information

on establishing and operating air traffic control, flight
information, and alerting services
12. Annex 12, Search and Rescue, provides information

on organization and operation of facilities and services
necessary for search and rescue
13. Annex 13, Aircraft Accident Investigation, provides

for uniformity in notification, investigation, and
reporting on aircraft accidents
14. Annex 14, Aerodromes, contains specifications for the

design and equipment of aerodromes
15. Annex 15, Aeronautical Information Services,

includes methods for collecting and disseminating
aeronautical information required for flight operations
16. Annex 16, Environmental Protection, contains

specifications for aircraft noise certification, noise
Notes monitoring, and noise exposure units for land-use

__________________ planning (volume 1) and aircraft engine emissions
__________________ (volume 2)
__________________
17. Annex 17, Security-Safeguarding International Civil
__________________ Aviation Against Acts of Unlawful Interference, specifies
__________________ methods for safeguarding international civil aviation
__________________ against unlawful acts of interference
__________________
18. Annex 18, The Safe Transport of Dangerous Goods
__________________
by Air, contains specifications for labelling, packing, and
__________________ shipping dangerous cargo.
__________________
ICAO STANDARDS & RECOMMENDED
PRACTICES
Standard
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 non-compliance.
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
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; and __________________
 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 Annex-14 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)
Non-precision approach runways
4.2.7 The following obstacle limitation surfaces shall be
established for a non-precision approach runway:
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 on-going 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
organizations.
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
meetings that most of the work is finalized and the necessary Notes
consensus reached. __________________
__________________
In the development, a number of consultative mechanisms
__________________
are used:
__________________
Air Navigation meetings are divisional-type 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.
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
prepared.
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.
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
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 safety-related 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 safety-related 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 safety-related 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
Universal Security Audit Programme was launched to Notes

similarly help States identify deficiencies in the __________________
implementation of security-related 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 on-going 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

singled-minded 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.
References
1. Various related ICAO Annexes & Documents
2. ICAO Website http://www.icao.int/
Questions
General Questions.
1. Write different steps involved in development of SARPs
starting from “Proposal stage” till “implementation”.
2. How SARPs are adopted and published

a. ‘There are 18 ICAO Annexes, which contain — that have
been adopted through International agreement.
b. 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
—-
Notes c. 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
__________________
non-compliance. It is denoted by the words —-
__________________
__________________ Answers to Objective Type of questions
__________________
a. ‘Standards and Recommended Practices (SARPs)”
b. shall
c. should
UNIT 7 Civil Aviation Security 149
Notes
Unit 7 __________________
__________________
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
__________________
terrorism.
__________________
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.
CRIMES OF 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, in-flight attack on
aircraft, ground attack on aircraft, damage to air navigation
facilities etc.
SOME GLARING CASES OF UNLAWFUL

INTERFERENCE
Some of the glaring cases related to hijacking and sabotage
are enumerated below,
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 DC-8 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 VC-10 of BOAC (British
__________________
Overseas Airways Corporation) was also taken to Dawson.
__________________ Later the hijackers off-loaded 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 Dar-es-Salaam to Rwandan capital Kigali
was hit down by a missile killing both the Presidents and
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 take-off. 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).
Security
Airport security provides a first line of defence by attempting
to stop would-be 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
airports.
The airline security checks are carried out by the Security

personnel of concerned airlines, who are employed, trained
and made responsible for carrying out pre-boarding Security
checks of person and baggage. (Pre-boarding Security checks
are conducted after the airport security checks are over).
Notes In addition, airlines are also performing security checks

__________________ inside the aircraft. Some airlines do this by employing on-
__________________ board guards (armed or un-armed). These guards may be
__________________ sitting with the passengers in disguise at various strategic
__________________ locations inside the cabin (Like El-Al 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 would-be 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
installations.
Normally the following procedures in steps are adapted to

carry out the security checks at our airports;
1. 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.
2. The passenger it made to pass through Door Frame

Metal Detectors (DFMD), which normally works on the
principle of eddy current inspection.
3. The Check-in 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.
4. The passenger then goes to get the boarding pass, and Notes
then gives the “Security Checked” baggage to the airline __________________
counter for moving it to conveyor belt for loading on to __________________
the aircraft. __________________
5. The Cabin baggage (Carry on Baggage) is then carried __________________
by the passenger to the security hold (Sterile Area) after __________________

undergoing X-Ray check for the baggage and physical __________________
checking (Frisking), passing through Door Frame Metal __________________
Detectors (DFMD) and checking through Hand Held __________________
Metal Detectors (HHMD). __________________
6. 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.
7. 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
baggage.
8. 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.
9. 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
compartment).
Notes 10. 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.
__________________
__________________ 11. 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.
__________________
CENTRAL INDUSTRIAL SECURITY FORCE (CISF)
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-

814) 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 long-term 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.
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.
PREVENTIVE MEASURES
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
Notes much difficult to carry weapons or similar other restricted

__________________ articles into the aeroplanes.
__________________
For example in October 1968 in USA an ex-naval 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
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 self-defence).
__________________
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
seizures.
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.
INSPECTION/SCREENING OF PASSENGERS IN
INDIA
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 X-ray machines metal
detectors and various other means. For this purpose special
training is provided to security personnel in handling airport
security.
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
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
belonging.
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
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 Heathrow-New 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.
ADDITIONAL VIGIL
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
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 B-29
__________________ 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 low-velocity 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.)
USE OF CLOSED CIRCUIT TV

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

airport such as passenger lounge arrival departure lounges __________________
check-in 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
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 carry-on
__________________ 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 X-ray examinations of baggage was

introduced. Under this system the baggage is passed through
X- ray beams over conveyer belts. The X-rays 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.
X-ray system has another feature known as film safe

procedure. X-ray beams used for X-ray 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.
MODERN TECHNIQUES Notes

__________________
(TNA, VAPOUR DETECTION, SMART X-RAY AND TOMOG- __________________
RAPHY) __________________
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
“carry-on 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 chemi-luminescence 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
mass-spectrography are used which is a variation on the
vapour analysis theme.
Notes Another effective process is called “Enhanced X-Ray system

__________________ (also known as “Smart X-Ray system”). In this process X-ray
__________________ 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
__________________
air-passengers can be determined.
__________________
__________________ As a matter of fact the enhanced X-ray 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 CAT-Scanning. 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 X-ray images are required to be interpreted
manually by the security officials. This is a difficult job as
the images are superimposed, overlapped and cluttered.
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.
IMPROVEMENTS
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
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. __________________
__________________
References:
__________________
1. BCAS website http://www.bcasindia.nic.in/ __________________
2. DGCA Website http://dgca.nic.in/ also http://dgca.gov.in/ __________________

__________________
__________________
4. Ministry of Civil Aviation website http:// __________________
civilaviation.nic.in/
5. “Aviation Terrorism” –Bimal K. Srivastava, 1998 Manas

Publications, Ansari Road, Daryaganj, New Delhi-110002
8. Various Air Safety Circulars, AICs and other important

notification issued by DGCA
Questions
General Questions.
1. Write different steps taken by various security
personnel for security checking of a passenger travelling
from Delhi Airport to Mumbai with baggage.
2. What types of modern techniques are used in controlling

the security problems?
3. What are the area falling under the jurisdiction of “City

Side Security”
4. What are the area falling under the jurisdiction of “Air

Side Security”

a. It is possible to identify the presence of RDX and plastic
bombs by using ——-
Notes b. DFMD is a security equipment, which stands for —

__________________
c. HHMD is a security equipment, which stands for —-
__________________
__________________ d. Name the Annex Number of ICAO dealing with the
__________________ Aviation Security
__________________
__________________
__________________ a. Smart X-Ray and Tomography
__________________ b. Door Framed Metal Detector
__________________
c. Hand Held Metal Detector.
__________________
d. Annex 17
UNIT 8 Role of DGCA/BCAS in Aviation Safety and Security 167
Notes
Unit 8 __________________
__________________
Role of DGCA/BCAS in __________________
Aviation Safety and Security __________________

__________________
__________________
THE DIRECTOR GENERAL OF CIVIL AVIATION __________________
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.
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
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 non-scheduled
__________________ flights of such operators
__________________  Conducting investigation into accidents/incidents and
__________________ taking accident prevention measures including
__________________ formulation of implementation of Safety Aviation
__________________ Management Programmes
__________________  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
Convention
 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
oversight
 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;
 Coordination at national level for flexi-use 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; __________________
 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 __________________
required; __________________
__________________
 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
Regis tered aircraft accid ent s, 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.
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.
ORGANISATION
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
(ICAO).
 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, I-III floor, Janpath
Bhavan, Janpath, New Delhi-110001. 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 __________________
(CA). __________________
__________________
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
organizations.
 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 -
a. Surprise/Dummy checks to test professional

efficiency and alertness of security staff.
b. Mock exercise to test efficacy of Contingency Plans

and operational preparedness of the various
agencies.
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
Notes Aviation Security such as anti-hijacking, anti-sabotage, Bomb

__________________ Threat & Bomb Detection etc.
__________________
__________________
References
__________________ 9. DGCA Website http://dgca.nic.in/ also http://dgca.gov.in/
__________________
__________________
__________________ 11. BCAS website http://www.bcasindia.nic.in/
__________________ 12. Ministry of Civil Aviation website http://
__________________ civilaviation.nic.in/
__________________
Questions
General Questions.
1. What are the main functions/responsibilities of BCAS
in India?
2. What are the main functions/responsibilities of DGCA

in India?

a. Regulatory authority of Civil aviation Security in India
is -----
b. Registration of an Indian Civil aircraft is done by -----
c. A pilot, who is retired from Indian Air Force, but flying

as a commander in Air India can get his B747 licence
renewed from IAF-True/False.

a. BCAS
b. DGCA
c. False
UNIT 9 Aviation Safety Human Factor 173
Notes
Unit 9 __________________
__________________
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 1988-31 December 1990. They found
that most accidents had more than one contributing factor,
and out of that over 70% of the accidents involved pilot
factors.
Fatal accidents to fixed wing aircraft - broad accident factors

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

design-induced or stimulated by inadequate training, badly
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.
(a) In December 1972 - an L1011 crashed in the Florida

Everglades and a B-737 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.
(b) In 1974, a B-707 crashed during approach at Pago-Pago

in Samoa, with a loss of 96 lives. A visual illusion related
to the black-hole phenomenon was a cause factor.
(c) In 1974, a DC-10 crashed after take-off 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.
(d) In 1974, a B-727 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.
Notes (e) In 1977, two B-747s 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
__________________ 153-AN/98).
__________________ (f) In 1977, a DC-8 crashed after take-off in Alaska. The
__________________ influence of alcohol on pilot performance was cited as a
__________________ factor.
__________________ (g) In 1979, a DC-10 crashed into Mount Erebus in Antartica.
__________________ Information transfer and data entry errors played a role
__________________ in the accident.
(h) In 1982, a B-737 crashed after take-off in icing conditions

in Washington. Erroneous engine thrust readings
(higher than actual), and the co-pilot's lack of
assertiveness in communicating his concern and
comments about aircraft performance during the take-
off run were among the factors cited. .
(i) 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.).
(j) In 1984, a DC-10 overran the runway at John F. Kennedy

Airport in New York. Excessive reliance on automation
was noted in the accident report.
(k) Excessive reliance on automation was also listed as a

factor in a loss of control incident in 1985, in which a B-
747 lost 20,000 feet in less than two minutes and
sustained structural damage.
(l) In 1987 an MD-80 crashed on take-off in Detroit. The

pilots had not set the flaps, thus violating standard
operating procedures. Also, the take-off configuration
warning did not sound, for undetermined reasons.
CASE HISTORY
(Ref: National Transportation Safety Board NTSB, USA
Aircraft Accident Report No. & Date NTSB-AAR-79-7, June
7, 1979)
About 1815 Pacific Standard Time on December 28, 1978, Notes

United Airlines, Inc., DC-8-61 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.
TYPES OF HUMAN FACTORS

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.
Notes Human Factors can be classified into four primary categories:

__________________ aero-medical, 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.
__________________
__________________  AEROMEDICAL
__________________
Medical Health
__________________
__________________ Psychological State
__________________  PHYSIOLOGICAL
Limits & Capabilities
 PERFORMANCE
Limits & Capabilities
 SYSTEMS DESIGN
AEROMEDICAL PROBLEMS
Medical Health Problems:
- FATIGUE
- INADEQUATE NUTRITION
- FLYING WHEN SICK
- SELF-MEDICATION
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.
CAUSES
- COMPETITIVENESS
- DESIRE TO COMPLETE MISSION

- DENIAL Notes
__________________
- INADEQUATE REST
__________________
- NOISE/VIBRATION STRESS __________________
- CIRCADIAN (24-Hrs rhythmic biological __________________

Cycle) DISTURBANCES __________________
__________________
- EXCESSIVE PHYSICAL STRESS
__________________
- 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
Notes subsequent categories (physiological and performance-based

__________________ 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.
__________________
INDICATORS
__________________
__________________ - DISINTEGRATION OF SKILLED
__________________ PERFORMANCE
__________________ - TASK FIXATION
__________________
- COMMUNICATION PROBLEMS
- PERCEPTUAL DISTORTION
- SLOWED REACTION TIME
- DECREASED ATTENTION SPAN
- CONFUSION
- INCREASED RISK TAKING
- COMPLACENCY (A feeling of reduced

awareness of danger ahead.)
CURES
Administration
Ensure that crew health is monitored regularly &

sick crews are not scheduled.
Conduct aero medical training re: health issues,

human limitations, etc
Crew
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.
Notes
__________________
- DISRUPTION OF PSYCHO-SOCIAL
__________________
INTERACTIONS
__________________
- CRIMINAL BEHAVIOR __________________
- ONSET OF PSYCHOPATHOLOGY __________________

__________________
- SUICIDE
__________________
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.
CAUSES
- ENGAGEMENT/WEDDING/ SEPARATION/
DIVORCE
- LONG SEPARATION FROM FAMILY
- BREAKDOWN IN COPING SKILLS/

COMPARTMENTALIZATION
- FALSE SELF-IMAGE
- CHANGE OF JOB STATUS
- ILLNESS
- DEATH OF FRIEND, FAMILY
- FINANCIAL PROBLEMS
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.
__________________
INDICATORS
__________________
__________________ CHRONIC PERIODS OF
__________________ - APATHY (Lack of interest in things)/ EUPHORIA
__________________ (An exaggerated or false feeling of happiness)
__________________
- ANXIETY
- IRRITABILITY/NEGATIVITY
- WITHDRAWN
- SLEEP LOSS/MENTAL FATIGUE
- ILLNESS
- PERFORMANCE DECREMENTS
- INCREASED RISK TAKING
- MOOD SWINGS
- SUICIDAL IDEATIONS/ATTEMPTS
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.
COMPARTMENTALIZATION (To separate into

distinct parts)
A HEALTHY COPING MECHANISM
TOTAL COMPARTMENTALIZATION
NOT POSSIBLE! Notes

__________________
__________________
STRESSORS DECREASE ABILITY TO __________________
__________________
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.
CURES
Administration
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.
Crews
They should co-operate and should not hide any

problem.
In case of any problem they should themselves offer

for not flying.
PHYSIOLOGICAL ISSUES
There are a number of physiological issues which are
addressed under the umbrella term of 'human factors'. Many
Notes of them fall under one of the four general categories are listed
__________________ here.
__________________
 PHYSIOLOGICAL FUNCTIONING IN THE
__________________
AEROSPACE ENVIRONMENT
__________________
__________________  SURVIVAL AND SAFETY
__________________  AEROSPACE PHYSIOLOGY TRAINING
__________________
 PROTECTIVE EQUIPMENT AND SYSTEMS
__________________
__________________ Aircrew performance has been shown to be affected by the
__________________ nature and scope of these factors.
PHYSIOLOGICAL FUNCTIONING IN THE

AEROSPACE ENVIRONMENT
- FLIGHT OPERATIONS
- ACCELERATION
- VIBRATIONS
- NOISE/ HEARING
- VISUAL SYSTEM/ VISION ENHANCERS

(NVDS)
- THERMAL ENVIRONMENT
- PHYSICAL FITNESS
SURVIVAL AND SAFETY
GENERAL SURVIVAL SKILLS
SAFETY IN CARRIER OPS
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.
AEROSPACE PHYSIOLOGY TRAINING
ALTITUDE
EGRESS (A place to Exit or escape)
VISUAL PROBLEMS
SURVIVAL Notes
__________________
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. __________________
PROTECTIVE EQUIPMENT & SYSTEMS __________________
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.
Administration:
 ENSURE PERSONNEL HAVE RECEIVED/

AREPROVIDED WITH NECESSARY
PHYSIO.TRAINING.
 ENSURE CURRENCY AND PROVIDE FOR

REFRESHERS IF NECESSARY.
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).
PERFORMANCE ISSUES
- HUMAN LIMITS/ERROR
- SITUATION AWARENESS
Notes - INFORMATION PROCESSING

__________________
- WORKLOADS
__________________
__________________ - SYCHO-MOTOR ISSUES (or pertaining to
__________________ movement produced by action of the mind or will.)
__________________ - AIRCREW & GROUNDCREW COORDINATION
__________________
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.
__________________
PROBLEMS:
LOSS OF AIRCRAFT CONTROL
INABILITY TO COMPLETE MANEUVER/MISSION
BREAKDOWN IN DISCIPLINE
POOR HEADWORK
LOSS OF SITUATION AWARENESS
SPATIAL DISORIENTATION
These are some of the primary causes of degraded flight

performance most often noted in mishap analyses.
CAUSES:
AEROMEDICAL/INTERPERSONAL PROBLEMS
WORKLOAD-CAPABILITIES MISMATCH
COGNITIVE - TASK INCOMPATIBILITY (Cognitive- an

information processing view of an individual's
psychological functions.)
INADEQUATE MISSION PREPARATION
LACK OF TRAINING/EXPERIENCE
FAULTY OR INADEQUATE MENTAL MODEL OF
SYSTEM/TASK
Some of the more prominent behavioural indicators are listed Notes

here. __________________
__________________
PERFORMANCE ISSUES
__________________
POOR HEADWORK __________________
ERRORS OF OMISSION __________________

__________________
CHANNELIZED OR LACK OF ATTENTION
__________________
POOR/INADEQUATE CREW COORDINATION __________________
__________________
DEGRADED AIRCRAFT CONTROL
__________________
SLOPPY PROCEDURES/NATOPS VIOLATIONS
HOW CAN WE MINIMIZE/PREVENT IT?
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.
SOLUTIONS
RECOGNIZE PERSONAL LIMITS
MINIMIZE DISTRACTIONS
PRIORITIZE
NEVER ASSUME ANYTHING!
PRE-PLAN
STAY AHEAD OF AIRCRAFT
CREW COORDINATION TRAINING
SYSTEM DESIGN
COCKPIT DESIGN
AVIONICS AND DISPLAYS

Notes EGRESS SYSTEMS

__________________
CONTROLS
__________________
__________________ LIGHTING
__________________
DESIGN FOR MAINTAINENACE PERSONNEL
__________________
__________________ EASY ACCESS
__________________ HANDLING FEATURES
__________________
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
program.
KEY ELEMENTS OF A HUMAN FACTORS PROGRAM
- AN EFFECTIVE OPERATIONAL RISK

ASSESSMENT PROCESS
- INCORPORATE HF INTO SAFETY PROGRAM
- HF COUNCIL/BOARD
- ONGOING HF TRAINING FOR ALL

PERSONNEL
- AN EFFECTIVE OPERATIONAL RISK

ASSESSMENTPROCESS
INCORPORATE HF INTO SAFETY PROGRAM
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
Factors necessitates an ongoing program of training and Notes

awareness. __________________
__________________
ONGOING HF TRAINING FOR ALL PERSONNEL
__________________
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.
__________________
References __________________
__________________
1. The Human Factor in Naval Aviation Safety, Cdr Andy
__________________
Bellenkes Force Aviation Human Factors Safety Officer,
Comnavairlant Code N452, USA
2. Document No. CAP 719, Fundamental Human Factors

Concepts, -A publication of Civil Aviation Authority,
U.K.
3. Document No. CAP 716, Aviation Management Human

Factors, -A publication of Civil Aviation Authority, U.K.
4. ICAO as Circular number 216-AN/131. Human Factors,

Digest No. 1 "Fundamental Human Factors Concepts".
5. Department of Transport and Regional Development,

USA, Bureau of Air Safety Investigation-Human Factors
in Fatal Aircraft Accidents.
Questions
General Questions.
1. 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?
2. 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.
3. Describe briefly the various categories of human factors.

Notes Objective Type of questions

__________________
a. As per statistical records, maximum number of aircraft
__________________
accidents are caused due to -----
__________________
__________________ b. Human Factors can be classified into four primary
__________________
categories: aero-medical, ------, performance, and design.
__________________
__________________
a. Human Factors.
__________________
__________________ b. Physiological.
__________________
UNIT 10 Air Operation Areas Safety Management 191
Notes
Unit 10 __________________
__________________
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
 Aviation Fuel Handling
 Aircraft Rescue and Fire fighting (ARFF)
 De-icing (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.
 Refuelling
 Aircraft servicing-catering, cleaning, food service
 Baggage and cargo handling
 Ground Power supply
 Routine checks and maintenance

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
blast.
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.
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.
De-icing
The problem of de-icing 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
Notes the take off of the aircraft, by the spray of de-icing 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 take-off 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 runway.
 Miscellaneous: Due to any reason not covered under any

of the above mentioned groups (e.g. due equipment
failure).
Runway incursion prevention programme involves 4 groups

of persons/services.
1. Pilots of aircraft.
2. Drivers of vehicle /Pedestrians/Personal working at the

airports.
3. Aerodrome owner/operator.
4. 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
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.
 Communications
 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.
(a) Listen before you transmit.
(b) If able, monitor RT communication to have mental

picture of Airport activity.
(c) Keep communications with the controller clear and

concise.
(d) Ensure you understand all instructions. Never

assume.
(e) Read back runway hold short instructions verbatim.
2. Airport knowledge: Ground operations can be the most

demanding and complex phase of the flight.
(a) Review airport diagrams before taxing or landing.

Notes (b) Keep the airport diagrams including taxi routings

__________________ readily available.
__________________
(c) Be alert to airport vehicle and pedestrian activity.
__________________
__________________
(d) Maintain situational awareness of proximity to
Runway at all times.
__________________
__________________ (e) Comply with Holding Point markings/signage
__________________ 3. Cockpit procedures: Pilots can use proven and
__________________ effective procedures in the cockpit to help conduct safe
__________________ operations on the ground and during take-off and
__________________ landing.
(a) Avoid unnecessary conversation, during

movements, takeoff, and landing.
(b) Constantly scan outside the cockpit, especially

when on runways.
(c) If lost notify Air Traffic Control immediately.
(d) Make your aircraft visible by proper use of aircraft

lights.
(e) If unfamiliar with the airport do not hesitate to

request progressive taxi instructions.
(f) Insure proper radio telephony operation and check

audio panel, volume control and squelch settings.
4. 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.
5. 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.
II. Guidelines applicable to Airport owners/ Operators and

Airside vehicle Drivers:
1. The term ground aids commonly refers to Aerodrome
Signs, Markings, Lightings and any other appearance
or object that is utilized to help guide the users of the Notes

Airport. __________________
__________________
2. 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.
3. 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
4. All operations by vehicles on the runways or taxiways

require individual authorization from control tower,
even for pass holders in each individual case.
5. 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.
6. Faded signs and incorrectly placed signs often lead to

runway incursion. Frequent and random inspection
shall be carried out to prevent the above.
7. Deficiency in the aerodrome marking and visual aids

often lead to runway incursion.
Notes 8. All runway markings are white. This is to differentiate

__________________ them from taxiway markings.
__________________
9. Equip all airside vehicles with ICAO compliant
__________________
markings and lighting.
__________________
__________________ 10. Provide airside escort vehicle to, vehicles/ aircraft
unfamiliar with aerodrome layout/ procedure.
__________________
__________________ 11. Runway side strip markings shall always be provided
__________________ for precision approach runway.
__________________
12. All taxiway markings are yellow to differentiate them
__________________ from runway markings.
13. Runway holding position marking shall be in yellow

colour.
14. Aerodrome signs are divided in to mandatory instruction

signs and information signs.
15. 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.
16. 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 stand-alone will have yellow border. All other
information signs will have black inscription on yellow
background.
17. 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.
18. 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.
III. Guidelines for Air Traffic Controllers: Notes

__________________
1. Apply existing ICAO standards and recommended
__________________
practices and procedures.
__________________
2. Vehicles and aircraft shall not be permitted to hold __________________
closer to the runway than the applicable runway holding __________________
positions.
__________________
3. 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.
__________________
4. Controller shall listen to the read back of clearances
and instructions to enter, land on, take-off, hold short
of, cross and back-track 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.
5. ROGER and WILCO do not constitute a read-back.

Correct read-backs are mandatory.
6. 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.
7. Be alert for similar call signs, change call signs

temporarily if required.
8. Avoid expectation bias i.e. hearing what is expected

instead of what is really said.
9. In poor visibility conditions visual surveillance may be

augmented by Radar if available.
10. 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.
Notes 11. 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.
__________________
12. To reduce the potential for misunderstanding, the take-
__________________ off clearance shall include the designator of the
__________________ departure runway.
__________________
13. 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.
14. 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
HOLDING POSITION".
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 ultra-
safe 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
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 "off-the-shelf" or "one-size-fits-all" system,
__________________
and some fine-tuning is needed in every organization
implementing SMS.
Advantages
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 wing-tip in the hangar or less than refusing a
flight request because risks were not properly assessed and
mitigated (just to take rather "happy-ending" 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 9859-AN/460 containing
the details of Safety Management System.
Safety Management Systems of ICAO-General Descrip-

tion
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
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 pre-determined plan, and applied in a consistent
manner throughout the organization.
Proactive-An 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
procedures.
 Providers (operators, organizations-In 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:
 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 __________________

__________________
1. 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
2. Safety Hazard identification and risk management
2.1 Hazard identification processes
2.2 Risk assessment and mitigation processes
2.3 Internal safety investigations
3. 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.
4. Safety Promotion
4.1 Training and Education
4.2 Safety Communication

Notes 5. Emergency response Planning

__________________
5.1 Development of the Emergency response Plan.
__________________
__________________ Difference between SMS & Quality Management
__________________
SMS QMS
__________________
Focuses on Safety, human & Focuses on Products of an operation
__________________ organizational aspects of an (i.e. Customer satisfaction)
operation (i.e. Safety
__________________
satisfaction)
__________________
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
identified.
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.
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
Aviation.
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.
Systems
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:
1. ensure that the established level of safety applicable to

the provision of ATS within an airspace or at an
aerodrome is met.
Notes 2. ensure that safety-related 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
basis.
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
monitor and endorse the continuing competency of those Notes

personnel. __________________
12. comply with ICAO standards for ATS messages __________________
recording and access to recordings on a continuing basis. __________________

__________________
14. ensure that processes are in place which assure the
provision of facilities for safe navigation on an on-going __________________
basis. __________________
__________________
References __________________
1. DGCA CAR Section 4 - Aerodrome & Air Traffic __________________

Services, Series 'X' Part IV, 17-10-07, "Runway Safety __________________
Programme and formation of Runway Safety Teams".
2. Aeronautical Information Circular 6 of 2006.
3. ICAO Runway Safety Toolkit and DOC. 9870.
4. FAA, 2000 Publication-The National Blueprint for the

Runway Safety.
5. ICAO Document DOC 9859-AN/460 (Safety Management

Manual).
6. Federal Aviation Administration (FAA) Advisory

Circulars on SMS
7. Commercial Aviation Safety by Alexander T. Wells,

Ed.D. & Clarence C. Rodrigues, Ph.D., P.E.
8. Various Circulars and notifications on "Safety

Management System" issued by DGCA.
9. 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.
10. AAI Air Traffic Services Manual.
11. Civil Aviation Authority, UK Publication CAP 730-Safety

Management Systems for Air Traffic Management.
12. Civil Aviation Authority, UK Publication CAP 642-

Airside Safety Management Systems.
Notes 13. Federal Aviation Administration (FAA) Acquisition

__________________ System Toolset (FAST)- System Safety Management
__________________ Program / Section 1 (Revised 12/2004)
__________________
14. 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.
__________________
1. 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.
2. Define manoeuvring area and movement area at an

airport.
3. What are the objectives of ATS Safety management

system
4. What are precautions required to be taken for vehicle

operations at the air side.

a. Ramp operations on an airport include------
b. Foreign Object Damage (FOD) to an aircraft can be

caused by the following;----
c. Three major areas where pilots can help are; i)

Communications ii) Airport knowledge and iii) ----

a. -Aircraft servicing, catering, cleaning, cargo loading,
refuelling etc.
b. Aircraft engines sucking a loose stone lying on the

runway.
c. Cockpit procedures for maintaining orientation.

UNIT 11 Air Transport Safety Management Principle 209
Notes
Unit 11 __________________
__________________
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 CONCEPT OF SAFETY

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:
(a) zero accidents (or serious incidents), a view widely held
by the travelling public;
(b) the freedom from danger or risks, i.e. those factors which
cause or are likely to cause harm;
(c) the attitude towards unsafe acts and conditions by
employees (reflecting a "safe" corporate culture);
(d) the degree to which the inherent risks in aviation are
"acceptable";
(e) the process of hazard identification and risk
management; and
(f) the control of accidental loss (of persons and property,
and damage to the environment).
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 human-made 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 NEED FOR SAFETY 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.
11.3.2 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 ICAO REQUIREMENTS

11.4.1 Safety has always been the overriding consideration
in all aviation activities. This is reflected in the aims and
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 __________________
follows: __________________
 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
procedures.
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
(a) identify safety hazards;
(b) ensure that remedial actions necessary to mitigate the

risks/hazards are implemented; and
Notes (c) 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.
__________________
11.4.7 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 performance-based 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
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
achieved;
-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
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:
(a) 0.5 fatal accidents per 100 000 hours for airline operators
(safety indicator) with a 40 per cent reduction in five
years (safety target);
(b) 50 aircraft incidents per 100 000 hours flown (safety

indicator) with a 25 per cent reduction in three years
(safety target);
(c) 200 major aircraft defect incidents per 100 000 hours
flown (safety indicator) with a 25 per cent reduction over
the last three-year average (safety target);
(d) 1.0 bird strike per 1 000 aircraft movements (safety

indicator) with a 50 per cent reduction in five years
(safety target);
(e) no more than one runway incursion per 40 000 aircraft

movements (safety indicator) with a 40 per cent
reduction in a 12-month period (safety target); and
(f) 40 airspace incidents per 100 000 hours flown (safety

indicator) with a 30 per cent reduction over the five-
year moving average (safety target).
11.4.15 The safety requirements to achieve these safety Notes

targets and safety indicators include: __________________
__________________
(a) the oversight authority accident prevention programme;
__________________
(b) a mandatory occurrence reporting system; __________________
(c) a voluntary occurrence reporting system; __________________

__________________
(d) a bird strike programme; and
__________________
(e) 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 12-month period (safety target) and -
among others - the establishment of low visibility taxi
procedures (safety requirement).
11.6 APPROACHES TO SAFETY MANAGEMENT

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.
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

10-6 (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.
11.5.6 The steps of the safety management process outlined Notes

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

insurance.) __________________
2. Eliminate the risk entirely (possibly by ceasing that __________________
operation or practice).
3. Accept the risk and continue operations
unchanged.
4. Mitigate the risk by implementing measures to
reduce the risk or at least facilitate coping with
the risk.
When selecting a risk management strategy, care is

required to avoid introducing new risks that result in
an unacceptable level of safety.
(e) Approve strategies.
(f) Assign responsibilities and implement strategies.
(g) Re-evaluate situation.
(h) 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
implementation.
Safety oversight
11.5.8 The term safety oversight refers to the activities of a
State under its safety programme, while safety performance
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
incidents.
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.
11.5.13 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 implemented.
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 cost-benefit 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,
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
11.6 ACCIDENTS VERSUS INCIDENTS

11.6.1
a) An accident is an occurrence during the operation of an

aircraft which entails:
1) a fatality or serious injury;
2) substantial damage to the aircraft involving

structural failure or requiring major repair; or
3) the aircraft is missing or is completely inaccessible.
b) 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.
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 1-10-30-600 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.
Figure-----1: 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.
AIRCRAFT OPERATIONS
11.7 GENERAL
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,
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:
__________________
(a) hazard and incident reporting; __________________
__________________
(b) Flight Data Analysis (FDA);
__________________
(c) Line Operations Safety Audit (LOSA); and __________________
(d) cabin safety.
11.8 HAZARD AND INCIDENT REPORTING

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
operations.
Benefits
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.
Notes 11.8.3 An accident or incident may not result from these

__________________ hazards immediately because "front-line 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 in-house 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 short-term
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.
11.8.7 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.
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 off- __________________
the-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:
__________________
(a) British Airways Safety Information System (BASIS)
__________________
website at http://www.winbasis.com.
(b) INDICATE (Identifying Needed Defences in the Civil

Aviation Transport Environment), developed in
Australia, website at http://www.atsb.gov.au.
(c) Aircrew Incident Reporting System (AIRS) was

developed by Airbus Industrie
11.9 FLIGHT DATA ANALYSIS (FDA) PROGRAMME

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 LINE OPERATIONS SAFETY AUDIT (LOSA)

PROGRAMME
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 day-to-
day 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

operations.
Notes 11.11 CABIN SAFETY PROGRAMME

__________________
__________________ 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
__________________ include:
__________________
(a) in-flight turbulence;
(b) smoke or fire in the cabin;
(c) decompression;
(d) emergency landings;
(e) emergency evacuations; and
(f) 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.
11.11.4 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 in-flight 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
emergency.
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;

(b) role during emergency evacuations; Notes

__________________
(c) use of emergency equipment;
__________________
(d) flight- and duty-time limits; and __________________
__________________
(e) training.
__________________
__________________
__________________
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:
(a) aircraft inspections (e.g. emergency exits, emergency

equipment, and galleys);
(b) pre-flight (ramp) inspections;
(c) in-flight cabin inspections (e.g. passenger briefings and

demonstrations, crew briefings and use of checklists,
crew communications, discipline, and situational
awareness);
(d) training inspections (e.g. facilities, quality of instruction,

and records); and
(e) 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
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:
__________________
(a) 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;
__________________
(b) 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
(c) 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 Non-Scheduled/Air Taxi Operators. For new operators
seeking permission to commence operations, it was to be a
pre-requisite for the grant of the operating permit.
The main points of the CAR are given below;
11.13 SAFETY REGULATION OF FLIGHT OPERA-

TIONS
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
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, check-lists and other
operations documents shall be kept up-to-date by the
operations offices. The operator shall remain on the mailing
list of the suppliers of these documents for the purpose of
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:
(a) the flight and duty time limitations are complied with;
(b) their licences, instrument ratings etc. are maintained

valid;
(c) Validity of their medical checks.
(d) all proficiency checks are carried out as per the

procedures and within the stipulated periods; and
(e) periodic refreshers are undergone as required.
For this purpose, a fool-proof 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
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: __________________
__________________
i. Commencement of operations after long leave/
__________________
grounding i.e. more than 30 days;
__________________
ii. Corrective training and checks after failure in a __________________
proficiency check. __________________
11.13.13 The operators shall establish specific operating __________________
procedures/precautions for:
i. Operations to critical airports of their operating

network i.e. airports surrounded by hilly/difficult
terrain, satellite airfields etc;
ii. Operations to airfields having marginal runway length;
iii. Operations during monsoon period; and
iv. Operations during winter to airfields which become fog

bound.
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 pre-flight 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.
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 over-water 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.
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
conditions.
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
stations.
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 wet-leased 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
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
maintained.
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.
11.13.36 The operators shall emphasize to all their pilots that Notes
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 __________________
respectively. __________________
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 feed-back and analysis, voluntary
reporting system and prompt investigation of incidents and
implementation of safety recommendations.
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
requirements.
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
operators shall submit to the DGCA, while applying for Notes

renewal of the Operating Permit, the following information: __________________
__________________
(a) 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 services. __________________

__________________
(b) Report of the in-house 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.
11.14. IMPLEMENTATION OF SAFETY OVERSIGHT

PROGRAMME OF FLIGHT OPERATIONS.
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 in-house
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.
11.14.2 The day-to-day safety regulation and in-house

monitoring of the flight operations should be exercised by
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 day-to-day 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.
11.15. INDUSTRY CONSULTATION AND REVIEW Notes
OF IMPLEMENTATION OFTHE SAFETY __________________
REGULATION AND OVERSIGHT __________________
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.
References:
 ICAO Doc 9859-AN/460-Safety Management Manual
(SMM)
 CAA, UK CAP 712, Safety Management Systems for

Commercial Air Transport Operations-A 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:

www.faa.gov/avr/afs/atos on Air Transport Oversight
System.
 ICAO Document DOC 9859-AN/460 (Safety Management

Manual).
 Various DGCA Circulars and notifications on "Safety

Management System".
Notes Questions
__________________
__________________ General Questions.
__________________ 1. What is the difference between the Safety Performance
__________________ Indictors and Safety Targets? Give examples.
__________________
2. What is meant by Safety Management System (SMS)?
__________________
What are its advantages and describe various steps
__________________
involved in implementation of SMS?
__________________
__________________
3. In establishing States' requirements for the management
of safety, how ICAO differentiates between safety
__________________
programmes and safety management systems (SMS).
4. How Aircraft Accidents and incidents are related to each

other state in the context of 1:600 Rule.

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

a. auditing the implementation of safety related standards
of an organization.
b. Proactive
UNIT 12 Principles of System Safety 239
Notes
Unit 12 __________________
__________________
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:
1. Plan: The safety risk management process shall be
predetermined, documented in a plan that must include
the criteria for acceptable risk.
2. Hazard identification: The hazard analyses and
assessments required in the plan shall identify the
safety risks associated with the system or operations
under evaluation.
3. Analysis: The risks shall be characterized in terms of
severity of consequence and likelihood of occurrence in
accordance with the plan.
4. 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.
5. Decision: The risk management decision shall include

the safety Comparative Safety Assessment. Comparative
Safety Assessments may be used to compare and contrast
options.
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 Off-the-Shelf (COTS) and Non-developmental
Items (NDI). A System Safety Management Plan is needed
in the Pre-investment 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
applicable.
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.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
Figure 12-1: 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 cost-effective
accident prevention as is defining cost and performance
parameters.
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 sub-categories 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
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 12-2 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 12-2, contributory hazards involve consideration of
the system state (e.g., operating environment) as well as
failures or malfunctions.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
Figure 12-2: 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 12-2 and Table 12-3.
Table 12-2: 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

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

operators)
Minor occupational illness and/or minor environmental

damage, and/or minor property damage
No Safety Has no effect on safety

Effect
Table 12-3:
Likelihood of Occurrence Definitions
Probable Qualitative: Anticipated to occur one or more times

during the entire system/operational life of an item.
Quantitative: 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.

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.

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.

operational hour is less than 1 x 10 -9
Definitions of Severity and Likelihood Notes

__________________
An example taken from MIL-STD-882C of the definitions
__________________
used to define Severity of Consequence and Event Likelihood
__________________
are in Tables 12-4 and 12-5, respectively.
__________________
Table 12-4: 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
damage. __________________
Marginal III Minor injury, minor occupational illness,

and/or minor system damage, and/or
Negligible IV Less then minor injury, occupational

illness, or less then minor system or
Table 12-5: Event Likelihood (Probability)
Description Level Specific Event
Frequent A Likely to occur frequently
Probable B Will occur several times in the life of

system.
Occasional C Likely to occur some time in the life of the

system.
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

Classifications
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 12-6.
FAA Federal Aviation Administration, USA
JARs Joint Aviation Regulations with European countries
FAR Federal Aviation Administration Regulations.
Notes 2
Aircraft Performance Comparative Safety Assessment
__________________ Model (APRAM), Rannoch Corporation, February 28, 2000
__________________
Table 12-6 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.
Risk acceptance criteria to be used in the FAA AMS Notes

(Acquisition Management System) process are shown in __________________
Figure 12-3 and Figure 12-4. __________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
Figure 12-3: Risk Acceptability Matrix
Figure 12-4: Risk Acceptance Criteria
An example based on MIL-STD-882C is shown in Figure 12-

5. 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 12-5

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.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
Figure 12-5: 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:
1. establishing risk acceptability parameters;
2. practical tradeoffs between engineering design and

defined safety risk parameters;
3. avoidance of alternative approaches with high safety

risk potential;
4. defining system test requirements to demonstrate safety

characteristics; and,
5. safety planning for follow-on 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
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 work.
 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 MIL-STD-
882, and AMJ 25.1309.
 Many hazards may be associated with a single risk. In

predictive analysis, risks are hypothesized accidents,
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.
Decision-makers 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 decision-makers are made aware of the risks
being assumed when the system becomes operational.
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 12-7.
__________________
Table 12-7: 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
devices.
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.
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 after-the-fact 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
involvement.
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.
Real-time safety analysis is conducted when operational

personnel are involved in the identification of hazards and
risks, which is the key to behavioural-based safety. The
concept consists of a “train-the trainer” format.
The behavioural-based safety process allows an organization

to create and maintain a positive safety culture that
continually reinforces safe behaviours over unsafe
behaviours. This will ultimately result in a reduction of risk. Notes

For further information concerning behavioural-based safety __________________
contact the FAA’s Office of System Safety. __________________
__________________
12.8 Models Used by System Safety for Analysis __________________
The AMS (Acquisition Management System) system safety __________________
program uses models to describe a system under study. These __________________
models are known as the 5M model and the SHELL model. __________________
While there are many other models available, these two __________________
recognize the interrelationships and integration of the
__________________
hardware, software, human, environment and procedures
__________________
inherent in FAA systems. FAA policy and the system safety
approach is to identify and control the risks associated with
each element of a system on a individual, interface and
system level.
The first step in performing safety risk management is

describing the system under consideration. This description
should include at a minimum, the functions, general physical
characteristics, and operations of the system. Normally,
detailed physical descriptions are not required unless the
safety analysis is focused on this area.
Keep in mind that the reason for performing safety analyses

is to identify hazards and risks and to communicate that
information to the audience. At a minimum, the safety
assessment should describe the system in sufficient detail
that the projected audience can understand the safety risks.
A system description has both breadth and depth. The

breadth of a system description refers to the system
boundaries. Bounding means limiting the system to those
elements of the system model that affect or interact with
each other to accomplish the central mission(s) or function.
Depth refers to the level of detail in the description. In
general, the level of detail in the description varies inversely
with the breadth of the system. For a system as broad as the
National Airspace System (NAS) our description would be
very general in nature with little detail on individual
components. On the other hand, a simple system, such as a
valve in a landing gear design, could include a lot of detail to
support the assessment.
Notes The SYSTEM is defined as: “A composite at any level of

__________________ complexity, of personnel, procedures, material, tools,
__________________ equipment, facilities, and software. The elements of this
__________________ composite entity are used together in the intended
__________________ operation or support environment to perform a given
task or achieve a specific production, support, or
__________________
mission requirement.”
__________________
__________________ Graphically, this is represented by the 5M and SHELL
__________________ models, which depict, in general, the types of elements that
__________________
should be considered within most systems.
__________________
12.8.1 Five M Model
Figure 12-6: The Five-M Model
Mission: The mission is the purpose or central function of

the system. This is the reason that all the other elements
are brought together.
Man: This is the human element of a system. If a system

requires humans for operation, maintenance, or installation
this element must be considered in the system description.
In aviation, this includes not only the pilot, but all other
persons directly involved with the operation of aircraft like
flight crew, ground crew, ATC, meteorologist etc.
Machine: This is the hardware and software (including

firmware) element of a system. In aviation, this includes the
aircraft including its systems & associated software.
Management: Management includes the procedures, policy,

and regulations involved in operating, maintaining, installing,
and decommissioning a system.
Media- Media is the environment in which a system will be Notes

operated, maintained, and installed. This environment __________________
includes operational and ambient conditions. Operational __________________
environment means the conditions in which the mission or __________________
function is planned and executed. Operational conditions are __________________
those involving things such as air traffic density,
__________________
communication congestion, workload, etc. Part of the
__________________
operational environment could be described by the type of
__________________
operation (air traffic control, air carrier, general aviation,
etc.) and phase (ground taxiing, takeoff, approach, enroute, __________________
transoceanic, landing, etc.). __________________

__________________
Ambient conditions are those involving temperature,
humidity, lightning, electromagnetic effects, radiation,
precipitation, vibration, etc.
12.8.2 SHELL Model

In the SHELL model, the match or mismatch of the blocks
(interface) is just as important as the characteristics
described by the blocks themselves. These blocks may be re-
arranged as required to describe the system. A connection
between blocks indicates an interface between the two
elements.
Each element of the system should be described both

functionally and physically if possible. A function is defined
as An action or purpose for which a system, subsystem,
or element is designed to perform.
Functional description: A functional description should

describe what the system is intended to do, and should
Notes include subsystem functions as they relate to and support

__________________ the system function. Review the FAA System Engineering
__________________ Manual (SEM) for details on functional analysis.
__________________
Physical characteristics: A physical description provides
__________________ the audience with information on the real composition and
__________________ organization of the tangible system elements. As before, the
__________________ level of detail varies with the size and complexity of the
__________________ system, with the end objective being adequate audience
__________________ understanding of the safety risk.
__________________ Both models describe interfaces. These interfaces come
__________________ in many forms. The table below is a list of interface types
that the system engineer may encounter.
Interface Type Examples
Mechanical Transmission of torque via a driveshaft. Rocket motor in

an ejection seat.
Control A control signal sent from a flight control computer to an

actuator. A human operator selecting a flight
management system mode.
Data A position transducer reporting an actuator movement

to a computer. A cockpit visual display to a pilot.
Physical An avionics rack retaining several electronic boxes and

modules. A computer sitting on a desk. A brace for an air
cooling vent. A flapping hinge on a rotor.
Electrical A DC power bus supplying energy to an anti-collision

light. A fan plugged into an AC outlet for current. An
electrical circuit closing a solenoid.
Aerodynamic A stall indicator on a wing. A fairing designed to prevent
vortices from impacting a control surface on an aircraft.
Hydraulic Pressurized fluid supplying power to an flight control

actuator. A fuel system pulling fuel from a tank to the
engine.
Pneumatic An adiabatic expansion cooling unit supplying cold air

to an avionics bay. An air compressor supplying
pressurized air to an engine air turbine starter.
Electromagnetic RF signals from a VOR . A radar transmission.
References:
1. FAA System Safety Handbook, Chapter 3: Principles of
System Safety December 30, 2000
2. Air Force System Safety Handbook Air Force Safety

Agency, Kirtland AFB NM 87117-5670, Revised July 2000
3. Dryden Handbook Codes, System Safety Handbook, Notes

NASA __________________
__________________
4. 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.
__________________
1. Describe various elements of 5M Model of System __________________
Engineering.
2. Give a brief description of the four elements of the

SHELL Model of a system.
3. What are the Severity Definitions for FAA AMS

(Acquisition Management System) Process?
4. What is concept of Risk Management System

a. 5M Model of System Engineering consists of Man,
Machine, management, — and ——.
b. The four elements of the SHELL Model of a system

represent Software, Hardware, — and ——.

a. Mission & Media.
b. Liveware & Environ.

UNIT 13 Reliability Fundamental Theories 259
Notes
Unit 13 __________________
__________________
Reliability Fundamental __________________
Theories __________________
__________________
__________________
Reliability Theory __________________
Reliability theory is the probabilistic and statistical __________________

foundation of reliability engineering, which is a branch of __________________
engineering practice that has become increasingly important __________________
as the complexity and necessary precision of engineering
artefacts has increased.
In order to get an insight of the developments that have taken
place over the passage of years, let us take the case of the
modern aeroplanes. The aeroplane of the yester years, (Say
in 1915) were single or double seater, built of wood and canvas
with a simple rotary internal combustion engine, wire operated
manual simple control surfaces, fixed undercarriage, and no
brakes. The aeroplanes of 1940 were multi-engined, high
speed, built of metal, had a complex propeller driven engine,
still had manual, wire operated, simple controls, but had
retractable undercarriage with brakes, often hydraulically
operated, and could carry a number of passengers. The
aeroplanes of 1960 (e.g. DC-8, B707) were pressurized, used
to fly at very high altitude with jet speed, built of riveted metal
sheet, powered by an axial flow jet engine, had powered
assisted controls but still linked by rods to the control column,
hydraulically operated undercarriage, and carried radars and
radios and electronic navigation etc.
On the other hand the modern aeroplanes (e.g. Airbus A-
320) are a sophisticated structure of milled metal and
composite material components, with power operated
controls, computer controlled stability and manoeuvring
laws, many hydraulically and electrically operated
subsystems, radars, radios and electronic navigation systems
(Fly By Wire Technology, GPS and satellite assisted) etc.
Keeping the aeroplane of 1915 fit to fly was a straight forward
task comparable to keeping a car on the road. On the
Notes contrary, keeping a modern aeroplane fit to fly is a complex

__________________ task which, in the worst cases, could make the operational
__________________ time to maintenance time ratio too small to be economic or
__________________ practical. Consideration of reliability and maintainability has
__________________ to be a primary design criterion of such aircraft alongside
the other operational requirements and parameters.
__________________
__________________ These stimuli led to the development of reliability and
__________________
maintainability engineering as a distinct engineering
specialization. Although the stimulus came from particular
__________________
application areas, the consequences of the better understanding
__________________
of reliability engineering have filtered into almost every branch
__________________
of engineering. The modern motor car has benefited enormously
from the improvements in reliability developed in other arenas.
In the 1950s a typical car required servicing at 3000 mile
intervals (including greasing of many chassis parts), would
require a major engine overhaul (removing the engine from the
car, dismantling and refurbishing many parts) at 60,000 mile
intervals, used mechanical analogue ignition timing devices
(called a “distributor”), and often became a basket case due to
chassis rusting at about 6-8 years old. The developments in
reliability have extended the service intervals to 12,000 or
20,000 miles, the typical life of the engine to 200,000 miles or
more, the life of the main structure to 12-20 years, and made it
practical to incorporate power assistance for steering, brakes,
window operation, soft top operation, etc. Other everyday
engineering artefacts (e.g. washing machines, dish washers,
freezers) have similarly benefited.
What is Reliability theory

Reliability theory suggests that biological systems start their
adult life with a high load of initial damage. Reliability theory
is a general theory about systems failure. It allows
researchers to predict the age-related failure kinetics for a
system of given architecture (reliability structure) and given
reliability of its components. Reliability theory predicts that
even those systems that are entirely composed of non-aging
elements (with a constant failure rate) will also deteriorate
(fail more often) with age, if these systems are redundant in
irreplaceable elements. Aging, therefore, is a direct
consequence of systems redundancy.
Reliability theory also predicts the late-life mortality Notes

deceleration with subsequent levelling-off, as well as the late- __________________
life mortality plateaus, as an inevitable consequence of __________________
redundancy exhaustion at extreme old ages. The theory __________________
explains why mortality rates increase exponentially with age __________________
(the Gompertz law) in many species, by taking into account
__________________
the initial flaws (defects) in newly formed systems. It also
__________________
explains why organisms “prefer” to die according to the
__________________
Gompertz** law, while technical devices usually fail
according to the Weibull*** (power) law. Reliability theory __________________
allows to specify conditions when organisms die according __________________

to the Weibull law: organisms should be relatively free of __________________
initial flaws and defects. The theory makes it possible to find
a general failure law applicable to all adult and extreme old
ages, where the Gompertz and the Weibull laws are just
special cases of this more general failure law. The theory
explains why relative differences in mortality rates of
compared populations (within a given species) vanish with
age (compensation law of mortality), and mortality
convergence is observed due to the exhaustion of initial
differences in redundancy levels.
[**Benjamin Gompertz (March 5, 1779 - July 14, 1865,

England), was a self educated mathematician, and a Fellow
of the Royal Society. Gompertz is today mostly known for
his Gompertz’s law of mortality, a demographic model, which
establishes the relationship between number of individuals
at time, the intrinsic growth rate and the number of
individuals in equilibrium. This model was used by insurance
companies to calculate the cost of life insurance. ]
[***Waloddi Weibull born on June 18, 1887 originally came

from Denmark. Weibull’s Power Law states that the
logarithm of failure rates increases linearly with the
logarithm of age.]
Reliability theory is developed apart from the mainstream

of probability and statistics. It was originally a tool to help
nineteenth century maritime insurance and life insurance
companies compute profitable rates to charge their
customers. Even today, the terms “failure rate” and “hazard
rate” are often used interchangeably.
Notes The failure of mechanical devices such as ships, trains, and

__________________ cars, is similar in many ways to the life or death of biological
__________________ organisms. Statistical models appropriate for any of these
__________________ topics are generically called “time-to-event” models. Death
__________________ or failure is called an “event”, and the goal is to project or
forecast the rate of events for a given population or the
__________________
probability of an event for an individual.
__________________
__________________ When reliability is considered from the perspective of the
__________________ consumer of a technology or service, actual reliability
__________________
measures may differ dramatically from perceived reliability.
One bad experience can be magnified in the mind of the
__________________
customer, inflating the perceived unreliability of the product.
One plane crash where hundreds of passengers die will
immediately instil fear in a large percentage of the flying
consumer population, regardless of actual reliability data
about the safety of air travel.
Reliability theory of aging and longevity

Reliability theory of aging and longevity is a scientific
approach aimed to gain theoretical insights into mechanisms
of biological aging and species survival patterns by applying
a general theory of systems failure, known as reliability
theory as mentioned above.
Reliability theory allows researchers to predict the age-

related failure kinetics for a system of given architecture
(reliability structure) and given reliability of its components.
Applications of reliability-theory approach to the problem
of biological aging and species longevity lead to the following
conclusions:
1. Redundancy is a key of the notion for understanding

aging and the systemic nature of aging in particular.
Systems, which are redundant in numbers of
irreplaceable elements, do deteriorate (i.e., are aging)
over time, even if they are built of non-aging elements.
2. Paradoxically, the apparent aging rate or expression of

aging (measured as relative differences in failure rates
between compared age groups) is higher for systems Notes

with higher redundancy levels. __________________
__________________
3. Redundancy exhaustion over the life course explains the
__________________
observed ‘compensation law of mortality’ (mortality
convergence at later life, when death rates are becoming __________________
relatively similar at advanced ages for different __________________

populations of the same biological species), as well as __________________
the observed late-life mortality deceleration, levelling- __________________
off, and mortality plateaus. __________________
4. Living organisms seem to be formed with a high initial __________________
load of damage (HIDL hypothesis), and therefore their __________________

lifespan and aging patterns may be sensitive to early-
life conditions that determine this initial damage load
during early development. The idea of early-life
programming of aging and longevity may have important
practical implications for developing early-life
interventions promoting health and longevity.
5. Reliability theory explains why mortality rates increase

exponentially with age (the Gompertz law) in many
species, by taking into account the initial flaws (defects)
in newly formed systems. It also explains why organisms
“prefer” to die according to the Gompertz law, while
technical devices usually fail according to the Weibull
(power) law. Theoretical conditions are specified when
organisms die according to the Weibull law: organisms
should be relatively free of initial flaws and defects. The
theory makes it possible to find a general failure law
applicable to all adult and extreme old ages, where the
Gompertz and the Weibull laws are just special cases of
this more general failure law.
6. Reliability theory helps evolutionary theories to explain

how the age of onset of deleterious mutations could be
postponed during evolution, which could be easily
achieved by a simple increase in initial redundancy
levels. From the reliability perspective, the increase in
initial redundancy levels is the simplest way to improve
survival at particularly early reproductive ages (with
gains fading at older ages). This matches exactly with
Notes the higher fitness priority of early reproductive ages

__________________ emphasized by evolutionary theories. Evolutionary and
__________________ reliability ideas also help in understanding why
__________________ organisms seem to “choose” a simple but short-term
__________________ solution of the survival problem through enhancing the
systems’ redundancy, instead of a more permanent but
__________________
complicated solution based on rigorous repair (with the
__________________
potential of achieving negligible senescence). Thus there
__________________
are promising opportunities for merging the reliability
__________________ and evolutionary theories of aging.
__________________
Overall, the reliability theory provides a parsimonious
__________________
explanation for many important aging-related phenomena
and suggests a number of interesting testable predictions.
Therefore, reliability theory seems to be a promising
approach for developing a comprehensive theory of aging and
longevity integrating mathematical methods with specific
biological knowledge and evolutionary ideas.
Reliability theory of aging provides an optimistic perspective

on the opportunities for healthy life-extension. According to
reliability theory, human lifespan is not fixed, and it could
be further increased through better body maintenance,
repair, and replacement of the failed body parts in the future.
Failure rate
Failure rate is the frequency with which an engineered
system or component fails, expressed for example in failures
per hour. It is often denoted by the Greek letter ë (lambda)
and is important in reliability theory. In practice, the
reciprocal rate MTBF is more commonly expressed and used
for high quality components or systems.
Failure rate is usually time dependent, and an intuitive

corollary is that both rates change over time versus the
expected life cycle of a system. For example, as an automobile
grows older, the failure rate in its fifth year of service may
be many times greater than its failure rate during its first
year of service—one simply does not expect to replace an
exhaust pipe, overhaul the brakes, or have major power
plant-transmission problems in a new vehicle. So in the
special case when the likelihood of failure remains constant Notes

with respect to time (for example, in some product like a __________________
brick or protected steel beam), failure rate is simply the __________________
inverse of the mean time between failure (MTBF), expressed __________________
for example in hours per failure. MTBF is an important __________________
specification parameter in all aspects of high importance
__________________
engineering design— such as naval architecture, aerospace
__________________
engineering, automotive design, etc. —in short, any task
__________________
where failure in a key part or of the whole of a system needs
be minimized and severely curtailed, particularly where __________________
lives might be lost if such factors are not taken into account. __________________
These factors account for many safety and maintenance __________________
practices in engineering and industry practices and
government regulations, such as how often certain
inspections and overhauls are required on an aircraft. A
similar ratio used in the transport industries, especially in
railways and trucking is ‘Mean Distance Between Failure’,
a variation which attempts to correlate actual loaded
distances to similar reliability needs and practices. Failure
rates and their projective manifestations are important
factors in insurance, business, and regulation practices as
well as fundamental to design of safe systems throughout a
national or international economy.
Safety engineering
Safety engineering is an applied science strongly related
to systems engineering and the subset System Safety
Engineering. Safety engineering assures that a life-critical
system behaves as needed even when pieces fail.
In the real world the term “safety engineering” refers to any

act of accident prevention by a person qualified in the field.
Safety engineering is often reactionary to adverse events,
also described as “incidents”, as reflected in accident
statistics. This arises largely because of the complexity and
difficulty of collecting and analyzing data on “near misses”.
Increasingly, the importance of a safety review is being

recognized as an important risk management tool. Failure
to identify risks to safety, and the according inability to
address or “control” these risks, can result in massive costs,
Notes both human and economic. The multidisciplinary nature of

__________________ safety engineering means that a very broad array of
__________________ professionals are actively involved in accident prevention
__________________ or safety engineering.
__________________ Safety engineers distinguish different extents of defective
__________________ operation: A “failure” is “the inability of a system or
__________________ component to perform its required functions within specified
__________________ performance requirements”, while a “fault” is “a defect in a
__________________ device or component, for example: a short circuit or a broken
__________________
wire”. System-level failures are caused by lower-level faults,
which are ultimately caused by basic component faults. The
__________________
unexpected failure of a device that was operating within its
design limits is a “primary failure”, while the expected failure
of a component stressed beyond its design limits is a
“secondary failure”. A device which appears to malfunction
because it has responded as designed to a bad input is
suffering from a “command fault”. A “critical” fault endangers
one or a few people. A “catastrophic fault” endangers, harms
or kills a significant number of people.
Safety engineers also identify different modes of safe

operation: A “probabilistically safe” system has no single
point of failure, and enough redundant sensors, computers
and effectors so that it is very unlikely to cause harm (usually
“very unlikely” means, on average, less than one human life
lost in a billion hours of operation). An inherently safe system
is a clever mechanical arrangement that cannot be made to
cause harm – obviously the best arrangement, but this is not
always possible. A fail-safe system is one that cannot cause
harm when it fails. A “fault-tolerant” system can continue to
operate with faults, though its operation may be degraded
in some fashion.
These terms combine to describe the safety needed by

systems: For example, most biomedical equipment is only
“critical”, and often another identical piece of equipment is
nearby, so it can be merely “probabilistically fail-safe”. Train
signals can cause “catastrophic” accidents (imagine chemical
releases from tank-cars) and are usually “inherently safe”.
Aircraft “failures” are “catastrophic”, so aircraft are usually
“probabilistically fault-tolerant”. Without any safety features,
nuclear reactors might have “catastrophic failures”, so real Notes

nuclear reactors are required to be at least “probabilistically __________________
fail-safe”. __________________
__________________
The process
__________________
Ideally, safety-engineers take an early design of a system, __________________
analyze it to find what faults can occur, and then propose __________________
safety requirements in design specifications up front and __________________
changes to existing systems to make the system safer. In an
__________________
early design stage, often a fail-safe system can be made
__________________
acceptably safe with a few sensors and some software to read
__________________
them. Probabilistic fault-tolerant systems can often be made
by using more, but smaller and less-expensive pieces of
equipment.
Far too often, rather than actually influencing the design,

safety engineers are assigned to prove that an existing,
completed design is safe. If a safety engineer then discovers
significant safety problems late in the design process,
correcting them can be very expensive. This type of error
has the potential to waste large sums of money.
The exception to this conventional approach is the way some

large government agencies approach safety engineering from
a more proactive and proven process perspective. This is
known as System Safety. The System Safety philosophy,
supported by the System Safety Society, is to be applied to
complex and critical systems, such as commercial airliners,
military aircraft, munitions and complex weapon systems,
spacecraft and space systems, rail and transportation systems,
air traffic control system and more complex and safety-critical
industrial systems. The proven System Safety methods and
techniques are to prevent, eliminate and control hazards and
risks through designed influences by a collaboration of key
engineering disciplines and product teams. Software safety
is fast growing field since modern systems functionality are
increasingly being put under control of software. The whole
concept of system safety and software safety, as a subset of
systems engineering, is to influence safety-critical systems
designs by conducting several types of hazard analyses to
identify risks and to specify design safety features and
Notes procedures to strategically mitigate risk to acceptable levels

__________________ before the system is certified.
__________________ Additionally, failure mitigation can go beyond design
__________________ recommendations, particularly in the area of maintenance.
__________________ There is an entire realm of safety and reliability engineering
__________________ known as “Reliability Cantered Maintenance” (RCM), which
__________________ is a discipline that is a direct result of analyzing potential
__________________
failures within a system and determining maintenance
actions that can mitigate the risk of failure. This methodology
__________________
is used extensively on aircraft and involves understanding
__________________
the failure modes of the serviceable replaceable assemblies
__________________
in addition to the means to detect or predict an impending
failure. Every automobile owner is familiar with this concept
when they take in their car to have the oil changed or brakes
checked. Even filling up one’s car with gas is a simple example
of a failure mode (failure due to fuel starvation), a means of
detection (fuel gauge), and a maintenance action.
For large scale complex systems, hundreds if not thousands
of maintenance actions can result from the failure analysis.
These maintenance actions are based on conditions (e.g.,
gauge reading or leaky valve), hard conditions (e.g., a
component is known to fail after 100 hrs of operation with
95% certainty), or require inspection to determine the
maintenance action (e.g., metal fatigue). The Reliability
Cantered Maintenance concept then analyzes each individual
maintenance item for its risk contribution to safety, mission,
operational readiness, or cost to repair if a failure does occur.
Then the sum total of all the maintenance actions are bundled
into maintenance intervals so that maintenance is not
occurring around the clock, but rather, at regular intervals.
This bundling process introduces further complexity, as it
might stretch some maintenance cycles, thereby increasing
risk, but reduce others, thereby potentially reducing risk,
with the end result being a comprehensive maintenance
schedule, purpose built to reduce operational risk and ensure
acceptable levels of operational readiness and availability.
Data Analysis
The data can then be studied and analysed. The results will
provide us the steps to be taken for controlling the risk.
Safety certification Notes

__________________
Usually a failure in safety-certified systems is acceptable if,
__________________
on average, less than one life per 10 9 hours of continuous
__________________
operation is lost to failure. Most Western nuclear reactors,
medical equipment, and commercial aircraft are certified to __________________
this level. The cost versus loss of lives has been considered __________________
appropriate at this level by FAA for aircraft under Federal __________________
Aviation Regulations. __________________
__________________
Other countries also more or less follow similar procedures.
__________________
The Bow-Tie Diagram __________________
In 2004, the US Federal Aviation Authority (FAA) mandated

that its regulated entities employ a technique known as the
‘Bow-Tie Diagram’ as the main mechanism for “safety
analyses” (FAST 2004). This technique is also recommended
by other bodies responsible for safety in air traffic control
(EuroControl 2004) and safety management in hazardous
industries.
 Causes: potential causes of an undesirable Incident;
 Proactive Controls: actions taken to reduce the

likelihood of an undesirable Incident occurring;
 Incident: an event that can cause undesirable Outcomes;
 Reactive Controls: actions taken to reduce the impact

of an undesirable Incident; and
 Outcomes: potential results of an undesirable Incident.

Notes The left-hand side of the diagram is often called a ‘Fault Tree”,
__________________ which is a detailed analysis of the combination of causes
__________________ (‘faults’) that can possibly give rise to an undesirable incident,
__________________ while the right hand side is often called an Event Tree, which
__________________ is a detailed analysis of the Outcomes or Consequences of an
undesirable Incident.
__________________
__________________ (The Bow-Tie sequence is also termed:
__________________
Hazard  Preventative Controls  Incident  Mitigating
__________________
Controls  Consequences in some Safety Management
__________________ areas.)
__________________
In essence, the diagram attempts to answer the two
‘fundamental questions”: “what is the potential frequency of
a particular scenario occurring [i.e. left side/Fault Tree] and
secondly, what is its potential loss severity [i.e. right side/
Event Tree]”?
In industrial applications, Bow-Tie analyses are most often

employed to identify and assess the potentially disastrous
impact of the failure of mechanical components, such as
chemical containment vessels or airframe components.
In this relatively simple example, there is the potentially

disastrous incident of a flat tyre occurring during airplane
take-off. The causes are identified on the left and, on the
right, the conditions that give rise to various outcomes, some
much worse than others. In practice, of course, a diagram Notes

would be much more complex than this one. Advantages of __________________
using the “bow tie” assessment are often identified as (e.g. __________________
Euro Control 2004): __________________
 It provides a ‘common language’ for communication __________________
between independent risk managers and operational __________________

experts; __________________
__________________
 The full range of Causes (i.e. ‘inherent risks’) and
__________________
Proactive Controls (i.e. ‘residual risks’) can be shown
and discussed; __________________
__________________
 The combination and interaction of Causes and Proactive
Controls can be clearly illustrated; and
 Likewise the full range of Outcomes (i.e. Losses in Basel

terminology) and Reactive Controls can be illustrated
and discussed.
In summary, the complex linkages between possible Causes

and potential Outcomes can be made explicit and that assists
in drawing a clear picture for the precise drivers that
generate losses. Furthermore, if each stage of analysis, e.g.
moving from left to right, is carried out by experts and then
brought together into a coherent whole by independent risk
analysts/moderators then such a process should qualify for
being “robust and methodical” for Basel purposes.
Weaknesses
Of course the bow-tie technique is not a panacea; it is merely
a way of making risk management assumptions, analyses and
conclusions explicit.
It has known weaknesses, including:
 The quality of the final analysis will totally depend on

the quality of the analysis process and the analysts and
experts taking part: garbage in - garbage out;
 The technique does not help in uncovering underlying

causes, merely in making their consequences explicit,
there is therefore an earlier analysis step (i.e. Risk
Identification) required;
Notes  It is a ‘semi-quantitative’ methodology and hence

__________________ requires an additional step of estimating the impact of
__________________ each outcome numerically as required by Basel II, and
__________________
 It can be ‘gamed’ by staff members who may have a
__________________ different agenda, so requires additional supporting
__________________ information to be captured such as external data or other
__________________ documented factors which can suffice as evidence.
__________________
A methodical approach to estimating risk in any Scenario
__________________ Analysis exercise is extremely important. Research in ‘risk
__________________ perception’ shows, for example, that people will invariably
__________________ overestimate the likelihood of an event with which they have
some familiarity rather than a completely alien one and will
extrapolate from known situations to estimate an unknown
one, invariably not making a large enough adjustment (i.e.
will underestimate the risk). Furthermore, researchers have
found that ‘experts’ are over confident in their ability to
estimate accurately from small data samples. Nor does using
a number of experts, rather than one, to estimate risks
necessarily lead to a better estimation, as the well-known
phenomenon of ‘groupthink’ can lead groups to make
completely wrong, but agreed, conclusions.
The use of a Bow-Tie approach does not, of course, eliminate

these problems, merely reduces the likelihood of error by
segregating risk analysis into smaller, discrete, independent
components and reducing cross-contamination between them.
Of course it should be recognized, especially for low-probability
events, small errors in one part may be amplified in others – a
problem with all subjective techniques. Therefore a good
taxonomy is required for homogenous loss data collection that
can show when correlation factors are present for broad impacts
that cross over from one risk classification into another.
Application of the Bow-Tie Diagram in Scenario Analysis

A Bow-Tie diagram is a graphical representation of a
Scenario.
Having identified a ‘Scenario’, such as flat tyre in the FAA

example, the situation can be analysed in a methodical
manner, by experts, as follows:
 Identify potential Causes: using operational/business Notes

experts, risk managers and, if appropriate, external __________________
experts; __________________
__________________
 Assess the effectiveness of Proactive and Reactive
Controls: using independent internal/ external auditors __________________
and risk managers; __________________

__________________
 Identify and assess possible Outcomes: using
__________________
operational/business experts, risk managers and, where
__________________
possible, internal and external experience;
__________________
 Build a Bow-Tie model of the Scenario (i.e. Causes, __________________
Controls and Outcomes): using business and
independent assessments and, where available,
historical data and evaluate the range/distribution of
potential Outcomes and their sensitivity to assumptions
of the key parameters; and
 Refine the Model: based on business/risk management

feedback and any additional analyses required.
In order to satisfy the requirements, such a process would

have to be judged:
 Methodical: with each component step performed to

agreed procedures with well-defined separation of
responsibilities;
 Robust: able to be replicated by different analysts and

experts, producing results that are not too dissimilar;
 Comprehensive and Consistent: used in the same way

across all business units;
 Well-documented: in a consistent fashion with

sufficient detail; to permit
 Independent Review and Validation: by external and

independent experts.
It is therefore desirable that a firm should build a “database

of scenario based events” that can be reviewed periodically
and modified as business conditions change. The consistent
use of a Bow-Tie technique should aid the development of
Notes such a database, allowing rational discussion between risk

__________________ analysts and business managers to take place when discussing
__________________ new initiatives, which is a major benefit of such an approach,
__________________ overcoming a major hurdle in subjective assessment.
__________________ Since financial firms are subject to similar risks (although
__________________ their individual control environment and consequent range
__________________ of potential outcomes may vary significantly), there is the
__________________ potential for developing a database of scenarios that are
__________________ applicable across the industry. For example, the loss of a
__________________
shared industry service such as an Exchange or Clearing
house. Such a ‘scenario’ is the same for all participating firms,
__________________
but the impact may vary wildly, depending on: for example,
transaction volumes, customer impact and the quality of their
BCP (Business Continuity Planning).
References
1. Radatz, Jane (Sep 28, 1990). IEEE Standard Glossary of
Software Engineering Terminology (PDF), New York,
NY, USA: The Institute of Electrical and Electronics
Engineers, 84 pages. ISBN 1-55937-067-X.
2. Vesely, W.E.; F. F. Goldberg, N. H. Roberts, D. F. Haasl
(Jan, 1981). Fault Tree Handbook (PDF), Washington,
DC, USA: U.S. Nuclear Regulatory Commission, page V-
3. NUREG-0492. Retrieved on 2006-08-31.
3. Gompertz, B., (1825). On the Nature of the Function
Expressive of the Law of Human Mortality, and on a New
Mode of Determining the Value of Life Contingencies .
Philosophical Transactions of the Royal Society of London,
Vol. 115 (1825).
4. Weibull, W. (1951) “A statistical distribution function of
wide applicability” J. Appl. Mech.-Trans. ASME 18(3),
293-297
5. Safety First – Scenario Analysis under Basel II Patrick
Mc Connell, and Martin Davies April 2006
6. EUROCONTROL (2004) “Review Of Techniques To
Support The EATMAP Safety Assessment Methodology
Volume 4” European Organization for the Safety of Air
Navigation; http:// www.eurocontrol.int
7. FAST (2004) “Toolsets / System Safety Management Notes

Program- Section 4”, Federal Aviation Authority __________________
Acquisition System Toolset; http:// fast.faa.gov __________________
__________________
Questions __________________
General Questions. __________________

__________________
1. What do you mean by the reliability theory?
__________________
2. What do you mean by Failure rates? __________________
3. How ‘Failure rate’ and ‘Mean Time Between Failure __________________
(MTBF)’, are mathematically related with each other. __________________
4. What is a bow-tie diagram? How the application of the

Bow-Tie Diagram can be used in Scenario Analysis
a. Reliability theory is developed apart from the
mainstream of ——.
b. Probability and statistics.
Appendix 277
Notes
APPENDIX 1 __________________
__________________
DEFINITIONS.
__________________
Aerodrome. 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.
__________________
Aerodrome beacon. Aeronautical beacon used to indicate
__________________
the location of an aerodrome from the air.
__________________
Aerodrome certificate. A certificate issued by the __________________
appropriate authority under applicable regulations for the
operation of an aerodrome.
Aerodrome elevation. The elevation of the highest point of
the landing area.
Aerodrome identification sign. A sign placed on an
aerodrome to aid in identifying the aerodrome from the air.
Aerodrome reference point. The designated geographical
location of an aerodrome.
Aerodrome traffic density.
(a) Light: Where the number of movements in the mean
busy hour is not greater than 15 per runway or typically
less than 20 total aerodrome movements.
(b) Medium: Where the number of movements in the mean
busy hour is of the order of 16 to 25 per runway or
typically between 20 to 35 total aerodrome movements.
(c) Heavy: Where the number of movements in the mean
busy hour is of the order of 26 or more per runway or
typically more than 35 total aerodrome movements.
Note 1: The number of movements in the mean busy hour is
the arithmetic mean over the year of the number of
movements in the daily busiest hour.
Note 2: Either a take-off or a landing constitutes a movement.
Aeronautical ground light. Any light specially provided
as an aid to air navigation, other than a light displayed on
an aircraft.
Notes Aeroplane reference field length. The minimum field

__________________ length required for take-off at maximum certificated take-
__________________ off mass, sea level, standard atmospheric conditions, still air
__________________ and zero runway slope, as shown in the appropriate aeroplane
__________________ flight manual prescribed by the certificating authority or
equivalent data from the aeroplane manufacturer.
__________________
__________________ Field length means balanced field length for aeroplanes, if
__________________ applicable, or take-off distance in other cases.
__________________ Aircraft classification number (ACN). A number
__________________ expressing the relative effect of an aircraft on a pavement
__________________ for a specified standard subgrade category.
Note.— The aircraft classification number is calculated with
respect to the centre of gravity (CG) position which yields
the critical loading on the critical gear. Normally the aft-
most CG position appropriate to the maximum gross apron
(ramp) mass is used to calculate the ACN. In exceptional
cases the forward-most CG position may result in the nose
gear loading being more critical.
Aircraft stand. 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. A defined area, on a land aerodrome, intended to
accommodate aircraft for purposes of loading or unloading
passengers, mail or cargo, fuelling, parking or maintenance.
Apron management service. A service provided to regulate
the activities and the movement of aircraft and vehicles on
an apron.
Barrette. Three or more aeronautical ground lights closely
spaced in a transverse line so that from a distance they
appear as a short bar of light.
Capacitor discharge light. A lamp in which high-intensity
flashes of extremely short duration are produced by the
discharge of electricity at high voltage through a gas enclosed
in a tube.
Certified aerodrome. An aerodrome whose operator has
been granted an aerodrome certificate.
Appendix 279
Clearway. A defined rectangular area on the ground or water Notes

under the control of the appropriate authority, selected or __________________
prepared as a suitable area over which an aeroplane may __________________
make a portion of its initial climb to a specified height. __________________
Compass locator (LOM): a low power, low or medium __________________

frequency radio beacon installed in conjunction with the __________________
instrument landing system. When LOM is used, the locator __________________
is at the Outer Marker; when LMM is used, the locator is at __________________
the Middle Marker. __________________
Cyclic redundancy check (CRC). A mathematical __________________
algorithm applied to the digital expression of data that __________________
provides a level of assurance against loss or alteration of
data.
De-icing/anti-icing facility. A facility where frost, ice or
snow is removed (de-icing) from the aeroplane to provide
clean surfaces, and/or where clean surfaces of the aeroplane
receive protection (anti-icing) against the formation of frost
or ice and accumulation of snow or slush for a limited period
of time.
De-icing/anti-icing pad. An area comprising an inner area
for the parking of an aeroplane to receive de-icing/anti-icing
treatment and an outer area for the manoeuvring of two or
more mobile de-icing/anti-icing equipment.
Declared distances.
(a) Take-off run available (TORA): The length of runway
declared available and suitable for the ground run of an
aeroplane taking off.
(b) Take-off distance available (TODA): The length of
the take-off run available plus the length of the clearway,
if provided.
(c) Accelerate-stop distance available (ASDA): The
length of the take-off run available plus the length of
the stopway, if provided.
(d) Landing distance available (LDA): The length of
runway which is declared available and suitable for the
ground run of an aeroplane landing.
Notes Displaced threshold. A threshold not located at the

__________________ extremity of a runway.
__________________
Distance Measuring Equipment (DME): equipment
__________________
(airborne and ground) used to measure, in nautical miles,
__________________ the slant range distance of an aircraft from the DME
__________________ navigational aid.
__________________
DNL: day-night noise level. The daily average noise metric
__________________
in which that noise occurring between 10:00 p.m. and 7:00
__________________ a.m. is penalized by 10 times.
__________________
Downwind leg: a flight path parallel to the landing runway
__________________
in the direction opposite to landing. The downwind leg
normally extends between the crosswind leg and the base
leg.
Enplaned passengers: the total number of revenue

passengers boarding aircraft, including originating, stop-
over, and transfer passengers, in scheduled and non-
scheduled services.
General aviation: that portion of civil aviation which

encompasses all facets of aviation except air carriers holding
a certificate of convenience and necessity, and large aircraft
commercial operators.
Glide slope equipment: electrical equipment that emits

signals which provide vertical guidance by reference to
airborne instruments during instrument approaches (such
as an ILS) or visual ground aids (such as VASI) which provide
vertical guidance for a VFR approach, or for the visual portion
of an instrument approach and landing.
Global positioning system (GPS): a navigational technology

based on a constellation of satellites orbiting approximately
11,000 miles above the surface of the earth.
Ground effect: the excess attenuation attributed to

absorption or reflection of noise by man-made or natural
features on the ground surface.
Hazard beacon. An aeronautical beacon used to designate

a danger to air navigation.
Appendix 281
Heliport. An aerodrome or a defined area on a structure Notes

intended to be used wholly or in part for the arrival, __________________
departure and surface movement of helicopters. __________________
Holding bay. A defined area where aircraft can be held, or __________________
bypassed, to facilitate efficient surface movement of aircraft. __________________

__________________
Human Factors principles. Principles which apply to
__________________
aeronautical design, certification, training, operations and
maintenance and which seek safe interface between the __________________
human and other system components by proper consideration __________________

to human performance. __________________
Human performance. Human capabilities and limitations __________________
which have an impact on the safety and efficiency of

aeronautical operations.
Identification beacon. An aeronautical beacon emitting a
coded signal by means of which a particular point of
reference can be identified.
Instrument runway. One of the following types of runways
intended for the operation of aircraft using instrument
approach procedures:
(a) Non-precision approach runway: An instrument
runway served by visual aids and a non-visual aid
providing at least directional guidance adequate for a
straight-in approach.
(b) Precision approach runway, category I: An
instrument 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.
(c) 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.
(d) Precision approach runway, category III: An
instrument runway served by ILS and/or MLS to and
along the surface of the runway and:
Notes 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.
__________________
Note 2: Visual aids need not necessarily be matched to the
__________________
scale of non-visual aids provided. The criterion for the
__________________ selection of visual aids is the conditions in which operations
are intended to be conducted.
Intermediate holding position. A designated position
intended for traffic control at which taxiing aircraft and
vehicles shall stop and hold until further cleared to proceed,
when so instructed by the aerodrome control tower.
Instrument approach procedure (IAP): a series of
predetermined manoeuvres for the orderly transfer of an
aircraft under instrument flight conditions from the
beginning of the initial approach to a landing, or to a point
from which a landing may be made visually. It is prescribed
and approved for a specific airport by competent authority.
Instrument flight rules (IFR): rules governing the
procedures for conducting instrument flight. Also a term used
by pilots and controllers to indicate type of flight plan.
Instrument landing system (ILS): a precision instrument
approach system which normally consists of the following
electronic components and visual aids: localizer, glide slope,
outer marker, middle marker, and approach lights.
Landing area. That part of a movement area intended for
the landing or take-off of aircraft.
Landing direction indicator. A device to indicate visually
the direction currently designated for landing and for take-
off.
Localizer (LOC): the component of an ILS which provides
horizontal guidance to the runway centreline for aircraft
Appendix 283
during approach and landing by radiating a directional Notes

pattern of radio waves modulated by two signals which, __________________
when received with equal intensity, are displayed by __________________
compatible airborne equipment as an “on-course” indication, __________________
and when received in unequal intensity are displayed as an __________________
“off-course” indication.
__________________
Manoeuvring area. That part of an aerodrome to be used __________________
for the take-off, landing and taxiing of aircraft, excluding __________________
aprons. __________________
Marker. An object displayed above ground level in order to __________________
indicate an obstacle or delineate a boundary. __________________
Marking. A symbol or group of symbols displayed on the

surface of the movement area in order to convey aeronautical
information.
Microwave landing system (MLS): a precision instrument
approach system that provides precision guidance in azimuth,
elevation, and distance measurement.
Missed approach: a manoeuvre conducted by a pilot when
an instrument approach can not be completed to a landing.
This may be due to visual contact not established at
authorized minimums or instructions from air traffic control,
or other reasons.
Movement area. That part of an aerodrome to be used for
the take-off, landing and taxiing of aircraft, consisting of the
manoeuvring area and the apron(s).
Near-parallel runways. Non-intersecting runways whose
extended centre lines have an angle of convergence/
divergence of 15 degrees or less.
Non-directional beacon (NDB): a radio beacon
transmitting non-directional 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.
When the radio beacon is installed in conjunction with the
instrument landing system marker, it is normally called a
compass locator.
Notes Non-instrument runway. A runway intended for the

__________________ operation of aircraft using visual approach procedures.
__________________
Nonprecision approach procedure: a standard
__________________ instrument approach procedure in which no electronic glide
__________________ slope is provided, such as VOR, GPS, RNAV, ASR, LDA, SDF,
__________________ TACAN, NDB, or LOC.
__________________
Obstacle. All fixed (whether temporary or permanent) and
__________________ mobile objects, or parts thereof, that are located on an area
__________________ intended for the surface movement of aircraft or that extend
__________________ above a defined surface intended to protect aircraft in flight.
__________________ Obstacle free zone (OFZ). The airspace above the inner
approach surface, inner transitional surfaces, and balked
landing surface and that portion of the strip bounded by these
surfaces, which is not penetrated by any fixed obstacle other
than a low-mass and frangibly mounted one required for air
navigation purposes.
Operation: a take-off or a landing.
Outer marker (OM): an ILS navigation facility in the
terminal area navigation system located four to seven miles
from the runway threshold on the extended centreline of the
runway, indicating to the pilot, that he/she is passing over
the facility and can begin final approach.
Pavement classification number (PCN). A number
expressing the bearing strength of a pavement for
unrestricted operations.
Precision approach path indicator (PAPI): an airport
lighting facility in the terminal area navigation system used
primarily under VFR conditions. The PAPI provides visual
decent guidance to aircraft on approach to landing through
a single row of two to four lights, radiating a high intensity
red or white beam to indicate whether the pilot is above or
below the required approach path to the runway. The PAPI
has an effective visual range of 5 miles during the day and 20
miles at night.
Precision approach procedure: a standard instrument
approach procedure in which an electronic glide slope is
provided, such as ILS or MLS.
Appendix 285
Precision instrument runway: a runway having a existing Notes

instrument landing system (ILS). __________________
__________________
Primary runway(s). Runway(s) used in preference to others
__________________
whenever conditions permit.
__________________
Road. An established surface route on the movement area
__________________
meant for the exclusive use of vehicles.
__________________
Road-holding position. A designated position at which __________________
vehicles may be required to hold. __________________
Runway. A defined rectangular area on a land aerodrome __________________
prepared for the landing and take-off of aircraft. __________________
The runways are named according to their Magnetic Bearings

with reference to North rounded to nearest 100. Thus each
runway has two names separated by 1800. For example the
Runway at Delhi (IGI Airport) are 09/27 & 10/28. and Runway
at Mumbai are 09/27 & 14/32.
Runway end safety area (RESA). An area symmetrical

about the extended runway centre line and adjacent to the
end of the strip primarily intended to reduce the risk of
damage to an aeroplane undershooting or overrunning the
runway.
Runway guard lights. A light system intended to caution

pilots or vehicle drivers that they are about to enter an active
runway.
Runway-holding position. A designated position intended

to protect a runway, an obstacle limitation surface, or an
ILS/ MLS critical/sensitive area at which taxiing aircraft and
vehicles shall stop and hold, unless otherwise authorized by
the aerodrome control tower.
Runway strip. A defined area including the runway and

stopway, if provided, intended:
(a) to reduce the risk of damage to aircraft running off a

runway; and
(b) to protect aircraft flying over it during take-off or

landing operations.
Notes Runway turn pad. A defined area on a land aerodrome

__________________ adjacent to a runway for the purpose of completing a 180-
__________________ degree turn on a runway.
__________________ Runway visual range (RVR). The range over which the
__________________ pilot of an aircraft on the centre line of a runway can see the
__________________ runway surface markings or the lights delineating the runway
__________________ or identifying its centre line.
__________________ Safety Management System. A system for the management
__________________ of safety at aerodromes, including the organizational
__________________ structure, responsibilities, procedures, processes and
__________________ provisions for the implementation of aerodrome safety
policies by an aerodrome operator, which provides for control
of safety at, and the safe use of aerodrome.
Segregated parallel operations. Simultaneous operations
on parallel or near-parallel instrument runways in which
one runway is used exclusively for approaches and the other
runway is used exclusively for departures.
Shoulder. An area adjacent to the edge of a pavement so
prepared as to provide a transition between the pavement
and the adjacent surface.
Sign.
(a) Fixed message sign: A sign presenting only one message.
(b) Variable message sign: A sign capable of presenting
several pre-determined messages or no message, as
applicable.
Signal area. An area on an aerodrome used for the display
of ground signals.
Slush. Water-saturated snow which with a heel-and-toe
slapdown motion against the ground will be displaced with
a splatter; specific gravity: 0.5 up to 0.8.
Note.— Combinations of ice, snow and/or standing water
may, especially when rain, rain and snow, or snow is falling,
produce substances with specific gravities in excess of 0.8.
These substances, due to their high water/ice content, will
have a transparent rather than a cloudy appearance and, at
Appendix 287
the higher specific gravities, will be readily distinguishable Notes

from slush. __________________
__________________
Snow (on the ground)
__________________
(a) Dry snow: Snow which can be blown if loose or, if
__________________
compacted by hand, will fall apart again upon release;
__________________
specific gravity: up to but not including 0.35.
__________________
(b) Wet snow: Snow which, if compacted by hand, will stick
__________________
together and tend to or form a snowball; specific gravity:
__________________
0.35 up to but not including 0.5.
__________________
(c) Compacted snow: Snow which has been compressed __________________
into a solid mass that resists further compression and
will hold together or break up into lumps if picked up;
specific gravity: 0.5 and over.
Stopway. A defined rectangular area on the ground at the
end of take-off run available prepared as a suitable area in
which an aircraft can be stopped in the case of an abandoned
take off.
Take-off runway. A runway intended for take-off only.
Taxiway. A defined path on a land aerodrome established
for the taxiing of aircraft and intended to provide a link
between one part of the aerodrome and another, including:
(a) Aircraft stand taxilane: A portion of an apron
designated as a taxiway and intended to provide access
to aircraft stands only.
(b) Apron taxiway: A portion of a taxiway system located
on an apron and intended to provide a through taxi
route across the apron.
(c) Rapid exit taxiway: A taxiway connected to a runway
at an acute angle and designed to allow landing
aeroplanes to turn off at higher speeds than are achieved
on other exit taxiways thereby minimizing runway
occupancy times.
Taxiways are named as per alphabetical letters e.g.
“Taxiways-A”, “Taxiways-B”, “Taxiways-C1” etc.
Taxiway intersection. A junction of two or more taxiways.
Notes Taxiway strip. An area including a taxiway intended to

__________________ protect an aircraft operating on the taxiway and to reduce
__________________ the risk of damage to an aircraft accidentally running off the
__________________ taxiway.
__________________ Threshold. The beginning of that portion of the runway
__________________ usable for landing.
__________________
Touchdown zone. The portion of a runway, beyond the
__________________ threshold, where it is intended landing aeroplanes first
__________________ contact the runway.
__________________
Usability factor. The percentage of time during which the
__________________ use of a runway or system of runways is not restricted because
of the cross-wind component.
Note.— Cross-wind component means the surface wind
component at right angles to the runway centre line.
Vector: a heading issued to an aircraft to provide
navigational guidance by radar.
Visual approach: an approach wherein an aircraft on an
IFR flight plan, operating in VFR conditions under the control
of an air traffic facility and having an air traffic control
authorization, may proceed to the airport of destination in
VFR conditions.
Visual approach slope indicator (VASI): an airport
lighting facility in the terminal area navigation system used
primarily under VFR conditions. It provides vertical visual
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.
Visual flight rules (VFR): rules that govern the procedures
for conducting flight under visual conditions.
Appendix 289
Notes
APPENDIX 2 __________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
This AIC is issued under the provisions of Rule 133A of the __________________
Aircraft Rules, 1937 for information, guidance and
__________________
compliance by the concerned operators operating air
transport services to, through within and over flying the
Indian airspace. The information contained in this AIC has
also been circulated vide Civil Aviation Requirements,
Section 2 - Airworthiness, Series ’I’ Part VIII Revision 3 dated
27th April, 2006.
Cancellation: AIC 3 of 2001 is hereby cancelled
(K Gohain)
DIRECTOR GENERAL OF CIVIL AVIATION
-----------------------------------------------------------------------------------
Subject: Installation of Airborne Collision Avoidance System.
1. INTRODUCTION
1.1 With the liberalisation of air transport operations in the
country, the domestic operations have increased
considerably. Besides, there is congestion in the Indian
airspace on account of large number of international flights
over flying or transiting through India. While the air traffic
services and associated facilities are continuously being
upgraded and modernised by the Airports Authority of India
for ensuring safety of aircraft operations in the Indian
airspace, it is also considered necessary to upgrade the
airborne equipment of aeroplanes to reduce the risk of midair
collisions between aircraft. Installation of Airborne Collision
Avoidance System (ACAS), which is an airborne equipment
Notes that functions independently of the ground based air traffic

__________________ control system, can help in 2 preventing mid-air collisions.
__________________ However, the level of protection provided by ACAS
__________________ equipment depends on the type of transponder the intruder
__________________ aeroplane is carrying.
__________________ 1.2 This CAR is issued under the provision of Rule 29C and
__________________ Rule 133A of the Aircraft Rules 1937.
__________________ 2. APPLICABILITY
__________________
The requirements of this CAR are applicable to aeroplanes
__________________
referred in Paras 5 and 6 and engaged in commercial and
__________________
general aviation operations to, through, within and
overflying the Indian airspace.
3. DEFINITIONS
For the purpose of this CAR, the following terms shall have
the meanings as given against each:-
3.1 Airborne Collision Avoidance System (ACAS) :
An aeroplane system based on Secondary Surveillance
Radar (SSR) transponder signals which operates
independently of ground-based equipment to provide
advice to the pilot on potential conflicting aeroplane that
are equipped with SSR transponder
3.2 ACAS I:
An ACAS which provides information as an aid to ‘see
and avoid’ action but does not include the capability for
generating resolution advisories (RAs).
3.3 ACAS II:
An ACAS which provides vertical resolution advisories
(RAs) in addition to the traffic advisories. TCAS – II with
change 7 is equivalent to ACAS II.
3.4 Commercial air transport operation.
An aircraft operation involving the transport of
passengers, cargo or mail for remuneration or hire.
3.5 General aviation operation.
Appendix 291
An aircraft operation other than a commercial air Notes

transport operation or an aerial work operation. __________________
__________________
3.6 Intruder:
__________________
An SSR transponder-equipped aeroplane within the
__________________
surveillance range of ACAS for which, ACAS has an
__________________
established track.
__________________
3.7 Resolution Advisory (RA): __________________
An indication given to the flight crew recommending: __________________
(a) a manoeuvre intended to provide separation from __________________
all threats; or __________________
(b) a manoeuvre restriction intended to maintain

existing separation
3.8 Secondary Surveillance Radar (SSR):
A surveillance radar system which uses transmitters/
receivers (interrogators) and transponders.
3.9 Traffic Advisory (TA):
An indication given to the flight crew that a certain
intruder is a potential threat.
4. FUNCTIONAL REQUIREMENTS of ACAS I and

ACAS II
4.1 ACAS I shall perform the following functions:
(a) surveillance of nearby SSR transponder equipped
aeroplanes; and
(b) provide indications to the flight crew identifying
the approximate position of nearby aeroplanes as
an aid to the visual acquisition.
4.2 ACAS II shall perform the following functions:
(a) surveillance;
(b) generation of TAs;
(c) threat detection;
(d) generation of RAs;
Notes (e) co-ordination; and

__________________
(f) communication with ground stations.
__________________
__________________
4.3 Airborne Collision Avoidance System should be of an
approved type meeting the specifications contained in
__________________
Annex 10 (Volume IV) to the Convention on International
__________________
Civil Aviation or FAA TSO C-119 or any other equivalent
__________________
specification acceptable to DGCA.
__________________
__________________
5. Aeroplanes engaged in Commercial air trans-
__________________
port operation:
__________________ 5.1 All turbine-engined aeroplanes having a maximum
certificated take-off mass in excess of 15000 kg or
authorized to carry more than 30 passengers or
maximum payload capacity of more than 3 tonnes shall
be equipped with an airborne collision avoidance system
(ACAS II).
5.2 All turbine-engined aeroplanes having a maximum
certificated take off mass in excess of 5700 kg but not
exceeding 15000 kg or authorized to carry more than 19
passengers, which are imported on or after 1st April
2006, shall be equipped with an airborne collision
avoidance system (ACAS II).
certificated take off mass in excess of 5700 kg but not
exceeding 15000 kg or authorized to carry more than 19
passengers, which are imported before 1st April 2006,
shall be equipped with an airborne collision avoidance
system (ACAS I).
certificated take off mass 5700 kg or less and authorized
to carry 10 to 19 passengers shall be equipped with an
airborne collision avoidance system (ACAS I).
5.5 All twin jet-engined aeroplanes having a maximum
certificated take off mass 5700 kg or less and authorized
to carry less than 10 passengers shall be equipped with
an airborne collision avoidance system (ACAS I).
5.6 It is recommended that all aeroplanes covered under
Paras 5.3, 5.4 and 5.5 should be equipped with an
airborne collision avoidance system (ACAS II).
Appendix 293
5.7 An airborne collision avoidance system shall operate in Notes

accordance with the relevant provisions of Annex 10, __________________
Volume IV. __________________
__________________
6. Aeroplanes engaged in General aviation op-
__________________
eration:
__________________
6.1 All turbine-engined aeroplanes of a maximum
__________________
certificated take-off mass in excess of 15000 kg, or
__________________
authorized to carry more than 30 passengers, for which
__________________
the individual airworthiness certificate is first issued
after 24 November 2005, shall be equipped with an __________________
airborne collision avoidance system (ACAS II). __________________
6.2 It is recommended that all turbine-engined aeroplanes

of a maximum certificated take off mass in excess of 5700
kg but not exceeding 15000 kg, or authorized to carry
more than 19 passengers, for which the individual
airworthiness certificate is first issued after 01 January
2008, should be equipped with an airborne collision
avoidance system (ACAS II).
Note 1. – The term “individual airworthiness certificate
is first issued” means certificate of airworthiness issued
to the individual aircraft after manufacture.
Note 2. – The term “turbine-engined” includes turbo-
jet, turbo-prop and turbo-fan engines.
Note 3. – The term “authorised to carry number of
passengers” implies the passengers seating capacity as
per type certificate.
7. OPERATIONAL REQUIREMENTS
7.1 The Airplane Flight Manual shall contain the
appropriate procedures for the ACAS II or ACAS I, as
applicable, duly approved by the concerned regulatory
authority.
7.2 The Operations Manual and the Training Manual of the
operator shall respectively include the operational
procedures and the training required for the flight crew
on the ACAS.
Notes 7.3 The operating crew shall be adequately trained and kept
__________________ proficient on the functioning of the ACAS. It should be
__________________ emphasised that maximum benefit of 5 ACAS is obtained
__________________ when pilots of both the aeroplanes respond promptly
__________________ and correctly to their respective TAs/RAs.
__________________ Note 1: Procedures for the use of ACAS equipment are
__________________ specified in the procedures for Air Navigation Services
__________________ - Aircraft operations (PANS –OPS, Doc 8168), Volume I
__________________
– Flight procedures.
__________________ ACAS Training Guidelines for pilots are provided in
__________________ PANS – OPS, Volume I, Attachment A to Part VIII.
Note 2: Appropriate training, to the satisfaction of
DGCA, to competency in the use of ACAS equipment
and the avoidance of collisions may be evidenced, for
example by:
(a) possession of a type rating for an aeroplane
equipped with ACAS, where the operation and use
of ACAS are included in the training syllabus for
the type rating; or
(b) possession of a document issued by a training
organization or a person approved by the DGCA to
conduct training for pilots in the use of ACAS,
indicating that the holder has been trained in
accordance with the guidelines referred to in Note.
1; or
(c) a comprehensive pre-flight briefing by a pilot who
has been trained in the use of ACAS in accordance
with the guidelines referred to in Note 1.
7.4 In addition to the other applicable requirements, the
following procedures shall be followed by the flight crew
for the operation of ACAS:
(a) The pilots shall not manoeuvre the aeroplanes in
response to a TA only. The pilots, however, shall
search for the approaching traffic.
(b) In the event of RA to alter the flight path, the search
for the conflicting traffic shall include a visual scan
Appendix 295
of the airspace into which own ACAS aeroplane Notes

might manoeuvre. __________________
__________________
(c) The alteration of the flight path shall be limited to
the minimum extent necessary to comply with the __________________
RA. __________________
__________________
(d) Pilots who deviate from an ATC clearance in
__________________
response to an RA, shall promptly return to the
terms of the previous ATC instruction or clearance __________________
when the conflict is resolved. __________________

__________________
(e) The pilots shall, as soon as practicable, notify the
ATC unit of the direction of the RA, and, when the __________________
conflict is resolved, that they are returning to the

terms of the current ATC clearance.
Note: When RA is initiated and in response thereof the
pilot deviates from ATC clearance, he is not considered
to be violating the ATC instructions.
7.5 The ACAS system shall be kept ‘ON’ while operating in
the Indian airspace.
7.6 Every flight plan for a flight in the Indian airspace shall
indicate that the aeroplane is equipped with a
serviceable ACAS equipment required as per this CAR.
7.7 Any pilot experiencing RA while flying in Indian
airspace, shall file a report on R/T with the handling
Air Traffic Control Unit in India followed by a written
report to the DGCA India and Airports Authority of
India. A proforma for filing the written report is given
as Appendix “A”.
7.8 The ATC controllers shall be adequately trained on the
capabilities and limitations of ACAS and on the
procedures to be applied for the provision of Air Traffic
Services to aeroplanes equipped with ACAS in
accordance with the ICAO requirements.
7.9 Once an aeroplane departs from an assigned ATC
clearance in compliance with an RA, the ATC controller
ceases to be responsible for providing ATC separation
between that aeroplane and other aeroplane affected
by the direct consequence of that RA manoeuvre.
Notes Controller’s responsibility for providing separation for

__________________ all affected aeroplanes resumes when either:
__________________
i. the aeroplane returns to the assigned clearance; or
__________________
ii. the pilot reports the ATC Controller that the RA
__________________
manoeuvre is completed and the ATC controller
__________________
confirms that separation is established.
__________________
__________________ 8. MAINTENANCE REQUIREMENTS
__________________ 8.1 The ACAS equipment shall be maintained in accordance
__________________ with the manufacturer’s maintenance programme. The
__________________ inspection schedules shall include the manufacturer’s
maintenance requirements.
8.2 The performance of the ACAS is highly sensitive to
altimetry error both for the ACAS-equipped aeroplane
and intruder aeroplane. It is therefore necessary that
the accuracy of the aeroplane altimetry system be
sufficiently high for successful operational use of ACAS.
This aspect should be highlighted in the maintenance
system manual and to all concerned personnel.
8.3 The Aircraft Maintenance Engineer (AME) holding
licence in Category ‘R’/’V’ on the type of aeroplane shall
undergo adequate training on the maintenance of the 7
ACAS. After successful completion of the training and
oral check, the Quality Control Manager of the
organisation shall issue a certificate after which the AME
licence is deemed to cover the inspection and
certification of ACAS. A copy of the certificate shall be
forwarded to the Regional Airworthiness office of the
DGCA.
8.4 The type training of AMEs on Radio/Avionics System
shall include training on ACAS installed on the
aeroplane.
8.5 The provisions contained in the MEL with regard to
unserviceability of ACAS as approved by the concerned
Civil Aviation Authorities shall be acceptable. However,
in no case the ACAS shall be unserviceable for more than
ten days.
Appendix 297
Notes
APPENDIX ‘A’ __________________
__________________
PILOT/OBSERVER RA REPORT
__________________
Aircraft Operator_______________ Pilot_________ Observer ___________ __________________
Name____________________ Telephone__________ SSR ____________ __________________
(Information requested on this line is optional) __________________
Aircraft ID________________________ Aircraft Type _______________ __________________

__________________
Aerodrome of Departure ________________ Destination ______________
__________________
Date and time of event
________________________________________UTC __________________
Own aircraft altitude _______________________
Own aircraft position FIR ______ VOR ______ Radial ______ DME ______
Or
LAT _________ LONG _________
________________________________________________ Phase of Flight
Take-off______ Climb ________ Cruise ________ Descent ______ Hold

___
Final __________ Missed approach ____________
Clearance ___________ ft/FL
___________________________________________________________________
TA Information
TA issued ? YES __________ NO _____________
Visual contact prior to RA? YES __________ NO _____________
ATS advisory? YES __________ NO _____________
___________________________________________________________________
RA Information
Intruder bearing __________________ o’clock
Intruder range _____________________ NM
Relative altitude ___________________ ft
Type of RA ____________________ (climb, crossing climb, VSL500, etc.)
Did you follow the RA ? YES ____ NO _____
If applicable, did ATS instruction conflict with the RA ? YES ____ NO _____
Notes Was RA necessary ? YES ____ NO _____

__________________ General information
__________________
Flight conditions: IMC ________ VMC _______ Day _______ Night _______
__________________
Visibility: _______ NM
__________________
Air traffic service provided : En-route control _________
__________________
Aerodrome/ approach control ________ Flight information ________
__________________
__________________ Remarks
__________________ Note: The report should be forwarded to the Director of Air Safety, Office of the
Director General of Civil Aviation, Opp. Safdarjung Airport, Aurobindo Marg,
__________________
New Delhi - 110003 (Phone 24620272, Fax No. 24633140).
__________________
With a copy to the Director of Air Routes and Aerodrome (Operations), Airport
Authority of India, Rajiv Gandhi Bhavan, Safdarjung Airport, New Delhi-110003
(Phone 24631684,Fax 24629567)
***
Appendix 299
Notes
APPENDIX 3 __________________
__________________
The Aircraft (Carriage of Dangerous Goods) Rules,
__________________
2003
__________________
(Promulgated by DGCA vide “Aeronautical Information __________________
Circular AIC 03 of 2004 Dated 24th Feb 2004) __________________
The Aircraft (Carriage of Dangerous Goods) Rules, __________________
2003 __________________
__________________
1. Short title, extent and application:
__________________
(1) These rules may be called the Aircraft (Carriage of
Dangerous Goods) Rules, 2003.
(2) They extend to whole of India and apply also –
(a) to aircraft registered in India or aircraft
operated by an operator who has his principal
place of business or permanent place of
residence in India, wherever they may be;
(b) to all aircraft for the time being in or over
India; and
(c) to persons operating air transport services to,
from, within and over India, shippers of
dangerous goods or their agents
(3) They shall come into force on the date of their final
publication in the Official Gazette.
2. Definitions and interpretation; In these rules, unless
there is anything repugnant in the subject or context
(1) “aerodrome” means any definite or limited ground
or water area intended to be used, either wholly or
in part, for the landing or departure of aircraft, and
includes all buildings, sheds, vessels, piers and
other structures thereon or appertaining thereto;
(2) “aircraft” means any machine which can derive
support in the atmosphere from reactions of the
air other than reactions of the air against the earth’s
surface and includes balloons whether fixed or free,
airships, kites, gliders and flying machines;
Notes (3) “cargo aircraft” means any aircraft, other than a

__________________ passenger aircraft, which is carrying goods or
__________________ property;
__________________ (4) “crew member” means a person assigned by an
__________________ operator to duty on an aircraft during a flight duty
__________________ period;
__________________
(5) “dangerous goods” 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;
(6) “dangerous goods accident” means an occurrence
associated with and related to the transport of
dangerous goods by air which results in fatal or
serious injury to a person or major property
damage;
(7) “dangerous goods incident” means an occurrence,
other than a dangerous goods accident, associated
with and related to the transport of dangerous goods
by air, not necessarily occurring on board an
aircraft, which results in injury to a person, damage
to property, fire, breakage, spillage, leakage of fluid
or radiation or other evidence that the integrity of
the packaging has not been maintained and also
includes any occurrence relating to the transport
of dangerous goods which seriously jeopardizes the
aircraft or its occupants;
(8) “Director-General” means Director General of Civil
Aviation;
(9) “flight crew member” means a licensed crew
member charged with duties essential to the
operation of an aircraft during a flight duty period;
(10) “operator” means a person, organisation or
enterprise engaged in or offering to engage in an
aircraft operation;
(11) “overpack” means an enclosure used by a single
shipper to contain one or more packages and to form
Appendix 301
one handling unit for convenience of handling and Notes

stowage; __________________
__________________
(12) “package” means the complete product of the
packing operation consisting of the packaging and __________________
its contents prepared for transport; __________________

__________________
(13) “packaging” means receptacles and any other
__________________
components or materials necessary for the
receptacle to perform its containment function; __________________
__________________
(14) “passenger aircraft” means an aircraft that carries
__________________
any person other than a crew member, an operator’s
employee in an official capacity, an authorized __________________
representative of an appropriate national authority

or a person accompanying a consignment or other
cargo;
(15) “pilot-in-command” means the pilot designated by
the operator, or in the case of general aviation by
the owner, as being in command and charged with
the safe conduct of a flight;
(16) “serious injury” means an injury which is sustained
by a person in an accident and which:
(a) requires hospitalization for more than 48 hours,
commencing within seven days from the date
the injury was received; or
(b) results in a fracture of any bone (except simple
fractures of fingers, toes or nose); or
(c) involves lacerations which cause severe
haemorrhage, nerve, muscle or tendon
damage; or
(d) involves injury to any internal organ; or
(e) involves second or third degree burns, or any
burns affecting more than five per cent of the
body surface; or
(f) involves verified exposure to infectious
substances or injurious radiation;
(16A) “State of origin” means the State in the territory
Notes of which the dangerous goods were first loaded on

__________________ an aircraft
__________________
(17) “State of the operator” means the State in which
__________________ the operator’s principal place of business is located
__________________ or, if there is no such place of business, the
__________________ operator’s permanent place of residence;
__________________
(18) “Technical Instructions” means the Technical
__________________ Instructions for the Safe Transport of Dangerous
__________________ Goods by Air issued by the International Civil
__________________ Aviation Organisation;
__________________ (19) “UN number” means the four-digit 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;
(20) “Unit load device” means any type of freight
container, aircraft container or aircraft pallet with
a net, but excluding an overpack, designed for
loading on an aircraft.
3. Carriage of dangerous goods by air:
(1) No operator shall engage in the carriage of
dangerous goods unless it has been certified by the
aeronautical authority of the State of the operator
to carry the dangerous goods
(2) No operator shall carry and no person shall cause
or permit to be carried in any aircraft to, from,
within or over India or deliver or cause to be
delivered for loading on such aircraft any dangerous
goods, except in accordance with and subject to the
requirements specified in the Technical
Instructions: Provided that dangerous goods
classified as explosives shall not be carried in any
aircraft to, from, within or over India except in
accordance with and subject to the terms and
conditions of a permission in writing granted by the
Central Government under rule 8 of the Aircraft
Rules, 1937. Provided further that where dangerous
goods classified as radioactive material are to be
Appendix 303
carried in any aircraft to, from or within India, the Notes

operator shall ensure that the consignor or the __________________
consignee, as the case may be, has written consent __________________
of the Central Government to carry such goods __________________
under section 16 of the Atomic Energy Act, 1962 __________________
(33 of 1962). Provided also that where there is
__________________
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, the Director- General or any other officer
authorised in this behalf by the Central Government
may, by general or special order in writing, grant
exemption from complying with these requirements
provided that he is satisfied that every effort has
been made to achieve an overall level of safety in
the transportation of such goods which is equivalent
to the level of safety specified in the Technical
Instructions
(3) Notwithstanding anything contained in sub-rule (2),
the articles and substances that are specifically
identified by name or by generic description in the
Technical Instructions as being forbidden for
transport by air under any circumstances, shall not
be carried on any aircraft
(4) The provisions of sub-rules (1) and (2) shall not
apply to-
(a) 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 such specialised
purposes as are identified in the Technical
Instructions
(b) specific articles and substances carried by
passengers or crew members to the extent
specified in the Technical Instructions
Notes (5) Where dangerous goods are carried under sub-rule

__________________ (2), it shall be 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. Custody of unauthorised Dangerous Goods: Where
__________________
any officer authorised in this behalf by the Central
__________________ Government has reason to believe that the provisions
of this rule are, or are about to be, contravened, he 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.
4A. Classification of Dangerous goods: The dangerous
goods shall be classified in accordance with the
provisions of the Technical Instructions.
5. Packing:
(1) Dangerous goods shall be packed in accordance with
the requirements specified in the Technical
Instructions in addition to the provisions of this
rule
(2) It shall be ensured that no harmful quantity of a
dangerous substance adheres to the outside of the
packagings used for the transport of the dangerous
goods
(3) Packagings used for the transport of dangerous
goods by air 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
(4) 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
Appendix 305
(4A) Packagings shall meet the material and Notes

construction specifications contained in the __________________
Technical Instructions __________________
(4B) Packagings shall be tested in accordance with the __________________
provisions of the Technical Instructions __________________

__________________
(4C) Packagings for which retention of a liquid is a basic
function, shall be capable of withstanding, without __________________
leaking, the pressure specified in the Technical __________________

Instructions __________________
(5) Inner packagings used for the transport of the __________________
dangerous goods shall be packed, secured or __________________

cushioned in such a manner that no breakage or
leakage shall be caused and these shall also control
the movement of the dangerous goods within the
outer packaging(s) during normal conditions of air
transport and also the cushioning and absorbent
materials shall not react dangerously with the
contents of the receptacles
(6) No packaging used for the transport of the
dangerous goods shall be re-used unless, —
(a) it has been inspected and found free from
corrosion or other damage; and
(b) all necessary precautions have been taken to
prevent contamination of subsequent contents:
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.
6. Labelling: Unless otherwise provided in the Technical
Instructions, each package of dangerous goods shall be
labelled in accordance with the requirements specified
in the Technical Instructions.
7. Marking:
Notes (1) Save as otherwise provided in the Technical

__________________ Instructions, each package of dangerous goods shall
__________________ be marked with the proper shipping name of its
__________________ contents and, when assigned, the UN number and
__________________ such other markings as may be specified in those
__________________ Instructions
__________________ (2) Save as otherwise provided in the Technical
__________________ Instructions, each packaging manufactured to the
__________________ specifications of the Technical Instructions shall be
__________________ marked in accordance with the provisions of the
__________________ Technical Instructions and no other packagings
shall be so marked
(3) In addition to the languages required by the State
of origin, English shall also be used for the markings
related to dangerous goods.
8. Shipper’s responsibilities:
(1) No shipper or his agent shall offer any package or
overpack 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
(2) Unless otherwise provided in these rules, no
shipper or his agent shall offer dangerous goods for
transport by air unless he has completed, signed
and provided to the operator a dangerous goods
transport document, as specified in the Technical
Instructions
(3) The dangerous goods transport document shall bear
a declaration signed by the shipper or his agent
indicating that the dangerous goods are fully and
accurately described by their proper shipping
names and that they are classified, packed, marked,
labelled and in proper condition for transport by
air as per requirements of the Technical
Instructions
Appendix 307
(4) In addition to the languages required by the State Notes

of origin, English shall also be used in the __________________
dangerous goods transport document. __________________
9. Operator’s Responsibilities: __________________

__________________
(1) No operator shall accept dangerous goods for
__________________
transport by air unless, -
__________________
(a) the dangerous goods are accompanied by a __________________
completed dangerous goods transport
__________________
document, except where the Technical
__________________
Instructions specify that such a document is
__________________
not required; and
(b) the package, overpack or freight container
containing the dangerous goods has been
inspected in accordance with the acceptance
procedures specified in the Technical
Instructions
(2) The operator shall ensure that an acceptance check-
list as required by the Technical Instructions has
been developed and is being used by his acceptance
staff
(3) Packages and overpacks containing dangerous

goods and freight containers containing radioactive
materials shall be inspected for evidence of leakage
or damage before loading on an aircraft or into a
unit load device and such packages, overpacks or
freight containers shall be loaded and stowed on
an aircraft in accordance with the requirements
(4) The operator shall ensure that no leaking or
damaged packages, overpacks or freight containers
containing dangerous goods shall be loaded on an
aircraft
(5) A unit load device 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 therein
Notes (6) 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
__________________
(7) Packages or overpacks containing dangerous goods
__________________
and freight containers containing radioactive
__________________
materials shall be inspected for signs of 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
(8) No dangerous goods shall be carried in an aircraft
cabin occupied by passengers or on the flight deck
of an aircraft, except those specified in sub-rule (4)
of rule 3
(9) Any hazardous contamination found on an aircraft
as a result of leakage or damage to dangerous goods
shall be removed without delay
(10) 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 non-
fixed contamination are not more than the values
(11) 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
(12) Packages of toxic and infectious substances shall
be stowed on an aircraft in accordance with the
requirements specified in the Technical
Instructions
Appendix 309
(13) Packages of radioactive materials shall be stowed Notes

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 __________________
(14) Subject to the provisions of these rules, 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 of sub-rule (13) are met at all times
(15) 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.
10. Provision of Information:
(1) The operator of the aircraft in which dangerous
goods are to be carried shall provide information
in writing to the pilot-in- command as early as
practicable before departure of the aircraft as
required by the Technical Instructions
(2) The operator shall provide such information in the
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
(3) Operators shall ensure that information is
promulgated in such a manner that passengers are
warned as to the types of goods which they are
Notes forbidden from transporting aboard an aircraft as

__________________ provided in the Technical Instructions
__________________
(4) 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
__________________
__________________ (5) If an in-flight emergency occurs, the pilot-in-
command 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 Instructions
(6) 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
pilot-in-command
(7) 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 pilot-in-command.
10A.Inspection:
(1) The Director-General or any other officer
authorised in this behalf by the Central Government
Appendix 311
by general or special order in writing, may, at any Notes
reasonable time, enter any place to which access is __________________

necessary and inspect any services, equipment, __________________
documents and records __________________
(2) The operator, shipper, training establishment and __________________
every other person concerned with carriage of __________________
dangerous goods shall allow the person so __________________

authorised, access to any part of the aircraft, __________________
building or any facility including equipment, __________________
records, documents and personnel, and shall co- __________________
operate in exercising his powers or carrying out __________________
his duties under these rules.
11. Dangerous Goods Accidents and Incidents:
(1) In the event of a dangerous goods accident or
dangerous goods incident, as the case may be, the
pilot-in-command 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
(2) The report under sub-rule (1) shall, in addition to
any other relevant information, contain the
following information, namely: -
(a) the type, nationality and registration marks

of aircraft;
(b) the name of the owner, operator and hirer of
the aircraft;
(c) the name of the pilot-in-command of the
aircraft;
(d) the nature and purpose of the flight;
(e) the date and time of the dangerous goods
accident or incident;
(f) the place where the accident occurred:
(g) the last point of departure and the next point
of intended landing of the aircraft;
Notes (h) the details of the dangerous goods on board the

__________________ aircraft viz. their proper shipping name, UN
__________________ number, quantity etc
__________________ (I) the known cause of the dangerous goods
__________________ accident or incident;
__________________
(J) details of other cargo on board the aircraft;
__________________
(k) the extent of known damage to the aircraft,
__________________
other property and persons on board the
__________________
aircraft;
__________________
(l) any other information required to be included
__________________
by the Director- General
(3) On receipt of the report under sub-rule (1), the
Director-General may, if considered necessary,
order an investigation to determine the causes of
such accident or incident and take preventive
measures to avoid re-occurrence of such accident
or incident.
12. Establishment of Training Programmes –
(1) No person shall engage himself in any manner in
the transport of dangerous goods unless he has
undergone proper training in accordance with the
(2) Initial and recurrent dangerous goods training
programmes shall be established and maintained
by or on behalf of –
(a) shippers of dangerous goods including packers
and persons or organizations undertaking the
responsibilities of the shipper;
(b) operators;
(c) ground handling agencies which perform, on
behalf of the operator, the act of accepting,
handling, loading, unloading, transferring or
other processing of cargo;
(d) ground handling agencies located at an airport
which perform, on behalf of the operator, the
act of processing passengers;
Appendix 313
(e) agencies, not located at an airport, which Notes
perform, on behalf of the operator, the act of __________________

checking in passengers; __________________
__________________
(f) freight forwarders; and
__________________
(g) agencies engaged in the security screening of
__________________
passengers and their baggage, and cargo
__________________
(3) Training shall be provided in the requirements __________________
commensurate with the responsibilities of the __________________
personnel being trained and such training shall __________________
include –
__________________
(a) general familiarization training aimed at
providing familiarity with the general
provisions;
(b) funcation-specific training providing detailed
training in the requirements applicable to the
function for which that person is responsible;
and
(c) safety training covering the hazards presented
by dangerous goods, safe handling and
emergency response procedures
(4) 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 twenty-four months
of previous training to ensure knowledge is current
(5) The training programmes established and
maintained by or on behalf of operators shall be
subjected to review and approval by the State of
the operator and the training programmes
established and maintained by or on behalf of
agencies other than operators shall be subjected to
review and approval by the Director-General.
13. Directions by Director-General: The Director General
may, through Aeronautical Information Circulars (AICs)
and publication entitled Civil Aviation Requirements
(CARs), issue special directions, not inconsistent with
Notes the provisions of the Aircraft Act, 1934 (22 of 1934), the
__________________ Aircraft Rules, 1937 or these rules, relating to packing,
__________________ marking, labelling, acceptance, handling, loading,
__________________ unloading, storage, training and any other process or
__________________ procedure connected directly or indirectly with the
carriage of dangerous goods by air.
__________________
__________________ 14. General Power to exempt: 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.
15. Cancellation or suspension of licence, certificate
and approval: Where the Director-General, 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.
[Principal Rule published vide GSR 206(E) dated
5.3.2003
Amended by – (i) GSR No. 795(E) dated 6.10.2003,
(ii) GSR No. 796(E) dated 6.10.2003
(iii) GSR 600(E) dated 27.9.2006
(iv) GSR 231(E) dated 19.3.2007]
Appendix 315
Notes
APPENDIX 4 __________________
__________________
OFFICE OF THE DIRECTOR GENERAL OF CIVIL AVIATION
__________________
AIR SAFETY CIRCULAR 2 OF 1962 __________________
(Air Safety Directorate) __________________
__________________
(No. 5/25/60-Acc)
__________________
Sub: Instructions regarding handling of radioactive
__________________
materials
__________________
The following extracts from ICAO Aircraft accident __________________
Investigation manual are forwarded for information of
investigation.
“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
Notes 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.
__________________
__________________ 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.
__________________ Sd.
Y.R. Malhotra
Director of Air Safety
New Delhi
Dated The 24th November 1962.

Appendix 317
Notes
APPENDIX 5 __________________
__________________
OFFICE OF THE DIRECTOR GENERAL OF CIVIL AVIATION
__________________
EAST BLOCK II & III, R.K.PURAM, NEW DELHI-66. __________________
AIR SAFETY DIRECTORATE __________________
__________________
Air Safety Circular No. 2 of 1989
__________________
AV. 15011/1/87-AS 13th January, 1989.
__________________
Subject:-Emergency Response Procedures for __________________
Transport of Radioactive materials. __________________
Radioactive materials are required to be transported from

one place to another. The packages in which radioactive
materials are transported are designed to withstand all
routine and foreseeable accident condition of transport.
However, in view of the need for developing action plans for
an emergency involving radioactive consignments, the
Cabinet Secretariat, Government of India appointed an Inter-
Ministerial Working Group (consisting of representatives
of the Department of Civil Aviation, Ministry of Surface
Transport, Railway Board and the Department of Atomic
Energy) for preparation of emergency procedures. The
working group has approved the document entitled ‘
Emergency Response Procedure for Transport of Radioactive
Materials”. The portions of the documents which are relevant
to emergency during transportation of radio-active material
by air are enclosed.
All airlines (scheduled/non-scheduled) operating in India and

all airport management authorities should ensure that all
their concerned officials are made fully familiar of the
emergency response procedure enclosed.
Sd/-
(H.S.Khola)
Deputy Director General.
Encls. as above.
Notes Action Plans for an Emergency involving Radioactive Con-

__________________ signments
__________________ This enclosure is divided into three parts. Part 1 provides a
__________________ general explanation of the role of each concerned party who
__________________ may have a role to play in an emergency involving radioactive
__________________ consignments. Part 2 indicates the action plans for each type
__________________ of shipment relevant to your organisation identifying the
__________________
concerned responding person. Part 3 specifies the action
plans appropriate to the shipments.
__________________
__________________ Part 1 Persons involved to the action plans
__________________
1.3.1 Introduction
The response action plan will depend upon the nature of the
shipment. The different radioactive shipments are grouped
as those associated with nuclear fuel cycle and others. In the
following discussions, consignor means the officer-in-charge
at the origin of the shipment and identified as such in the
transport documents. In all events, since the consigner knows
about the actual departure of the shipment, he is required to
be notified by the persons at the accident site. The consigner’s
address is inscribed on the package as is given in the
transport documents too. Depending upon the location of the
accident site, the consigner himself may despatch a rescue
team, if one is required to be sent or may request the
consignee (that is, the officer-in-charge at the intended
destination of the shipment) and/or the Head, DRP, BARC,
Bombay-400 085 to despatch the rescue team to the accident
site.
1.3.2 Action Plans
The Action Plans prescribed in this document are assigned
to the following agencies identified as responding persons
(R.P.) :
They include the crew of the vehicle carrying the radioactive

material and the escort personnel, where such personnel are
deputed to accompany the shipment. They should take the
initial action.
Appendix 319
Notes
__________________
This person may represent Police or other local authorities
__________________
at the site of accident. If the persons accompanying the
shipment are disabled, then police or other local authorities __________________
who would be called to the site of accident would need __________________

guidelines. These guidelines are inscribed on the ‘ __________________
TERMCARD’ which is carried in the vehicle transporting __________________
the radioactive consignment. __________________
__________________
__________________
Immediately upon receipt of intimation regarding the
accident, the consignor should, in consultation with the __________________
officer-in-charge of the local health physics unit/person-in-

charge of radiological safety at the consignor’s organisation,
take the measures prescribed in the action plan given in this
document.
The measures prescribed in the action plans should be taken

by the rescue team, if such a team is despatched to the
accident site. These measures are to be taken by the R.P. 4,
if R.P. 1 are not in a position to take these measures.
The Airport Manager of the concerned Indian airport would

be activated into response action, if an emergency involving
a radioactive consignment arises in the airport.
The manager of the concerned Indian seaport would be

activated into response action, if an emergency involving a
radioactive consignment arises in the harbour.
1.3.2.2 The action plans are serially numbered as AP-1, AP-2
etc and provided at the end of the document. In some
instances, the
action plan is based entirely on the “TREMCARD” carried
in the vehicle. These are the action plans for R.P.2. The
tremcard instructions are also provided at the end of the
document. The tremcards are numbered serially as TRC-1,
TRC-2 etc.
Notes Chapter IV
__________________
Part 2 Emergency during transport of radioactive materials
__________________
through India
__________________
__________________
__________________ Action Plans for Airport Managers of Indian Airports
__________________
__________________ In an emergency involving a shipment originating in a foreign
__________________ country bound for a foreign country which is in transit in an
__________________ Indian Airport, the Airport Manager should implement the
__________________ procedures specified in action plan AP-6.
Action Plan : AP-6
Part 3
If the package is received in an Indian Airport in a damaged
condition or is damaged upon arrival or during storage or is
involved in an accident, the following measures should be
taken by the Airport Manager:
 Rescue the injured, if the package was involved in an
accident.
 Fight fire if any.
 Cordon off a space of 3 m around the package.
 Inform the consignor and the consignee (address may
be obtained from the transport documents or on the
packages) requesting the consigner to arrange to collect
the package immediately.
 Inform Head, DRP,BARC,Bombay-400 085
(Telephone : 5511917, telegram: HEAD DRP BARC Bombay,
CHEMBUR) regarding the incident, seeking his advice and
act accordingly.
 If the labels on the package are defaced or if the address
of the consignor/consignee cannot be obtained, inform
Head, DRP, BARC, Bombay-400085 regarding the
incident, seek his advice and act accordingly.
 In no case should be package be auctioned or otherwise
disposed of without obtaining specific clearance from
Head, DRP, BARC, Bombay-400085.
Appendix 321
Notes
APPENDIX 6 __________________
__________________
LIST OF PERMITTED AND PROHIBITED ITEMS AS
__________________
PER B.C.A.S. (This includes security related items
__________________
also)
__________________
Prohibited items are weapons, explosives, incendiaries, and __________________
include items that are seemingly harmless but may be used __________________
as weapons—the so-called “dual use” items. You may not
__________________
bring these items to security checkpoints without
__________________
authorization. If you bring a prohibited item to the
checkpoint, you may be criminally prosecuted or, at the least, __________________
asked to rid yourself of the item. A screener and/or Law

Enforcement Officer will make this determination,
depending on what the item is and the circumstances. This
is because bringing a prohibited item to a security
checkpoint— even accidentally—is illegal.
Your prohibited item may be detained for use in an
investigation and, if necessary, as evidence in your criminal
prosecution. If permitted by the screener or Law
Enforcement Officer, you may be allowed to: consult with
the airlines for possible assistance in placing the prohibited
item in checked baggage; withdraw with the item from the
screening checkpoint at that time; make other arrangements
for the item, such as taking it to your car; or, voluntarily
abandon the item. Items that are voluntarily abandoned
cannot be recovered and will not be returned to you. The
following chart outlines items that are permitted and items
that are prohibited in your carry-on or checked baggage. You
should note that some items are allowed in your checked
baggage, but not your carry-on. Also pay careful attention to
the “Notes” included at the bottom of each section – they
contain important information about restrictions.
The prohibited and permitted items chart is not intended to
be all-inclusive and is updated as necessary. To ensure
everyone’s security, the screener may determine that an item
not on the prohibited items chart is prohibited. In addition,
the screener may also determine that an item on the
permitted chart is dangerous and therefore may not be
brought through the security checkpoint.
Notes The chart applies to flights originating within India. Please

__________________ check with your airline or travel agent for restrictions at
__________________ destinations outside India.
__________________
Chart showing permitted and prohibited items.
__________________
__________________ Can I take it?
__________________ Carryon Checked
__________________
Personal Items
__________________
Cigar Cutters Yes Yes
__________________
__________________ Corkscrews Yes Yes
Eyeglass Repair Tools (including screwdrivers) Yes Yes
Eyelash Curlers Yes Yes
Knitting and Crochet Needles No Yes
Knives, round-bladed butter or plastic Yes Yes
Lighters * Yes * No
Nail Clippers Yes Yes
Nail Files Yes Yes
Personal care or toiletries with aerosols, in limited

quantities (such as hairsprays, deodorants) Yes Yes
Safety Razors (including disposable razors) but

excluding straight razors & razor blades not in
cartridge Yes Yes
Scissors-plastic or metal with blunt tips Yes Yes
Scissors-metal with pointed tips No Yes
Toy Transformer Robots Yes Yes
Toy Weapons (if not realistic replicas) Yes Yes
Tweezers Yes Yes
Baby carrier (collapsible) Yes Yes
Feeding bottle, baby food Yes Yes
Reasonable reading material Yes Yes
Binoculars Yes Yes
Overcoat, Rug, Blanket Yes Yes
Ladies Purse, Vanity bag Yes Yes

Appendix 323
Umbrellas (allowed in carry-on baggage once Notes

they have been inspected to ensure that prohibited
__________________
items are not concealed) Yes Yes
__________________
Walking Canes (allowed in carry-on baggage once
they have been inspected to ensure that prohibited __________________
items are not concealed) Yes Yes
__________________
Pickles Yes Yes __________________
__________________
* one lighter or one match box is allowed in your carry-on baggage – NOT checked
baggage. Disposable lighters and absorbed liquid lighters are allowed in your carry- __________________
on baggage. Lighters with unabsorbed liquid fuel are NOT permitted. Strike
anywhere matches are NOT permitted. __________________
__________________
Note: Some personal care items containing aerosol are
regulated as hazardous materials. __________________
Medication and Special Needs Devices

Braille Note-Taker, Slate and Stylus, Augmentation
Devices Yes Yes
Diabetes-Related Supplies/Equipment, (once

inspected to ensure prohibited items are not
concealed) including: insulin and insulin loaded
dispensing products; vials or box of individual vials;
jet injectors; pens; infusers; and preloaded
syringes; and an unlimited number of unused
syringes, when accompanied by insulin; lancets;
blood glucose meters; blood glucose meter test
strips; insulin pumps; and insulin pump supplies.
Insulin in any form or dispenser must be properly
marked with a professionally printed label
identifying the medication or manufacturer’s name
o r
pharmaceutical label. Yes Yes
Nitro-glycerine pills or spray for medical use (if

properly marked with a professionally printed label
identifying the medication or manufacturer’s name
or pharmaceutical label) Yes Yes
Prosthetic Device Tools and Appliances, including

drill, Allen wrenches, pull sleeves used to put on or
remove prosthetic devices, if carried by the individual
with the prosthetic device or his or her companion Yes Yes
Can I take it?

Carryon Checked
Electronic Devices
Camcorders Yes Yes
Notes Two-in-One, Tape recorder, transistor with battery

cells Camera Equipment with battery cells Yes Yes
__________________
__________________ The checked baggage screening equipment will damage
undeveloped film in camera equipment. We recommend that
__________________
you either put undeveloped film and cameras containing
__________________
undeveloped film in your carry-on baggage or take
__________________
undeveloped film with you to the checkpoint and ask the
__________________ screener to conduct a
__________________ hand-inspection. Yes Yes
__________________ Laptop Computers Yes Yes
__________________ Mobile Phones Yes Yes
__________________ Pagers Yes Yes
Personal Data Assistants (PDA’s) Yes Yes
Note: Check with your airline or travel agent for restrictions

on the use of these and other electronic items during your
flight.
Sharp Objects
Box Cutters No Yes
Ice Axes/Ice Picks No Yes
Knives (any length and type except round-bladed,
butter, and plastic cutlery) No Yes
Meat Cleavers No Yes
Razor-Type Blades, such as box cutters, utility
knives, razor blades not in cartridge, but excluding
safety razors No Yes
Scissors – metal with pointed tips Scissors with
plastic or metal blunt tips are permitted in your
carry-on. No Yes
Swords No Yes
Note: Any sharp objects in checked baggage should be

sheathed or securely wrapped to prevent injury to baggage
handlers and inspectors. Sikh passengers have been
permitted to carry a Kirpan (upto 6” blade and 3” handle) in
domestic flights only.
Sporting Goods
Baseball Bats No Yes
Bows and Arrows No Yes

Appendix 325
Cricket Bats No Yes Notes
Golf Clubs No Yes __________________

__________________
Hockey Sticks No Yes
__________________
Pool Cues No Yes
__________________
Ski Poles No Yes
__________________
Spear Guns No Yes
__________________
Note: Any sharp objects in checked baggage should be __________________
sheathed or securely wrapped to prevent injury to baggage __________________
handlers and security screeners. __________________
Can I take it? __________________
Carryon Checked
Guns and Firearms
Fire arms & ammunitions -

Though regulations permit you to carry a licensed/
authorized firearm and/or ammunition in your
checked baggage but even then Check with your
airline or travel agent to see if firearms are permitted
in checked baggage on the airline you are flying.. It
must be declared to the airline at X-ray screening
point at the airport. The firearm must be in unloaded
condition. And packed separately from the
ammunition.. Both the firearm & ammunition must
be securely packed separately in fibre, wood or
metal boxes, or other packaging specifically
designed to carry such items. If you are a sportsman
and carrying firearms & ammunition for bonafide
sports activities, you must have documents like
Photo ID card, passport, driving licence or PAN card
with photograph to establish your identity, and a
certificate from the concerned Sports Club or
Association to prove your bonafide for carriage of
such arms & ammunitions. No Yes
BB guns No Yes
Compressed Air Guns No Yes
Flare Guns No No
Gun Lighters No No
Gun Powder No No
Parts of Guns and Firearms No Yes
Pellet Guns No Yes

Notes Realistic Replicas of Firearms No Yes

__________________ Starter Pistols No Yes
__________________
__________________
Tools
Axes and Hatchets No Yes
__________________
Crowbars No Yes
__________________
Hammers No Yes
__________________
Drills (including cordless portable power drills) No Yes
__________________
Saws (including cordless portable power saws) No Yes
__________________
Screwdrivers (except those in eyeglass repair kits) No Yes
__________________
Tools (including but not limited to wrenches and
__________________ pliers) No Yes
Wrenches and Pliers No Yes
Note Any sharp objects in checked baggage should be

handlers and security screeners.
Martial Arts/Self Defence Items
Billy Clubs No Yes
Black Jacks No Yes
Brass Knuckles No Yes
Kubatons No Yes
Mace/Pepper Spray
One 118 ml or 4 Fl. oz. container of mace or pepper
spray is permitted in checked baggage provided it
is equipped with a safety mechanism to prevent
accidental discharge. No Yes
Martial Arts Weapons No Yes
Night Sticks No Yes
Stun Guns/Shocking Devices No Yes
Throwing Stars No Yes
Note: Any sharp objects in checked baggage should be

handlers and security screeners.
Explosive Materials
Blasting Caps No No
Dynamite No No
Fireworks No No
Appendix 327
Flares (in any form) No No Notes
Hand Grenades No No __________________

__________________
Plastic Explosives No No
__________________
Realistic Replicas of Explosives No No
__________________
Flammable Items __________________
Aerosol (any except for personal care or toiletries __________________

i n __________________
limited quantities) No No
__________________
Fuels (including cooking fuels and any flammable
liquid fuel) No No __________________
__________________
Gasoline No No
Gas Torches No No
Lighter Fluid No No
Strike-anywhere Matches No No
Turpentine and Paint Thinner No No
Realistic Replicas of Incendiaries No No
Disabling Chemicals and Other Dangerous Items

Chlorine for Pools and Spas No No
Compressed Gas Cylinders (including fire

extinguishers) No No
Liquid Bleach No No
Spillable Batteries (except those in wheelchairs) No No
Spray Paint No No
Tear Gas No No
Note: There are other hazardous materials that are regulated

by the DGCA.
Notes
__________________
APPENDIX 7
__________________
__________________ Telephone No. GOVERNMENT OF INDIA Sl. No. 06 /2006
2:4622495
__________________
__________________ Telegraphic Address: AERONAUTICAL
INFORMATION
__________________ SERVICES
Commercial : DIRECTOR GENERAL OF 14 October,
__________________
AIRCIVIL NEW DELHI CIVIL AVIATION 2006
__________________ OPPOSITE
SAFDARJUNG AIRPORT
__________________
Aeronautical : NEW DELHI-110 003
__________________ VIDDYAYX
E Mail: dri@dgca.nic.in
Fax : 01124629221
File No AV.15022/ 46 /2006-AS
This AIC is issued under the provisions of Rule 133A of the

Aircraft Rules, 1937 for information, guidance and compliance
by all concerned while operating at Indian airports.
(K Gohain)
DIRECTOR GENERAL OF CIVIL AVIATION
-----------------------------------------------------------------------------------
SUBJECT: RUNWAY INCURSIONS

Runway incursion is defined as any occurrence at an
aerodrome involving the incorrect presence of an aircraft,
vehicle or person on the protected area of a surface,
designated for the landing and take-off of aircraft.
With the growth in traffic runway incursions have been

showing a growing trend the world over, and have been
causing safety concerns. Prevention of runway incursions has
become a priority area.
Runway incursion prevention programme involves 4 groups

of persons/services.
1. Pilots of aircraft.
Appendix 329
2. Drivers of vehicle /Pedestrians/Personal working at the Notes

airports. __________________
__________________
3. Aerodrome owner/operator.
__________________
4. 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 in different
__________________
airport operations were found to be the contributory
__________________
factors.
__________________
In order to avoid Runway incursion causing safety hazard __________________
which may eventfully lead to serious incident/accident this
AIC details guidelines to be observed by all concerned while
operating at Indian Airports
I. Guidelines for Pilots:

Detailed investigations of runway incursions have identified
three major areas where pilots can help.
 Communications
 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.
(a) Listen before you transmit.
(b) If able, monitor RT communication to have mental

picture of Airport activity.
(c) Keep communications with the controller clear and

concise.
(d) Ensure you understand all instructions. Never

assume.
(e) Read back runway hold short instructions verbatim.

Notes 2. Airport knowledge: Ground operations can be the most

__________________ demanding and complex phase of the flight.
__________________
(a) Review airport diagrams before taxing or landing.
__________________
(b) Keep the airport diagrams including taxi routings
__________________
readily available.
__________________
__________________ (c) Be alert to airport vehicle and pedestrian activity.
__________________ (d) Maintain situational awareness of proximity to
__________________ Runway at all times.
__________________ (e) Comply with Holding Point markings/signage
__________________
3. 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.
(a) Avoid unnecessary conversation, during
movements, takeoff, and landing.
(b) Constantly scan outside the cockpit, especially
when on runways.
(c) If lost notify Air Traffic Control immediately.
(d) Make your aircraft visible by proper use of aircraft
lights.
(e) If unfamiliar with the airport do not hesitate to
request progressive taxi instructions.
(f) Insure proper radio telephony operation and check
audio panel, volume control and squelch settings.
4. 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.
5. 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.
Appendix 331
II. Guidelines applicable to Airport owners/ Operators and Notes

Airside vehicle Drivers __________________
1. The term ground aids commonly refers to Aerodrome __________________
Signs, Markings, Lightings and any other appearance __________________

or object that is utilized to help guide the users of the __________________
Airport. __________________
2. 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.
3. 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
4. All operations by vehicles on the runways or taxiways
require individual authorization from control tower,
even for pass holders in each individual case.
5. 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.
6. Faded signs and incorrectly placed signs often lead to
runway incursion. Frequent and random inspection
shall be carried out to prevent the above
Notes 7. Deficiency in the aerodrome marking and visual aids

__________________ often lead to runway incursion.
__________________
8. All runway markings are white. This is to differentiate
__________________
them from taxiway markings.
__________________
__________________ 9. Equip all airside vehicle with ICAO compliant markings
and lighting.
__________________
__________________ 10. Provide airside escort vehicle to, vehicles/ aircraft
__________________ unfamiliar with aerodrome layout/ procedure.
__________________
11. Runway side strip markings shall always be provided
__________________ for precision approach runway.
12. All taxiway markings are yellow to differentiate them

from runway markings.
13. Runway holding position marking shall be in yellow

colour.
14. Aerodrome signs are divided in to mandatory instruction

signs and information signs.
15. 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.
16. 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 stand-alone will have yellow border. All other
information signs will have black inscription on yellow
background.
17. 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.
18. Aerodrome lights include the stop bar lights or runway

guard lights. All traffic shall stop and hold at all lit stop
Appendix 333
bars and only proceed when specifically authorized by Notes

aerodrome control tower. __________________
__________________
III. Guidelines for Air Traffic Controllers __________________
1. Apply existing ICAO standards and recommended __________________
practices and procedures. __________________
__________________
2. Vehicles and aircraft shall not be permitted to hold
closer to the runway than the applicable runway holding __________________
positions. __________________
__________________
3. 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.
4. Controller shall listen to the read back of clearances

and instructions to enter, land on, take-off, hold short
of, cross and back-track 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.
5. ROGER and WILCO do not constitute a read-back.

Correct read-backs are mandatory.
6. 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.
7. Be alert for similar call signs, change call signs

temporarily if required.
8. Avoid expectation bias i.e. hearing what is expected

instead of what is really said.
9. In poor visibility conditions visual surveillance may be

augmented by Radar if available.
10. If Surface Movement radar is either not provided or

unserviceable during low visibility operations, all
aircraft and vehicles must report having vacated active
Notes runway. Also by having the aircraft report airborne, the

__________________ controller can be assured that the aircraft is no longer
__________________ on the active runway.
__________________
11. 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.
__________________
12. To reduce the potential for misunderstanding, the take-
__________________
off clearance shall include the designator of the
__________________
departure runway.
__________________
__________________
13. 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.
14. 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 HOLDING POSITION”. All runway incursion
incidents come under the category of incidents and must
be reported as per procedure established for ATS
incidents.
For additional information on avoidance of Runway

Incursion, the “ICAO Runway Safety Tool Kit “ be referred.
Appendix 335
Notes
APPENDIX-8 __________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
Subject:-SAFETY REGULATION AND OVERSIGHT

OF FLIGHT OPERATIONS.
1. OBJECTIVE
1.1 The main objective of the safety regulation and oversight
of flight operations to ensure:
(a) 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;
(b) that safety weaknesses in the flight operations are

and necessary corrective measures are taken in time
before they become a potential safety hazard; and
(c) that the capability of the operator to conduct the

operations safely be maintained at or above the
level required by the regulations.
1.2 Strict adherence to the laid down operating procedures

and limitations and compliance with the rules and
regulations shall be the motto and watchword of safety
regulation and oversight of flight operations.
Notes 1.3 This Civil Aviation Requirement (CAR) identifies the

__________________ important operational aspects which need close
__________________ monitoring and describes broadly the system of safety
__________________ oversight required to be exercised on the air transport
__________________ operations by the operators and the DGCA officers. The
CAR is issued under the provisions of Rule 133A of the
__________________
Aircraft Rules, 1937, and Section 5A of the Aircraft Act,
__________________
1934 for information, guidance and compliance by the
__________________
concerned agencies.
__________________
__________________ 2. APPLICABILITY
__________________
All Indian operators engaged in scheduled air transport
services for carriage of passengers, mail or cargo shall
comply with the requirements of this CAR. The safety
requirements are equally applicable to the Non-Scheduled/
Air Taxi Operators who are also encouraged to adopt
similar in house monitoring system as far as practical and
applicable to their operations. For new operators seeking
permission to commerce operations, it shall be a pre-
requisite for the grant of the operating permit to furnish
information confirming that they have established the
necessary systems and have adequate qualified manpower
and infra-structure to implement the safety regulations
and for in-house monitoring of their flight operations as
stipulated in this CAR. Concerned DGCA officers shall
exercise safety oversight on flight operations as described
in this CAR.
3. SAFETY REGULATION OF FLIGHT OPERATIONS

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
types of operations, which shall be complied with by the
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.
Appendix 337
3.1 In accordance with Rule 134 of the Aircraft Rules, 1937, Notes
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.
__________________
3.2 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.
3.3 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.
3.4 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 be manned by adequate number
of operations officers, flight despatchers approved by
DGCA and other supporting staff. The strength of such
officers shall have to be increased as the size of operating
fleet grows.
3.5 The operations manual, CARs, AIP - India, Aircraft

Rules, AICs, flight manual, Jeppeson manual, relevant
ICAO Annexes and related guidance material, check-
lists and other operations documents shall be kept up-
to-date by the operations offices. The operator shall
remain on the mailing list of the suppliers of these
documents for the purpose of receiving regular
amendments, wherever such a service is available.
Notes 3.6 A master folder for each type of regulatory/policy

__________________ document viz. CARs, AICs, Operations Circulars, Safety
__________________ Bulletins etc. shall be maintained by the operations
__________________ offices for reference by crew members and other
__________________ personnel.
__________________ 3.7 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.
__________________
3.8 There shall be a proper system of distribution of the
circulars and other documents to all crew members and
other concerned personnel.
3.9 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.
3.10 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:
(a) the flight and duty time limitations are complied

with;
(b) their licences, instrument ratings etc. are

maintained valid;
(c) Validity of their medical checks.
(d) all proficiency checks are carried out as per the

procedures and within the stipulated periods; and
(e) periodic refreshers are undergone as required.
For this purpose, a fool-proof system of record keeping

in proper formats, preferably a computer based system,
shall be established and followed.
Appendix 339
3.11 All the flight crew members shall undergo periodic Notes
refresher and flight safety courses as stipulated. During __________________
the crew training and refresher courses, all the new __________________
operations and safety circulars and bulletins, major __________________
accident/incident case studies shall be discussed. __________________
3.12 The operators shall specify procedures for ensuring __________________

flight crew proficiency for : __________________
__________________
i) Commencement of operations after long leave/
__________________
grounding i.e. more than 30 days;
__________________
ii) Corrective training and checks after failure in a __________________
proficiency check.
3.13 The operators shall establish specific operating

procedures/ precautions for:
(i) Operations to critical airports of their operating

network i.e. airports surrounded by hilly/difficult
terrain, satellite airfields etc;
(ii) Operations to airfields having marginal runway

length;
(iii) Operations during monsoon period; and
iv) Operations during winter to airfields which become

fog bound.
3.14 The operators shall lay down and obtain DGCA approval
of their airport weather minimums and ensure
adherence to the same by their flight crew members.
3.15 Suitable alternate aerodrome for each airport on their

network shall be designated by the operators, which
shall meet the minimum safety and other requirements
for safe operation of the aircraft type, keeping also in
view the watch hours of the airport.
3.16 Minimum reserve fuel as laid down in AIP India shall

always be carried on each flight.
3.17 The operators shall have facilities and doctors for

carrying out pre-flight medical checks of their crew
Notes 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.
__________________ 3.18 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 at different
ambient temperatures and wind conditions.
3.19 Only trained, qualified and DGCA approved cabin crew

shall be employed and they shall undergo periodical
refresher and flight safety courses.
3.20 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.
3.21 The operators engaged in carriage of cargo only and

those authorised 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.
3.22 The operators engaged in over-water operations with

twin engined aircraft shall ensure compliance of the
requirements relating to ETOP operations.
Appendix 341
3.23 The operators shall carry out regular in flight Notes

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.
__________________
3.24 In addition to other information, extensive use of 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.
3.25 Based on the experience of flight operations, the

operators shall issue operations circulars to eliminate
any weak or potentially dangerous area in their
operations.
3.26 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.
3.27 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 conditions. Requirements
of CAR Section 3, Series ‘E’, Part I, shall be complied
with before commencing operations to new stations.
3.28 In cases where the aircraft used by an operator have

been procured on wet lease the operations office shall
Notes ensure compliance with the applicable operations

__________________ requirements for operations with wet-leased aircraft.
__________________
3.29 here a foreign pilot is employed by an Operator, the
__________________
operator shall ensure that the pilot has at least 500 hours
__________________ 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.
__________________ 3.30 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 familiarisation 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.
3.31 For scheduling a foreign pilot for operations upto a

period of three months, the operator, in addition to
fulfilling the requirements of Para 3.30, shall ensure that
an Indian pilot forms part of the crew complement.
3.32 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.
3.33 Whenever any crew member of an operator joins another

operator, that crew member shall be familiarised with
the operations manual of the new operator which shall
be followed by the oral check by a DGCA board before
that crew member is scheduled for operations.
3.34 The operators shall have a system of frequent exchange

of information between pilots and engineers to improve
coordination and understanding of operational and
Appendix 343
airworthiness aspects. A record of such discussions shall Notes

be maintained. __________________
__________________
3.35 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. __________________

__________________
3.36 The operators shall emphasise to all their pilots that
__________________
they should meticulously record the snags in the aircraft
as and when observed. __________________
__________________
3.37 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 respectively.
3.38 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.
3.39 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.
3.40 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.
3.41 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
Notes shall discuss the important operational aspects of the

__________________ CFIT programme during initial and recurrent training
__________________ of flight crew.
__________________
3.42 The operators shall make every effort to enhance
__________________ accident/incident prevention measures, particularly in
__________________ the areas of information feed-back and analysis,
__________________ voluntary reporting system and prompt investigation
__________________ of incidents and implementation of safety
__________________ recommendations.
__________________
3.43 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.
3.44 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.
3.45 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 requirements.
3.46 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 of
DGCA as per the standing requirements.
3.47 The Chief of Training shall ensure that necessary

changes in the training programmes are carried out,
Appendix 345
where necessary, based on the experience and the Notes
observations made during implementation of the safety __________________

oversight programme and safety audits. __________________
__________________
3.48 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. __________________

__________________
3.49 To confirm continued capability to conduct the
__________________
operations authorised under the Operating Permit, the
__________________
operators shall submit to the DGCA, while applying for
renewal of the Operating Permit, the following __________________
information:
(a) 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 services.
(b) Report of the in-house 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.
3.50 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.
4. IMPLEMENTATION OF SAFETY OVERSIGHT

PROGRAMME OF FLIGHT OPERATIONS.
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 in-house
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:
4.1 The operators shall lay down their policies and

procedures for compliance of the operational, safety and
Notes 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.
4.2 The day-to-day safety regulation and in-house

monitoring of the flight operations should be exercised
by 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 record keeping of the
deficiencies observed and the corrective measures
taken.
4.3 In addition to the day-to-day 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.
4.4 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
Appendix 347
Manual. Deficiencies observed shall be intimated to the Notes

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. __________________
4.5 The DGCA safety audit teams or other authorised __________________

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.
5. INDUSTRY CONSULTATION AND REVIEW OF IMPLE-

MENTATION OF THE SAFETY REGULATION AND
OVERSIGHT 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.
Sd/-
( H.S. KHOLA )
Director General of Civil Aviation

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MDSA-812

AVIATION SAFETY AND

Course Name: Aviation Safety and Security Management

© UNIVERSITY OF PETROLEUM & ENERGY STUDIES

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

Airport is a wide term, used in a broad manner. Normally,

To start with we can discuss these items one by one in brief.

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

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

Runway dimensions vary from as small as 800 ft (244 m) long

Runways can be further categorized into the following types;

A runway intended for the operation of aircraft using visual

One of the following types of runways intended for the

(a) Non-precision approach runway: An instrument

(b) Precision approach runway, category I: An Notes

(c) Precision approach runway, category II: An __________________

(d) Precision approach runway, category III: An __________________

A – intended for operations with a decision height lower

B – intended for operations with a decision height lower

C – intended for operations with no decision height and

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

Take off Distance Available (TODA): The length of the

Accelerate Stop Distance Available (ASDA): The length

Landing Distance Available (LDA): The length of runway

 The Runway is the entire paved surface, which typically

 Stopways also known as overrun areas are also

 Threshold. The beginning of that portion of the runway

 Displaced threshold means that a threshold not

obstacles just before the runway, runway strength, or Notes

Notes A taxiway is a path on an airport connecting runways with

2. A single solid yellow line marks the taxiway centre line.

3. Two parallel dashed yellow lines followed by two

The airport apron is a defined area, on a land aerodrome,

The apron is designated by the ICAO as not being part of the

In fact, the pre-flight activities are done in Ramps; and areas

'Aircraft stand' is a designated area on an apron intended to

Notes Apron floodlights should be located so as to provide adequate

An airport terminal is a building at an airport where

Within the terminal building, passengers purchase tickets,

Most airport terminals are built in a plain style. However,

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

A control tower, or more specifically an air traffic control

Airport Control tower is generally a high rise structure above

Control Towers typically contain the following:

 radios for communication with aircraft, linked to

 a telephone system that connects dedicated voice lines

Notes and public telephone lines via quick-dial systems to