Safety & Security MGMT

AVIATION SAFETY AND
SECURITY MANAGEMENT
MBA (Airline Operations Unit-5)

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
Unit 1 Notes
__________________
__________________
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 takeoff of aircraft. Runways
on an established aerodrome may be a manmade surface
(often asphalt, concrete, or a mixture of both), and for small
aerodromes it could also be a natural surface (grass, dirt, or
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 onetenth the magnetic __________________
azimuth of the centre line of the runway, measured clockwise __________________
from the magnetic north. As two 'ends of the runway' point __________________
out in two different directions (Each separated by 1800), __________________
thus each runway has two names separated by 1800. For __________________
example the Runways at Delhi (IGI Airport) are 09/27 & __________________
10/28 and Runways at Mumbai are 09/27 & 14/32. __________________
Each digit of runway name is pronounced separately for

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

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

operation of aircraft using instrument approach procedures:
Nonprecision approach runway: An instrument runway
served by visual aids and a nonvisual aid providing at
least directional guidance adequate for a straightin
approach.
5888 Precision approach runway, category I: An instrument Notes

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

declared available and suitable for the ground run of an
airplane taking off.
Take off Distance Available (TODA): The length of the
take off run available plus the length of the clearway, where
provided (the clearway length allowed must lie within the
aerodrome or airport boundary).
Accelerate Stop Distance Available (ASDA): The length
of the take off run available plus the length of the stopway,
where provided.
Landing Distance Available (LDA): The length of runway
which is declared available and suitable for the ground run
of an aeroplane landing.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
23 The Runway Stripw is the cleared, grassy area around
__________________
the paved runway. It is kept free from any obstacles that
__________________
might impede flight or ground roll of aircraft, although the
__________________
grass is not always necessarily in good condition. The grass
is often marked with white cones or gables.
24 The Runway is the entire paved surface, which

typically features threshold markings, numbers, centre
lines, and overrun areas at both ends.
25 Stopways also known as overrun areas are also
constructed at the end of runways as emergency space
to slowly stop planes that overrun the runway on a
landing gone wrong, or to slowly stop a plane on an
aborted takeoff or a takeoff gone wrong. Stopways are
often not as strong as the main paved surface of the
runway and are marked with yellow chevrons. Planes
are not allowed to taxi, takeoff or land on stopways,
except in an emergency.
26 Threshold. The beginning of that portion of the runway
usable for landing.
27 Displaced threshold means that a threshold not located
at the extremity of a runway. Displaced threshold is the
point at the end of the runway. In major airports, it is
usually marked with white paint arrows that lead up to
the displaced threshold (see diagram). Smaller runways
may not have markings to indicate the displaced threshold.
A displaced threshold may be used for taxiing and take off
but not for landing, because
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 'B4' etc. Busy airports typically
__________________ construct highspeed or rapidexit taxiways in order to allow
__________________ aircraft to leave the runway at higher speeds. This allows
__________________
the aircraft to vacate the runway quicker, permitting
__________________
another to land in a shorter space of time.
__________________ Taxiway markings are shown by yellow continuous lines.
23 Double yellow lines mark the boundary between areas
under jurisdiction of ATC and the parking areas.
24 A single solid yellow line marks the taxiway centre line.
25 Two parallel dashed yellow lines followed by two

parallel solid yellow lines indicate a hold line. A hold
line marks the intersection of a taxiway and a runway.
Taxy Holding position lines are marked across the width
of a taxiway. These markings should not be crossed to
enter into the runway until a clearance is received from
the tower.
Rotating Beacons
Pilots identify airports at night by looking for rotating
beacons. Civil airport beacons flash alternating white and
green lights. Military airports flash two white lights followed
by a green light. Seaplane landing areas and lighted
heliports use different sequences. If the rotating beacon is
turned on during the day, it usually indicates that IFR
conditions prevail, but this isn't always the case.
Apron Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
The airport apron is a defined area, on a land aerodrome,
intended to accommodate aircraft for purposes of loading or
unloading and boarding of passengers, mail or cargo,
fuelling, parking or maintenance. The use of the apron may
be controlled by the apron control service
The apron is designated by the ICAO as not being part of the
manoeuvring area, but a part of the movement area. All
vehicles, aircraft and people using the apron are referred to
as apron traffic.
In fact, the preflight activities are done in Ramps; and areas
for parking & maintenance are called aprons. However,
normally the words "Apron" and "Ramp" are used
interchangeably. Passenger gates are the main feature of a
terminal ramp.
'Aircraft stand' is a designated area on an apron intended to
be used for parking an aircraft. Also known as "Parking Bay"
or "Gate". Aircraft stands are named as "Stand Nos" 1,2,
3, ...,31,..,45 etc.
Apron flood-lighting
Apron floodlighting is provided on an apron, on a deicing/
antiicing facility and on a designated isolated aircraft
parking position intended to be used at night.
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:
23 radios for communication with aircraft, linked to
controllers' headsets or to microphones and speakers;
24 a telephone system that connects dedicated voice lines
Notes and public telephone lines via quickdial systems to

__________________ controllers' headsets, allowing them to talk to other
__________________ controllers and outside parties;
__________________
0 a strip board allowing Flight Progress Strips to be used
__________________
(however in some towers these have been replaced by a
__________________
computerised system);
__________________
__________________ 1 a 'very pistol' for exhibiting light signals to the aircraft
__________________ in the event of a radio communication failure;
__________________ 2 wind and pressure gauges.
__________________
3 Various other, optional equipment.
In addition modern control towers may also include the
following:
0 an Aerodrome Traffic Monitor with a small radar display.
1 a Surface Movement Radar displaying aircraft and vehicles
on the airport to assist controllers at night and in poor
visibility.
2 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:
__________________
23 A visual runway, which is used only for VFR flights,
__________________
usually has a threshold marking, a runway number, and
stripes designating the centre line and the runway
edges. It may also have fixeddistance markerstwo
large, white rectangles on either side of the centre line
about 1,000 ft (305 m) from the threshold.
24 An Instrument Runway (nonprecision approach)
supports both VFR and IFR traffic. As indicated by its
name, this type of runway is served by a nonprecision
instrument approach, usually a VOR or NDB approach.
In addition to the markings used on a visual runway, a
nonprecision runway also has threshold markings.
25 An Instrument Runway (precision approach) supports a
precision approach, usually an ILS. Precision runways
have all the marks found on a nonprecision runway,
plus touchdown zone markings. These marks appear at
500ft (150 m) increments, beginning 500 ft from the
threshold. These additional marks help pilots make the
transition from instrument to visual flight and define
the proper touchdown point for an aircraft flying an ILS.
Runway thresholds are marked by green lights at the

landing end and red lights at the departure end. White lights
define runway edges. At a runway served by a precision
instrument approach such as an instrument landing system
(ILS), the white edge lights alternate with red lights starting
1,000 ft from the end of the runway and then change to all
red for the last 500 ft.
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 on Notes
the grass shoulder just beyond the declared runway width. __________________
__________________
Runway Edge Lighting is white except in the following
__________________
instances:
__________________
0 Caution Zone Lighting __________________
__________________
On ILS equipped runways without centre line lighting,
__________________
Yellow edge lighting is installed on the upwind 600 m or
__________________
one third of the lighted runway length available,
__________________
whichever is the less. The Yellow 'caution zone' so
__________________
formed gives a visual warning of the approaching
runway end.
1 PreThreshold Lighting
Where a landing threshold is displaced, but the pre

threshold area is available for the takeoff run, the
lights between the beginning of the runway pavement
and the displaced threshold show red from the
approach. Pilots taking off in such a situation would see
red edge lights up to the green threshold then edge
lights beyond. Where a starter extension, narrower than
its associated runway is provided, blue edge lighting is
normally used to mark the edges.
2 Runway Exit Lighting
One or two omnidirectional blue lights may replace or
supplement the edge lights in order to indicate an exit
taxiway.
3 Stopway Lighting
Where stopway is provided at the end of a runway, the
declared stopway is delineated by red edge and end
lighting showing ONLY in the direction of landing. A
stopway is provided for emergency use only and is not
normally suitable for routine use.
Taxiway Lights
Taxiway edge lights are blue in colour. However, centre line
taxiway way lights are green in colour.
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 lowvisibility conditions. Approach
lights greatly increase a pilot's chances of seeing the runway
and making a safe landing.
Varieties of approach lighting systems, based on the centre
line and cross bar concept, are in use at aerodromes. These
systems range from the simple low intensity centre line and
cross bar intended to serve visual runways at night only, to
the precision approach lights consisting of centre line and 5
cross bars for day and night use on ILS equipped runways.
Simple approach lighting systems normally commence 500 m
prior to the runway threshold whilst the precision approach
commences 900 m prior to runway threshold. Where, because
of the geography of the approach, it is not possible to install
a full system, a shortened system is employed and the
Runway Visual Range (RVR) minima associated with the
instrument approach procedure adjusted accordingly. Except
where supplemented by red side barrettes as described
below, approach lighting is white in colour.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
Types of Approach Lights

Following approach lighting system (ALS) are used.
0 Green threshold lights mark the beginning of the runway.
1 A long line of leadin lights aligned with the runway
centreline. The leadin lights extend from the end of
the runway into the approach area.
Notes 3. Alignment bars perpendicular to the leadin lights that

__________________ help the pilot quickly determine if the airplane is
__________________ properly aligned with the runway.
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
These lights can be seen on the highrise buildings and tall
chimneys, TV Antennas, HT Lines acting as an alert
warning for aircraft flying in the area. For aircraft flying
during night or in poor visibility, flashing or fixed lights are
installed on such structures.
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)
Nondirectional beacon (NDB): is a radio beacon
transmitting nondirectional signals that a pilot of an aircraft
equipped with direction finding equipment can determine
his/ her bearing to or from the radio beacon and "home" on or
track to or from the station. It is similar to a radio broadcast
station in a known location, used as an aviation navigational
aid. NDBs are operated on a frequency between 190 kHz and
1750 kHz. Each NDB is identified by a one, two, or three
letter Morse code call sign.
Notes NDBs have one major advantage over the more sophisticated
__________________ VOR: NDB signals follow the curvature of the earth, so they
__________________ can be received at much greater distances at lower altitudes.
__________________ However, the NDB signal is affected more by atmospheric
__________________ conditions, mountainous terrain, coastal refraction and
__________________ electrical storms, particularly at long range. However, it is
__________________ not possible for an aircraft pilot to know the exact bearing of
__________________ the aircraft. Hence at most of the airports, they are using
__________________ VOR, comparatively a superior radio navigational aid.
__________________ VHF omnidirectional range (VOR)
__________________ VOR, short for VHF Omnidirectional Radio Range, is a
type of radio navigation system for aircraft. VOR broadcasts
a VHF radio composite signal including the station's Morse
code identifier, and data that allows the airborne receiving
equipment to derive the magnetic bearing from the station to
the aircraft (direction from the VOR station in relation to the
earth's magnetic North). This line of position is known as the
"radial". The intersection of two radials from different VOR
stations on a chart allows for a "fix" or specific position of the
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 inbuilt deficiencies of MF (As in NDB)
such as static interference, man made and electrical noise,
less course bending around terrain features and coastlines,
and less interference from bad weather & thunderstorms etc.
Because of their VHF frequency, VOR stations rely on "line
of sight" if the transmitting antenna could not be seen on a
perfectly clear day from the receiving antenna, a useful
signal would not be received. This limits VOR (and DME)
range to the horizon, or closer if mountains intervene. This
means that an extensive network of stations is needed to
provide reasonable coverage along main air routes.
VORs are assigned radio channels between 108.0 MHz Notes

(megahertz) and 117.95 MHz (with 50kHz spacing); this is __________________
in the VHF (very high frequency) range. __________________
The VOR system uses the phase relationship between a __________________
referencephase and a rotatingphase signal to encode __________________
direction. The carrier signal is omnidirectional and contains __________________
the amplitude modulated (AM) station Morse code or voice __________________
identifier. The phase angle is equal to the direction from the __________________
station to the airplane, in degrees from local magnetic north, __________________
and is called the "radial." __________________
Distance measuring equipment __________________
DVOR/DME ground station
Distance Measuring Equipment (DME): It is an

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

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

normally located beyond the departure end of the runway
and generally consists of several pairs of directional
antennas. It provides lateral guidance to the landing
aircraft, by the help of radio signals that assist the aircraft to
come in line of the runway. Two signals are transmitted on a
carrier frequency between 108.10 MHz and 111.975 MHz.
One is modulated at 90 Hz, the other at 150 Hz (Known as
Yellow and Blue rays) and these are transmitted from
separate but colocated antennas. Each antenna transmits a
fairly narrow beam, one slightly to the left of the runway
centre line, the other to the right.
The localizer receiver on the aircraft measures the Difference in Notes
the Depth of Modulation (DDM) of the 90 Hz and 150 Hz __________________
signals. For the localizer, the depth of modulation for each of __________________
the modulating frequencies is 20 percent. The difference __________________
between the two signals varies depending on the position of the __________________
approaching aircraft from the centre line. __________________
If there is a predominance of either 90Hz or 150Hz modulation, __________________
the aircraft is off the centre line. In the cockpit, the needle on __________________
the Horizontal Situation Indicator, or HSI (The Instrument __________________
part of the ILS), will show that the aircraft needs to fly left or __________________
right to correct the positional error to fly down the centre of the __________________
runway. If the DDM is zero the receiver aerial and therefore,
the aircraft, is on the centre line of the localizer coinciding with
the physical runway centre line.
A glideslope or Glidepath (GP) provides vertical guidance to
the landing aircraft by the help of radio signals that assist
the aircraft to come at the right angle of descent for touch
down on the runway. Glidepath antenna array is sited to one
side of the runway touchdown zone. The GP signal is
transmitted on a carrier frequency between 329.15 and 335
MHz using a technique similar to that of the localizer. The
centre line of the glideslope signal is arranged to define a
glideslope of approximately 3° above the horizon.
Localizer and glideslope carrier frequencies are paired so
that only one selection is required to tune both receivers.
These signals are displayed on an instrument in the cockpit.
The pilot controls the aircraft so that the indications on the
instrument remain cantered on the display. This ensures the
aircraft is following the ILS centre line.
There are two Markers provided on the ILS Path known as
Outer marker and Middle Marker to give the distance of the
aircraft from touch down. They are equipped with audible
and visible signals to the pilot.
The outer marker is normally located 7.2 km (4 NM) from
the threshold except that, where this distance is not
Notes practicable, the outer marker may be located between 6.5

__________________ and 11.1 km (3.5 and 6 NM) from the threshold. The Middle
__________________ marker is normally located so as to indicate, in low visibility
__________________ conditions, the missed approach point, at a distance of 1050
__________________ m from the threshold.
__________________
__________________
__________________ There are three categories of ILS which support similarly
__________________ named categories of operation.
__________________ 23 Category I: A precision instrument approach and
__________________ landing with a decision height not lower than 60 m (200
ft) above touchdown zone elevation and with either a
visibility not less than 800 m or a runway visual range
not less than 550 m.
24 Category II: Category II operation: A precision
instrument approach and landing with a decision height
lower than 60 m (200 ft) above touchdown zone
elevation but not lower than 30 m (100 ft), and a
runway visual range not less than 350 m.
25 Category III: is further subdivided
23 Category III A: A precision instrument approach
and landing with:
23 a decision height lower than 30 m (100 ft)
above touchdown zone elevation, or no decision
height; and
24 a runway visual range not less than 200 m.
24 Category III B: A precision instrument approach
and landing with:
23 a decision height lower than 15 m (50 ft) above
touchdown zone elevation, or no decision
height; and
24 a runway visual range less than 200 m but not
less than 50 m.
25 Category III C: A precision instrument approach
and landing with no decision height and no runway
visual range limitations. A Category III C system is
capable of using an aircraft's autopilot to land the
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 takeoff, landing and taxiing of aircraft, excluding
aprons.
Movement area: That part of an aerodrome to be used for
the takeoff, landing and taxiing of aircraft, consisting of the
manoeuvring area and the apron(s).
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;
__________________
__________________ 23 construction or maintenance work on, or immediately
__________________ adjacent to the movement area;
__________________ 24 rough or broken surfaces on a runway, on a taxiway or
on apron.
25 water, snow, slush or ice on a runway, on a taxiway or
on apron.
26 other temporary hazards, including parked aircraft and
birds on the ground or in the air.
27 failure or irregular operation of aerodrome lighting
system.
28 any other pertinent information.
Traffic on the manoeuvring area
Use of RunwayHolding Positions
Taxing aircraft should be held at the runway holding

position, till the runway is reported as clear, and only then it
should be allowed to enter the runway.
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:
23 persons and vehicles operating on the manoeuvring area
of an aerodrome shall be restricted to the essential
minimum, and particular regard shall be given to the
requirements to protect the ILS sensitive areas when
Category II or Category III A precision instrument
operations are in progress;
24 the vehicles shall remain at safe distance from taxiing
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:
23 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 runwayin use than:
__________________
23 at a taxiway/ runway intersection at a runway holding
__________________
position; and
__________________
24 at a location other than a taxiway/ runway intersection
at a distance equal to the separation distance of the
runwayholding position.
Communication Requirements and Visual Signals

At controlled aerodrome vehicles employed on the
manoeuvring area shall be capable of maintaining twoway
radio communication with the aerodrome control tower,
except when the vehicle is occasionally used on the
manoeuvring area and is:
23 accompanied by a vehicle with the required
communications capability, or
24 employed in accordance with a prearranged plan
established with the aerodrome control tower.
Light signal from aerodrome control
Permission to cross landing area or to move onto taxiway
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:
23 aircraft in formation are exempted from the separation
minima with respect to separation from other aircraft of
the same flight;
24 aircraft operating in different areas or different runways
on aerodromes suitable for simultaneous landings or take
offs are exempted from the separation minima;
25 separation minima shall not apply to aircraft operating
under military necessity.
Sufficient separation shall be effected between aircraft in
flight in the traffic circuit to allow the spacing of arriving
and departing aircraft.
Entry into traffic circuit

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

In cases of emergency the ATC should render all assistance
possible.
Priority shall be given to:
23 an aircraft which anticipates being compelled to land
because of factors affecting the safe operation of the
aircraft (engine failure, shortage of fuel, etc.);
Notes 23 hospital aircraft or aircraft carrying any sick or seriously
__________________ injured persons requiring urgent medical attention;
__________________
24 aircraft engaged in search and rescue operations;
__________________
__________________ (d) VVIP aircraft.
__________________
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 takeoff, except that deviations may be
made from this order of priority to facilitate the maximum
number of departures with the least average delay. Factors
which should be considered in relation to the departure
sequence include, interalia:
23 types of aircraft and their relative performance;
24 routes to be followed after takeoff;
25 any specified minimum departure interval between
takeoffs;
26 need to apply wake turbulence separation minima;
27 aircraft which should be afforded priority; and
28 aircraft subject to ATFM requirements.
Separation of departing aircraft.

A departing aircraft will not normally be permitted to
commence takeoff until the preceding departing aircraft has
crossed the end of the runwayinuse or has started a turn or
until all preceding landing aircraft are clear of the runway
inuse.
Takeoff clearance.
Takeoff clearance may be issued to an aircraft when there is Notes
reasonable assurance that the separation will exist when the __________________
aircraft commences takeoff. __________________
__________________
When an ATC clearance is required prior to take off, the
__________________
takeoff clearance shall not be issued until the ATC
__________________
clearance has been transmitted to and acknowledged by the
__________________
aircraft concerned.
__________________
The takeoff clearance shall be issued when the aircraft is __________________
ready for takeoff and at or approaching the departure __________________
runway, and the traffic situation permits. To reduce the __________________
potential for misunderstanding, the takeoff clearance shall
include the designator of the departure runway.
In the interest of expediting traffic, a clearance for
immediate takeoff may be issued to an aircraft before it
enters the runway. On acceptance of such clearance the
aircraft shall taxi out to the runway and take off in one
continuous movement.
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 runwayinuse,
or has started a turn, or until all preceding landing aircraft
are clear of the runwayinuse.
Notes Clearance to land.

__________________
An aircraft may be cleared to land when there is reasonable
__________________
assurance that the separation will exist when the aircraft
__________________
crosses the runway threshold, provided that a clearance to
__________________
land shall not be issued until a preceding landing aircraft
__________________ has crossed the runway threshold. To reduce the potential
__________________ for misunderstanding, the landing clearance shall include
__________________ the designator of the landing runway.
__________________
__________________ Landing and roll-out manoeuvres.
__________________ When necessary or desirable in order to expedite traffic, a
landing aircraft may be requested to:
23 hold short of an intersecting runway after landing;
24 land beyond the touchdown zone of the runway;
25 vacate the runway at a specified exit taxiway;
26 expedite vacating the runway.
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
5888 during the time from sunset to sun rise;
5889 during time from sunrise to sunset when visibility is
3000 m or less;
5890 when requested by pilot. When so requested, further
adjustment of the intensity light shall also be made
whenever possible.
5891 at any other time when their use, based on weather
conditions, is considered desirable for the safety of air
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, takeoff or taxiing purposes, unless
__________________
required for runway inspections or maintenance.
__________________
__________________
23 at aerodromes where air traffic control service is
__________________
provided and where lights are centrally controlled, the
__________________
lights of one runway shall remain lighted after takeoff
__________________
as long as is considered necessary for the return of the
__________________
aircraft due to an emergency occurring during or
__________________
immediately after takeoff;
24 at aerodromes without air traffic control service or
without centrally controlled lights, the lights of one
runway shall remain lighted until such time as would
normally be required to reactivate the lights in the
likelihood of the departing aircraft returning for an
emergency landing, and in any case not less than fifteen
minutes after takeoff.
Taxiway lighting.
Where required to provide taxi guidance, taxiway lighting
shall be turned on in such order that a continuous indication
of the taxi path is presented to taxiing aircraft. Taxiway
lighting or any portion thereof may be turned off when no
longer needed.
Obstacle lighting.
Obstacle lighting associated with the approach to or
departure from a runway or channel, where the obstacle does
not project through the inner horizontal surface should be
turned off and on simultaneously with the runway lights.
Unserviceability lights may not be turned off while the
aerodrome is open.
References
5888 ICAO Annex 14 to the Convention on
International Civil AviationVolume I' Aerodrome
Design and Operations', Fourth Edition, July 2004
23 Civil Aviation Requirements, Section4, Aerodrome Notes

Standards & Air Traffic Services, Series 'B', Part I dated __________________
31st July, 2006: Aerodrome Design And Operations, __________________
issued by Office Of Director General Of Civil Aviation. __________________
__________________
24 ICAO Aerodrome Design Manual (ICAO Doc 9157), Part
__________________
1 Runways, Part 2 Taxiways, Aprons and Holding
__________________
Bays, Part 3 Pavements, Part 4 Visual Aids, Part 5
__________________
Electrical Systems.
__________________
25 ICAO Manual of Surface Movement Guidance and
__________________
Control Systems (SMGCS) (ICAO Doc 9476) __________________
26 Airports Authority of India ATS Manual.
27 ICAO Annex 10 Volume IAeronautical

Telecommunications Radio Navigation Aids, Fifth
Edition July 1996
Questions
General Questions
0 Describe the functioning of a Visual Approach Slope
Indicator System (VASIS) or a Precision Approach Path
Indicator (PAPI)
1 What is an ILS (Instruments Landing System)? What
are its main features?
2 What are the different types of aircraft emergencies?
What are the actions taken by various ground agencies
to handle such emergencies?
Objective Type Questions.

0 Two parallel runways located in North/South direction
will be named as and .
1 Precision Approach Runway Cat II is a kind of
0 Instrument runway
1 Non Instrument runway
2 Grassy runway
3 Unlighted Runway
Notes 0 An aircraft is landing on Runway 09 at an airport. This
__________________ means that the aircraft is approaching from; to
__________________
1 VOR & DME are used for getting the & of
__________________
the aircraft from an airport.
__________________
__________________ 2 Top Priority for landing should be given to the aircraft
__________________ 23 Aircraft experiencing inflight emergency like engine
__________________
failure, fire, shortage of fuel etc.
__________________
23 The Taxiway markings are shown by broken white lines
__________________
__________________ and the colour of taxiway edge lights is
24 The NDB (Non Directional Beacon) is used by aircraft
for communication with ATC. (True or False)
25 Displaced Threshold mean;
23 A threshold not located at the extremity of a runway.
24 A runway not aligned properly.
25 A runway located very far from the airport.
26 A misplaced taxiway
Answers to Objective Type of questions

23 18L/36R, 18R/36L
24 i. Instrument runway
25 West to East
26 Direction & Distance
27 Aircraft experiencing inflight emergency like engine
failure, fire, shortage of fuel etc.
28 Blue
29 False
h.
23 A threshold not located at the extremity of a runway.
UNIT 2 Crew Alerting Management 41
Unit 2 Notes
__________________
__________________
Crew Alerting Management __________________
__________________
__________________
__________________
General __________________
Aircraft while in flight is prone to various types of __________________
emergency situations, which become risky if not attended in __________________
time. The flight crew members (Pilots, Copilots, Flight __________________
Engineers, Cabin crew, stewards etc.) are expected to handle
such situations of their own, since it may not be possible to
provide any kind of fruitful assistance by ground personnel
in the air. However, under such circumstances, ground
people (ATC, Airlines, Fire Staff, Ground handling staff,
Military and Defence authorities etc.) make efforts to allow
the aircraft to land in a safe, expeditious and efficient
manner and then provide full ground assistance; and also
help in search & rescue efforts.
In order to resolve any such eventuality, the best possible
assistance that can be given to the pilot by the system is in
the form of an early warning, so that he is able to take the
necessary preventive action at the earliest. In order to meet
this requirement, modern aircraft are equipped with various
facilities and gadgets, which provide early alert warning of
an emergency situation in the aircraft.
Some such installations are given below;
If the speed of the aircraft becomes dangerously low (Known
as stalling speed) this particular warning appears, so that
the pilot can take preventing action to increase the speed of
the aircraft.
In the event of fire in the aircraft the Fire Warning appears
in the form on bell, buzzer and light, thereby causing the
Notes pilot to apply fire extinguishers and can take other

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

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

designed to alert pilots if their aircraft is in immediate
danger of flying into the ground or high terrain. Another
common name for such a system is groundcollision warning
system (GCWS).
UNIT 2 Crew Alerting Management In 2002 an
advanced version of
The system monitors an aircraft’s height above ground as
determined by a radar altimeter. A computer then keeps GPWS, known as
track of these readings, calculates trends, and will warn the “Enhanced Ground
captain with visual and audio messages if the aircraft is in Proximity Warning
certain defined flying configurations (“modes”), like “Whoop System” (EGPWS)
Whoop Pull up”. or “Terrain
The modes are:
Risk Warning (Aural/Visual)
0 Excessive descent rate (“PULL UP” “SINKRATE”)
1 Excessive terrain closure rate (“TERRAIN” “PULL UP”)
2 Altitude loss after take off (“DON’T SINK”)
3 Unsafe terrain clearance (“TOO LOW TERRAIN”
“TOO LOW GEAR” “TOO LOW FLAPS”)
4 Excessive deviation below glide slope (“GLIDE
SLOPE”)
5 Bank angle protection (“BANK ANGLE”)[With EGPWS]
6 Wind shear protection (“WINDSHEAR”)[With EGPWS]
Prior to the development of GPWS in US, large passenger

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

which are directly below the aircraft, and, it does give
information about the obstructions just ahead of it. Thus if
there is a sudden change in terrain, such as a steep slope,
GPWS will not detect the aircraft closure rate until it is too
late for evasive action.
43
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
Notes avoidance System (TAWS)” based on new technology was

__________________ introduced, which could solve this problem by presenting
__________________ information about obstacles ahead of the aircraft. In addition
__________________ it could also give warnings about the wind shear and
__________________ excessive bank angle on approach.
__________________
__________________
__________________ On 12th Nov. 96, a tragic aircraft accident occurred over
__________________ Village Charkhi Dadari near Delhi. On that day one B747 of
__________________ Saudi Arab Airlines and an IL76 aircraft of Kazakhstan
__________________ Airlines collided in the air while Saudia was climbing to
14,000ft and Kazakh was descending to 15,000ft. All the 351
innocent passengers and crew of both the aircraft got killed
and the debris of the illfated aircraft mingled with the dead
bodies fell over the fields. The midair collision left the world
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 SaudiaKazakh midair, another
incident was reported. ‘AirForce One’ (also known as the ‘flying
White’ House), the VIP Jumbo jet (B747200) aircraft which is
the official aircraft used by the President of the United States,
came dangerously close to another US Cargo plane while they
were about 400 Kms off the European Coast.
These aircraft were operating flights between USA and Europe
on reciprocal tracks and they came close to each other within 2
to 3 nautical miles (4 to 6 Kms) laterally and less than 1000 ft.
vertically. At a combined speed of about 15002000 Kms an
hour (or about 25 to 30 Kms per minute), these aircraft should
have been hardly 15 to 20 seconds away from each other
creating a critically dangerous situation. However immediate
alert warnings in the cockpit were given by the stateoftheart
equipment known as “Traffic Alert Collision
Avoidance System (TCAS)” and the pilots could manoeuvre Notes
the aircraft safely taking them out of danger. Thus because __________________
of the presence of a particular equipment, a possible disaster __________________
could be averted. __________________
__________________
This important equipment TCAS (also called Airborne
__________________
Collision Avoidance System or ACAS) is thus getting the
__________________
recognition as one of the primary requirement for the safety
__________________
of the passenger aircraft.
__________________
ACAS or Airborne Collision Avoidance System is an airto
__________________
air communication system that gives audio visual warnings
__________________
in the cockpit in the event of a potential danger being faced
in the form of a conflicting aircraft dangerously coming in
the close proximity. ACAS provides avoidance protection &
air space situational awareness for the aircraft and is
completely independent of groundbased equipment. ACAS
can track as many as 45 aircraft and display up to 30 of
them at a time.
ACAS works on the principal of Secondary Surveillance
Radar (SSR), where in radio signals are sent and received in
the form of questionsanswers (or Interrogatortransponder)
between the aircraft and the ground control (Air Traffic
Control Centre). The only difference between SSR and the
ACAS is that, while in case of a SSR the questionanswer is
between ground and the aircraft, in case of ACAS the
interrogation is between aircraft to aircraft.
TYPE OF EQUIPMENT
There are 3 type of ACAS equipment presently available.
ACASI provides traffic information (Known as Traffic

Advisories or TAs) and it acts as an aid to “SEE & AVOID
ACTION”. This type of warning is known as traffic
advisories (TAs). However, this equipment does not have the
capability for generating Resolution Advisories (RAs), which
is the advisory type of manoeuvre for altering the flight path
for avoiding the conflict. ACAS is found to be very useful
equipment for the pilot as it immediately issues alert
warnings for avoidance of collision. This warning issued by
ACASI, known as Traffic Advisories (TA) is in the form of
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, ACASI can issue only “TRAFFIC TRAFFIC”
__________________ aural warnings and the relevant visual warnings, but it
__________________ cannot advise the pilot to take steps for avoiding the
__________________ conflicting traffic. ACAS I is intended for use in smaller
__________________ commuter and general aviation aircraft.
ACASII: This equipment provides coordinated vertical
Resolution Advisories (RAs) such as “CLIMB, CLIMB” in
addition to Traffic Advisories (TAs) in the event of the
aircraft facing threat from a conflicting traffic. This is one of
the most important equipment that has been accepted for
international implementation and standardization by ICAO.
ACAS II is intended for use in air transport category aircraft
and large commuter aircraft.
In addition to TAs, the advanced version of ACAS known as
ACASII, also issues Resolution Advisories (RA) alerting the
pilot to take evasive action for avoidance of collision. For
example:
0 CLIMB; CLIMB; CLIMB
1 CLIMB CROSSING CLIMB; CLIMB CROSSING
CLIMB;
2 DESCENT; DESCENT; DESCENT
3 REDUCE DESCEND; REDUCE DESCEND
4 INCREASE CLIMB; INCREASE CLIMB
5 MONITOR VERTICAL SPEED; MONITOR VERTICAL
SPEED
6 CLEAR OF CONFLICT, and so on...
ACASIII: ACAS III provides vertical as well as horizontal
Resolution Advisories in addition to Traffic Advisories.
ACASIV: ACAS IV is being designed to meet the operational
requirements of Free Flight and Future Air Navigation Systems
(FANS) and may include GPS composition
capabilities, horizontal Resolution Advisories, extended Notes

Range and other enhancement over existing TCAS/ACAS __________________
equipment. Similar type higher versions of the equipment __________________
are also under development. __________________
__________________
LIMITATIONS __________________
ACAS has got a limitation that both the aircraft which are __________________
coming within the close proximity to each other must be __________________
equipped with ACAS on board, in order to have Traffic __________________
Advisories (TAs) as well as Resolution Advisories (RAs). __________________
However, in case the intruding aircraft is not fitted with __________________
ACAS, still the alert warning in the form of Traffic
Advisories (TAs) will be received by the pilot.
Looking into all these aspects, Govt. of India has made it
mandatory for passenger aircraft to get themselves equipped
with ACAS System.
There can be a number of aircraft emergencies, which may
create various problems for the pilot. ATC is the first and
most important unit to interact with the pilot during aircraft
emergencies. Some such problems are discussed below;
The Pilot can abort takeof, in case of any problem during T/
O provided the aircraft has not crossed the V1 speed.
If an engine fails during or immediately after T/O, the Pilot
normally tries to land straight without delay. ATC will
provide full assistance to clear the runway and divert all
other traffic.
A precautionary landing is made by the pilot when the

aircraft and engines may be functioning normally, however,
there may be some small problem causing the pilot to take
the landing as a precautionary step.
Notes Some such cases could be
__________________
0One engine shut down due oil loss, heavy vibration or
__________________
similar such malfunctions etc. (Other engines working
__________________
normally).
__________________
__________________ 1Minor Instrument failure
__________________ 2Bad weather
__________________
__________________
3Other minor snags
__________________ 4Fuel leakage or not having sufficient fuel to reach to the
__________________
desired destination
5Smoke warning
6Any other warning, which is assumed to be False
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;
23 Fire on aircraft
24 Malfunction of any Control system
25 Major Failure of any critical part/Instrument
26 Aircraft loosing height due multi engine failure
27 Acute Fuel shortage
28 Aircraft in distress due to any other reason.
Pressurisation is needed in the cabin of an aircraft flying at
an altitude above 8000 ft. Normally modern aircraft cruise at
an altitude of 30,000 ft. to 50,000 ft. Thus in the event of
Pressurization Failure at high altitudes, the passengers and
the crew would face acute discomfort and serious medical &
biological problems.
Thus the aircraft would need immediate descent below 9000 Notes
ft. Thereafter, the flight can be continued in normal manner __________________
(Provided the aircraft has not remained with Pressurization __________________
Failure for a long duration, when the passengers may need __________________
immediate medical attention). __________________
__________________
__________________
Many controls of the aircraft like flaps, Landing Gears, __________________
Brake actuating systems etc. are normally operated __________________
hydraulically. In case of Hydraulic Failure, the pilot may __________________
face tremendous problems in operating the controls/ systems __________________
etc, and may need priority landing. The aircraft on landing
may require longer length of runway for landing, and may
block the runway as it will not be able to taxi on its own; and
may have to be towed out.
In case the pilot of an aircraft gets the warning indication
that the wheels are not extended and locked, there can be
two possibilities.
First the wheels might be extended but the warning may be false
due to some reason. In such cases the pilot flies the aircraft low
across the Air Traffic Control Tower for visual inspection of the
Landing Gears. However, if the Landing Gears are actually not
extended, the pilot make attempts to extend the gears through
mechanical methods or manually. If all efforts fail, the pilot tries to
make a bellylanding which is a case of full emergency.
There may be a case when the pilot is not able to retract the
L/G after it is airborne. In such cases the pilot would not like
to continue the flight and instead would return for landing.
This may be a precautionary landing.
Upon receipt of information regarding any emergency

situation, the Air traffic control (ATC) unit will declare an
alert in the form of a;
23 LOCAL STANDBY
24 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.
5888 unless clearly stated by the flight crew or otherwise
known, take all necessary steps to ascertain aircraft
identification and type, the nature of emergency, the
intentions of the flight crew as well as the position and
level of the aircraft;
5889 decide upon the most appropriate type of assistance
which can be rendered;
5890 enlist the aid of any other ATS unit or other services
which may be able to provide assistance to the aircraft;
5891 provide the flight crew with any information requested
as well as any additional relevant information, such as
details on suitable aerodromes, minimum safe altitudes,
weather information;
5892 obtain from the operator or the flight crew such of the
following information as may be relevant: number of
persons on board, amount of fuel remaining, possible
presence of hazardous materials and the nature thereof;
and
5893 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:
23 transmit, and continue to transmit, information

pertinent to the safe conduct of the flight, without
expecting a reply from the aircraft;
24 monitor and plot the progress of the flight with the
means available, and coordinate transfer of control with
adjacent ATS units without requiring transmissions or
other responses from the aircraft, unless
communication with the aircraft remains normal;
25 inform, and continue to keep informed, appropriate ATS
units, including those in adjacent Flight Information
Regions (FIRs), which may be concerned with the
progress of the flight;
Notes 5888 notify: the airline operator, the appropriate rescue

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

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

A VFR flight reporting that it is uncertain of its position or lost,
or encountering adverse weather conditions, should be
considered to be in a state of emergency and handled as such.
Navigation assistance to help the pilot determine the aircraft
position may be provided by use of radar, directionfinder,
navigation aids or sighting by another aircraft. Care must be
taken when providing navigation assistance to ensure that
the aircraft does not enter cloud.
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
23 Aeronautical Information Circular No. 03 of 2006 issued
by DGCA Dt 19th May 2006.
24 ICAO Airport Services Manual (Doc 9137) Part 1 —
Rescue and Fire Fighting.
25 DGCA, Civil Aviation Requirement, Aircraft
Instrument, Equipment And AccessoriesGPWS, Series
IPart VII, Issue II, Dated 28599
26 DGCA, Civil Aviation Requirement, Aircraft
Instrument, Equipment And AccessoriesACAS, Series
IPart VIII, Issue II, Dated 24497
27 AAI Air Traffic Services Manual
28 AAI Airport Operations Manual
Notes 5888 DGCA Website http://dgca.nic.in/ also http://dgca.gov.in/

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

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

5888 In case of hydraulic failure the aircraft may
experience the following problems;
5889 If two aircraft come dangerously close to each other, an
alert warning will be issued by — equipment installed
in the aircraft.
5890 GPWS is the equipment installed for safety of aircraft to
avoid of collision with high terrain and hills etc. It
stands for ——
5891 In case of Pressurization failure, the aircraft may need
the following assistance;
23 ——
5888 EICAS (Engine Indicating and Crew Alerting System);
i. ——
UNIT 2 Crew Alerting Management ᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀȀЀĀȀ⸀ĀȀĀȀĀ⸀Ā
ᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀЀĀ515
23 It only provides engine information Describe the
functioning of
24 It shuts down all aircraft engines in case the pilot
GPWS
receives a smoke warning. equipment.
25 It is another form of ACAS.
23 GPWS issues alert warning “TerrainTerrain”,
whenever;
23 —
24 In case of a fire on one of its engines, the aircraft may;
23 Make an Emergency landing.
24 Make a precautionary landing
25 Fly near control tower for visual confirmation
23 Continue its flight as long as there is no fuel shortage.
23 Prior to an emergency landing, the Fuel dumping is
necessary so as to;
23 To cool down the temperature of the aircraft.
24 reduce the landing weight of the aircraft to bring it
within the maximum permissible & safe limit of
landing.
25 To increase the flying speed of the aircraft.
26 Achieve a quick descent rate.
General Questions
ᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀȀЀĀȀ⸀ĀȀĀȀĀ⸀ĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀЀĀ512
What is the Airborne Collision Avoidance System (ACAS) or
TCAS. How it functions?
ᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀȀЀĀȀ⸀ĀȀĀȀĀ⸀ĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀЀĀ513An aircraft
is coming for emergency landing due to ‘Landing Gears’
not extending? What actions are required to be taken by
the pilot and different ground agencies?
ᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀȀЀĀȀ⸀ĀȀĀȀĀ⸀ĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀᜀĀЀĀ514In case the
aircraft is met with a bomb threat or an unlawful
interference (Threat of Hijacking), what action is
required to be taken by the ATC Unit.
55
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
Notes Answers to Objective Type of questions

__________________ 0 On landing the aircraft may need longer runway to stop
__________________
due to less effective brakes, and may need towing as it
__________________
may not be able to turn.
__________________
1 ACAS .
__________________
__________________ 2 Ground Proximity Warning System
__________________
3 Immediate descent to a height of 8000 ft or low.
__________________
__________________
4 EICAS (Engine Indicating and Crew Alerting System)
__________________
It is an integrated system used in modern aircraft to
provide aircraft crew aircraft engines and other systems
instrumentation and crew annunciation.
5 Aircraft comes in close proximity of a high hill or high
ground.
6 Make an Emergency landing.
7 reduce the landing weight of the aircraft to bring it within
the maximum permissible & safe limit of landing.
UNIT 3 Transportation of Hazardous Material 57
Unit 3 Notes
__________________
__________________
Transportation of Hazardous __________________
Material __________________
__________________
__________________
"Dangerous goods" or "Hazardous Material" means articles
__________________
or substances which are capable of posing a risk to health,
__________________
safety, property or the environment and which are listed as
__________________
such in the Technical Instructions or which are classified
__________________
according to the Technical Instructions. The above
mentioned Technical Instructions known as "Technical
Instructions for the Safe Transport of Dangerous Goods by
Air" are in the form of an ICAO document (ICAO Doc 9284)
issued by ICAO and is available for sale at ICAO and at their
authorised dealers.
A number of aircraft accidents and many cases of explosions
are caused as a result of carriage of certain dangerous or
prohibited articles inside the aircraft which are referred as
`Hazardous cargo by International Civil Aviation
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 carryon
__________________ 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.)
0 Source Hazardous Materials Advisory Council and
the US Federal Aviation Administration.
There are hundreds of cases of aircraft accidents, which were
primarily caused due to dangerous articles. For example, a
B727 aircraft was flying at 35,000 feet with 68 passengers on
board. The flight attendants suddenly smelled a burning odour
and some smoke at the rear side of the passenger cabin. One
airhostess went with the fire extinguisher and found that the
flames were emerging from a passenger baggage kept below his
seat. With great difficulty the fire could be controlled which had
already spread all around by that time.
The pilot informed Air Traffic control and made an Notes

emergency landing at the airport. Fortunately there was no __________________
injury to any passenger. However the aircraft had suffered __________________
significant fire damage in and around the area of fire. __________________
__________________
During investigation it was found that the fire has emerged
__________________
from the handbag of a passenger that contained a book of
__________________
matchboxes which ignited due to friction and vibration due
__________________
to presence of a container of hair spray perfume and other
__________________
miscellaneous items that were found to be highly
__________________
inflammable during tests.
__________________
In another accident a Pan Am B707 cargo aircraft crashed
during emergency landing at Boston in December 1973
killing all the three crew members who were the only
occupants of the aircraft. Investigations revealed that
incorrectly packed nitric acid had spilled reacted with the
sawdust packing and the resultant toxic fumes affected the
crew performance. The accident was attributed to carriage of
dangerous goods.
Similarly in case of another cargo flight in Canada the crew
smelled a strong nauseating odour twenty minutes after
departure. The crew members decided to return and make
an emergency landing after wearing protective oxygen
masks. On ground the officials found a 10litre container of
Ethyl Mercaptan a chemical used for mixing with cooking
gas for making it smelly (Normally the cooking gases which
consist of Butane and Propane is odourless however it is
made odoury by artificial means so as to make its presence
felt during leakage to prevent kitchen accidents). The
material (Ethyl Marcaptan) had leaked and had been
absorbed by the packing in the outer container. Thus a near
mishap was averted.
On 12 April 89 a powerful blast damaged some portion of the
airport building at Calcutta International Airport. The
explosion occurred a few minutes before the CalcuttaMumbai
(Bombay) flight was to takeoff. The investigating officer
located the source of explosion in a package brought by a
private courier service from Vishakhapatnam that was to be
dispatched to Mumbai for its final destination to Cochin
Notes (Kerala). Had the package containing explosive materials not
__________________ exploded while it was in the airport lounge it would have
__________________ been loaded on to the CalcuttaMumbai (Bombay) flight.
__________________ Under those circumstances there was every possibility of it
__________________ exploding in the aircraft after it had taken off leading to
__________________ disastrous consequences) as nearly 230 passengers were to
__________________ travel by that flight.
__________________ Investigation revealed that the explosive material, locally
__________________ known as "rocket parachute", normally used by fisherman as
__________________ a danger signal in case of an emergency at the mid sea. It is
__________________ likely that the parcel might not have been intended for the
sabotage (perhaps it was meant for the genuine need of a
local fisherman) however the danger involved in such a risky
transportation was easily evident.
As a matter of fact International Civil Aviation Organisation
has issued ICAO Annex18 to the Convention on
International Civil Aviation (The Safe Transport of
Dangerous Goods by Air) containing Standards and
Recommended Practices for the Transportation of Dangerous
Goods by Air. All contracting States are required to follow
these instructions, which in turn would result into carriage
of dangerous goods in a safe and secured manner that will
not pose any danger to passengers, aircraft and the crew.
Govt. of India has also formulated rules for carriage of
Hazardous material vide "The Aircraft (Carriage of
Dangerous Goods) Rules, 2003". The relevant extracts from
these rules are given below.
0 Every Operator (a person, organisation or enterprise

engaged in or offering to engage in an aircraft
operation) is required to be certified by the DGCA to
carry the dangerous goods.
1 These dangerous goods will be required to be carried in
accordance with the requirements specified in the
Technical Instructions issued by the International Civil
Aviation Organisation (ICAO Doc 9284);
0 A permission in writing is required to be granted by the Notes
Central Government for carriage of explosives and __________________
radioactive material. __________________
__________________
1 In the event of an extreme emergency such as national
__________________
or international crisis or natural calamities or otherwise
__________________
necessitating transportation by air of such goods and
__________________
full compliance with the requirements specified in the
__________________
Technical Instructions may adversely affect the public
__________________
interest, exemption may be granted for such carriage by
__________________
DGCA/ Central Government.
__________________
2 The articles and substances classified as dangerous
goods but otherwise required to be on board the aircraft
in accordance with the pertinent airworthiness
requirements and the operating regulations, or for
specialised purposes are also exempted
3 It is the duty of the shipper, the operator and every
person concerned with packing, marking, labelling,
acceptance, handling, loading, unloading, storage,
transportation or any other process connected directly
or indirectly with carriage of such dangerous goods, to
take all precautions to avoid danger to the aircraft or to
the persons on board or to any other person or property.
4 In case of requirement, the Government may cause the
dangerous goods in question to be placed under his
custody pending detailed examination of the nature of
the goods or pending a decision regarding the action, if
any, to be taken in the matter.
5 The dangerous goods shall be classified in accordance
with the provisions of the Technical Instructions.
6 Dangerous goods will be required to be packed in

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

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

marked in accordance with the requirements specified in
the Technical Instructions. It should be marked with the
proper shipping name of its contents and, when assigned,
the UN number (Fourdigit number assigned by the United
Nations Committee of Experts on the Transport of
Dangerous Goods to identify a substance or a particular
group of substances) and such other markings as may be
specified in those Instructions. For marking, the languages
of the State of origin and English shall also be used.
6 No shipper or his agent shall offer any package or

overpack (An enclosure used by a single shipper to
contain one or more packages and to form one handling Notes
unit for convenience of handling and stowage) of __________________
dangerous goods for transport by air unless he has __________________
ensured that such dangerous goods are not forbidden for __________________
transport by air and are properly classified, packed, __________________
marked and labelled in accordance with the __________________
requirements specified in the Technical Instructions. He __________________
must also complete, sign and provided to the operator a __________________
dangerous goods transport document, as specified in the __________________
Technical Instructions. __________________
__________________
0 The operator shall accept dangerous goods for transport
by air, subject to duly certified, labelled, marked, as per
the Technical Instructions
1 The package, overpack or freight container containing
the dangerous goods should be inspected for evidence of
leakage or damage before loading.
2 A unit load device (any type of freight container, aircraft
container or aircraft pallet with a net, but excluding an
overpack, designed for loading on an aircraft) shall not
be loaded aboard an aircraft unless the device has been
inspected and found free from any evidence of leakage
from, or damage to, any dangerous goods contained
therein.
3 Where any package of dangerous goods loaded on an
aircraft appears to be damaged or leaking, the operator
shall remove such package from the aircraft, or arrange
for its removal by an appropriate authority or
organisation, as the case may be, and thereafter shall
ensure that the remainder of the consignment is in a
proper condition for transport by air and that no other
package has been contaminated.
4 If evidence of any damage or leakage upon unloading
from the aircraft or unit load device and if evidence of
damage or leakage is found, the area where the
dangerous goods or unit load device were stowed on the
aircraft shall be inspected for damage or contamination.
Notes 0 Dangerous goods should not be carried in an aircraft

__________________ cabin occupied by passengers or on the flight deck of an
__________________ aircraft.
__________________
1 Any hazardous contamination found on an aircraft as a
__________________
result of leakage or damage to dangerous goods shall be
__________________
removed without delay.
__________________
__________________ 2 An aircraft which has been contaminated by radioactive
__________________
materials shall immediately be taken out of service and
__________________
not returned to service until the radiation level at any
__________________
accessible surface and the nonfixed contamination are
not more than the values specified in the Technical
Instructions.
3 Packages containing dangerous goods which might react
dangerously with one another shall not be stowed on an
aircraft next to each other or in a position that would
allow interaction between them in the event of leakage.
4 Packages of toxic and infectious substances shall be
stowed on an aircraft in accordance with the
requirements specified in the Technical Instructions.
5 Packages of radioactive materials shall be stowed on an
aircraft so that they are separated from persons, live
animals and undeveloped film, in accordance with the
requirements specified in the Technical Instructions.
6 When dangerous goods are loaded in an aircraft, the
operator shall protect the dangerous goods from being
damaged, and shall secure such goods in the aircraft in
such a manner that will prevent any movement in flight
which would change the orientation of the packages. For
packages containing radioactive materials, the securing
shall be adequate to ensure that the separation
requirements at all times.
7 Except as otherwise provided in the Technical
Instructions, packages of dangerous goods bearing the
"Cargo aircraft only" label shall be loaded in such a
manner that a crew member or other authorised person
can see, handle and, where size and weight permit,
separate such packages from other cargo in flight.
Notes
__________________
0 The operator shall provide information in writing to the
__________________
pilotincommand about the dangerous goods before
__________________
departure of the aircraft.
__________________
1 The operator shall provide such information in the __________________
Operations Manual so as to enable the flight crew __________________
member to carry out their responsibilities with regard __________________
to the transport of dangerous goods and shall also __________________
provide instructions as to the action to be taken in the __________________
event of emergencies arising involving dangerous goods. __________________
2 Operators shall ensure that information is promulgated
in such a manner that passengers are warned as to the
types of goods which they are forbidden from
transporting aboard an aircraft as provided in the
Technical Instructions.
3 Operators, shippers or other organisations involved in
the transport of dangerous goods by air shall provide
such information to their personnel so as to enable them
to carry out their responsibilities with regard to the
transport of dangerous goods and shall also provide
instructions as to the action to be taken in the event of
emergencies arising involving dangerous goods.
4 If an inflight emergency occurs, the pilotincommand
shall, as soon as the situation permits, inform the
appropriate air traffic services unit, for the information
of aerodrome authorities, of any dangerous goods on
board the aircraft, as provided in the Technical
Instructions.
5 In the event of an aircraft accident or a serious incident
where dangerous goods carried as cargo are involved, the
operator of the aircraft shall provide information, without
delay, to the emergency services responding to the accident
or serious incident, and, as soon as possible, to the
appropriate authorities of the State of the operator and the
State in which the accident or serious incident occurred,
about the dangerous goods on board, as shown on the
written information to the pilotincommand.
Notes 0 In the event of an aircraft incident, the operator of an
__________________ aircraft carrying dangerous goods as cargo shall, upon
__________________ request, provide information, without delay, to the
__________________ emergency services responding to the incident and also
__________________ to the appropriate authority of the State in which the
__________________ incident occurred, about the dangerous goods on board,
__________________ as shown on the written information to the pilotin
__________________ command.
__________________
__________________
1 The officials of DGCA, or Government may, at any
__________________
reasonable time, are authorized to enter any place to
which access is necessary and inspect any services,
equipment, documents and records.
In the event of a dangerous goods accident or dangerous

goods incident, as the case may be, the pilotincommand of
the aircraft and the operator of the aircraft or of the
aerodrome, as the case may be, shall submit a report in
writing to the Director General on such accident or incident.
The report shall, in addition to any other relevant
information, contain the following information, namely:
0 the type, nationality and registration marks of aircraft;
1 the name of the owner, operator and hirer of the aircraft;
2 the name of the pilotincommand of the aircraft;
3 the nature and purpose of the flight;
4 the date and time of the dangerous goods accident or
incident;
5 the place where the accident occurred:
6 the last point of departure and the next point of
intended landing of the aircraft;
7 the details of the dangerous goods on board the aircraft
viz. their proper shipping name, UN number, quantity
etc.
0 the known cause of the dangerous goods accident or Notes
incident; __________________
__________________
1 details of other cargo on board the aircraft;
__________________
2 the extent of known damage to the aircraft, other __________________
property and persons on board the aircraft; __________________
__________________
3 any other information required to be included by the
__________________
DirectorGeneral.
__________________
4 On receipt of such report, the DGCA may, if considered __________________
necessary, order an investigation to determine the __________________
causes of such accident or incident and take preventive
measures to avoid reoccurrence of such accident or
incident.
5 All persons engaged in any manner in the transport of
dangerous goods like shippers, operators, ground
handling agencies, freight forwarders, security agencies
etc. shall undergo proper training in accordance with
the Technical Instructions.
6 Training shall be provided in the requirements
commensurate with the responsibilities of the personnel
being trained and such training shall include, general
familiarization training, function, safety training.
7 Training shall be provided or verified upon the
employment of a person in a position involving the
transport of dangerous goods by air and recurrent
training shall take place within twentyfour months of
previous training to ensure knowledge is current.
8 The training programmes established and maintained
by or on behalf of operators shall be subjected to review
and approval by Government/ DGCA.
9 The DGCA has issued Aeronautical Information Circulars
(AICs No. AIC 03 of 2004 Dated 24th Feb 2004) and Civil
Aviation Requirement (CAR), Section 3 Air
Notes Transport Series 'L' Part III dated 4th October 2006,
__________________ containing the provisions of the requirement of
__________________ transport and training on the carriage of dangerous
__________________ goods by air, and Air Safety Circular No. 2 of 1962 and 2
__________________ of 1989 dated 13th January, 1989 containing the
__________________ Instructions regarding handling of Radio active
__________________ materials and aircraft emergencies containing Radio
__________________ active materials. These circulars are given in the
__________________ Appendix.
__________________
__________________
0 The Central Government may, by general or special
order in writing, exempt any aircraft or class of aircraft
or any person or class of persons from the operation of
these rules, either wholly or partially, subject to such
conditions, if any, as may be specified in that order.
1 Where the DirectorGeneral, after giving an opportunity
of being heard, is satisfied that any person has
contravened or failed to comply with the provisions of
these rules, he may, for reasons to be recorded in
writing, cancel or suspend any licence, certificate or
approval issued under these rules or under the Aircraft
Rules, 1937.
Any unaccompanied baggage required to be carried by air is
sometimes subjected to undergo waiting through a certain
period of time known as "Cooling period". Thereafter the
baggage is loaded on board the aircraft. This is done with the
intensions to exclude the possibility of any mishap to take
place on ground instead of within the flight.
Action Plans for an Emergency involving Radioactive
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
__________________ 0 ICAO Annex18 to the Convention on International Civil
__________________ AviationThe Safe Transport of Dangerous Goods by Air
__________________
1 Technical Instructions for the Safe Transport of
__________________
Dangerous Goods by Air (ICAO Doc 9284).
2 DGCA Website http://dgca.nic.in/ also http://dgca.gov.in/
3 DGCA Air Safety Circular no. 02 of 1962
4 DGCA Air Safety Circular no. 02 of 1989
5 Indian Aircraft Manual
Questions
General Questions
0 How ICAO defines 'Dangerous Goods'
1 Give an example of the case history an aircraft accident
caused due to presence of some kind of dangerous goods
on board or due to some bomb or terrorist attack, please
give the causes of the accident with possible methods of
prevention and your views on avoiding such accidents.
2 What is the meant by 'cooling period' in respect of
unaccompanied baggage.
3 What actions are required to be taken in the event of an
aircraft carrying Radio Active material meets with an
accident.

0 The following item is considered as a Hazardous
material and can not be carried on board the aircraft as
hand baggage;
0 Acid Battery Notes
__________________
1 Shaving Cream
__________________
2 Double edged (Twin Blade) Safety Razor __________________
__________________
3 Camera Equipment with Battery
__________________
0 Hazardous cargo should be carried as per the __________________
instructions contained in the ICAO document known as __________________
__________________
1 For carriage of Dangerous cargo, the airline operator __________________
__________________
must be certified by
2 State True or False;
0 "Aerosols containing flammable material under

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

__________________
0 Acid Battery
__________________
__________________ 1 "Technical Instructions for the safe transport of
__________________ Dangerous Goods by Air (ICAO Doc 9284)"
__________________
2 DGCA
__________________
__________________ 3 State True or False;
__________________ 0 True
__________________
__________________
1 True
2 True
3 True
UNIT 4 Administrative Practices & Procedures 73
Unit 4 Notes
__________________
__________________
Administrative Practices __________________
& Procedures __________________

__________________
__________________
National Regulations and Requirments
__________________
__________________
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
New Delhi 110 003.
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
New Delhi 110 003.
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
0 EN-ROUTE & AERODROME /

HELICOPTER CHARGES
Airports Authority of India
Rajiv Gandhi Bhawan
Safdarjung Airport
New Delhi 110 003.
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, Faridabad121 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:
0 Attached / Autonomous Organisations
0 Directorate General of Civil Aviation
1 Bureau of Civil Aviation Security
2 Commission of Railway Safety
3 Indira Gandhi Rashtriya Uran Akademi
1 Air Carriers
0 Air India Ltd.
1 Indian Airlines Ltd.
2 Pawan Hans Helicopters Ltd.
2 Airports
0 Airports Authority of India
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;
0 Registration of civil aircraft
1 Formulation of standards of airworthiness for civil

aircraft registered in India and grant of certificates of
airworthiness to such aircraft
2 Licensing of pilots, aircraft maintenance engineers and
flight engineers, and conducting examinations and
checks for that purpose
3 Licensing of air traffic controllers
4 Certification of aerodromes and CNS/ATM facilities
5 Maintaining a check on the proficiency of flight crew,

and also of other operational personnel such as flight
dispatchers and cabin crew
Notes 0 Granting of Air Operator’s Certificates to Indian

__________________ carriers and regulation of air transport services
__________________ operating to/ from/within/over India by Indian and
__________________ foreign operators, including clearance of scheduled and
__________________ nonscheduled flights of such operators
__________________ 1 Conducting investigation into accidents/incidents and
__________________ taking accident prevention measures including
__________________
formulation of implementation of Safety Aviation
__________________
Management Programmes
__________________
2 Carrying out amendments to the Aircraft Act, the
__________________
Aircraft Rules and the Civil Aviation Requirements for
complying with the amendments to ICAO Annexes, and
initiating proposals for amendment to any other Act or
for passing a new Act in order to give effect to an
international Convention or amendment to an existing
Convention
3 Coordination of ICAO matters with all agencies and
sending replies to State Letters, and taking all
necessary action arising out of the Universal Safety
Oversight Audit Programme (USOAP) of ICAO
4 Supervision of the institutes/clubs/schools engaged in
flying training including simulator training, AME
training or any other training related with aviation,
with a view to ensuring a high quality of training
5 Granting approval to aircraft maintenance, repair and
manufacturing organizations and their continued
oversight
6 To act as a nodal agency for implementing Annex 9
provisions in India and for coordinating matters relating
to facilitation at Indian airports including holding
meetings of the National Facilitation Committee
7 Rendering advice to the Government on matters
relating to air transport including bilateral air services
agreements, on ICAO matters and generally on all
technical matters relating to civil aviation, and to act as
an overall regulatory and developmental body for civil
aviation in the country;
0 Coordination at national level for flexiuse of air space Notes
by civil and military air traffic agencies and interaction __________________
with ICAO for provision of more air routes for civil use __________________
through Indian air space; __________________
__________________
1 Keeping a check on aircraft noise and engine emissions
__________________
in accordance with ICAO Annex 16 and collaborating
__________________
with the environmental authorities in this matter, if
__________________
required;
__________________
2 Promoting indigenous design and manufacture of aircraft
__________________
and aircraft components by acting as a catalytic agent; __________________
3 Approving training programmes of operators for

carriage of dangerous goods, issuing authorizations for
carriage of dangerous goods, etc.
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 200203, AAI at various airports handled about 5 lakhs
aircraft movements (4 lakhs domestic and 1 lakh
international);40 million passengers (26 million domestic
and 14 million international) and 9 lakh tonnes of cargo (3
lakh domestic and 6 lakh international).
Notes Broadly the two main functions are;
__________________
0 Development & Management of Airport Infrastructure
__________________
__________________ 1 Air Traffic Management
__________________
Other functions are;
__________________
__________________ 0 management of the entire Indian airspace including
__________________ oceanic Airspace
__________________ 1 Provision of Communication, Navigational and
__________________
Surveillance aids
__________________
2 Design, development, operation and maintenance of
passenger terminals.
3 Operation, maintenance and upgradation of operational
areas viz., runways, aprons, taxiways etc.
4 Development and management of cargo terminals.
Most of the civil airports belong to AAI (Airports Authority of
India) and are headed and controlled by an officer of AAI.
Thus at an airport, all the administrative functions such as
allotment of land and space, payment of RNFC & Landing
Charges, security functions, Bird Hazard controls, etc are
entrusted with AAI.
THE BUREAU OF CIVIL AVIATION SECURITY

(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;
__________________
0 The Aircraft Act, 1934 (22 of 1934)
__________________
__________________ 1 The Aircraft Rules, 1937
__________________
__________________ 2 The Aircraft (Public Health) Rules, 1954
__________________
3 The Indian Aircraft Rules, 1920 (Part IX)
__________________
__________________ 4 The Carriage by Air Act, 1972 (69 of 1972)
__________________
5 The Tokyo Convention Act, 1975 (20 of 1975)
__________________
6 The Indian Wireless Telegraphy (Foreign Aircraft)
Rules, 1973.
7 The AntiHijacking Act, 1982 (65 of 1982)
8 The Suppression of Unlawful Acts Against Safety of
Civil Aviation Act, 1982 (66 of 1982)
9 The Annexes to the Convention on International Civil

Aviation and ICAO procedures adopted with such
reservations as may be necessary and brought into force from
time to time by notification in NOTAMs (NOTice to AirMen),
Aeronautical Information Circulars and AIP India.
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:
__________________
0 State of the airline and India must be a party to a __________________
multilateral or bilateral International Air Transport
Services Agreement; and
1 The airline must be eligible to make the flights under
the provision of a bilateral or multilateral agreement to
which the state of the airline and India are contracting
parties and must have a permit to operate in to or in
transit across India.
2 The schedule of the flights must have a prior approval
of the Director General Of Civil Aviation (DGCA).
It will be responsibility of the operator to ensure that the
flight schedule approved by DGCA is submitted to the
respective Flight Information Centre and Aerodrome of
intended landing before the commencement of the schedule.
3 It is advisable for the pilotincommand to carry with
him DGCA’s Approval Reference No. and quote the
same if required to do so by the ATC authorities.
2.2 Requirement for grant of Operating Permit
The airline shall, in accordance with the provisions of the

Air Transport Services Agreement, formally designated
either through diplomatic channels or by the Aeronautical
Authorities of the country whose Government has concluded
the agreement with the Government of India.
2.2.2 Detailed requirements for grant of a permit to a foreign
airline for commencement of scheduled international air
Notes services are given in Aeronautical Information Circular (AIC)
__________________ No. 3 of 2000 which interalia includes:
__________________
0 The airline shall submit all documents mentioned in the
__________________
said AIC at least 60 days in advance prior to the
__________________
proposed date of commencement of air services for the
__________________
issuance of the operating permission.
__________________
1 A detailed security programme in accordance with the
__________________
provisions contained in Annex 17 to the convention on
__________________
International Civil Aviation and the instructions issued by
__________________
Bureau of Civil Aviation Security (BCAS) shall be filed
__________________
with the Commissioner of Security (Civil Aviation),
Janpath Bhavan, ‘A’ Wing, 3rd floor, Janpath, New Delhi
110001 for approval. A copy of the approval granted by
BCAS shall be furnished to the office of the DGCA.
2.2.3 The airline shall coordinate allocation of slots with

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

2.3.1 It is necessary that the under mentioned aircraft
document be submitted by the airline operators for clearance
on entry and departure of their aircraft to and from India.
All documents listed below must follow the format acceptable
to the public authorities in India. For details, reference may
be made to the relevant appendices to ICAO Annex 9
together with the differences as notified by India in respect
of the concerned provisions of ICAO Annex 9.
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.
0 1.5 PilotinCommand is also required to carry the
reference No. (YA/N/…) of such AFTN signal authorising the
flight with him and quote it when required by ATC
authorities. Overflying aircraft that are unable to quote the
authority are liable to make a landing in India.
3.1.6 Any aircraft after landing in India in accordance with
Para 3.1.5 shall require specific permission of the Director
General of Civil Aviation for undertaking any further flight.
Notes 3.1.7 A flight clearance shall be valid for a period of 48 hours.
__________________ If a flight gets delayed beyond 48 hours, it will require fresh
__________________ clearance from the DGCA.
__________________
__________________
3.2 Notice period
__________________ 3.2.1 Application for operating nonscheduled flight(s) is
__________________ required to be submitted in advance with a minimum notice
__________________ period as follows:
__________________
0 Seven working days for flights for traffic purposes; and
__________________
__________________ 1 Three working days for flights for nontraffic purposes
i.e. overflight(s)/technical halts.
3.2.2 The minimum notice period requirements, however,
may not be insisted upon in the following cases:
0 Ambulance flight (name and address of the patient and
the doctor to be given);
1 Relief flight of a scheduled passenger airline
necessitated due to grounding of aircraft; and
2 Relief flights in case of natural calamities.
3.3 Application
3.3.1 The request for the flight clearance should be
submitted to DGCA in the prescribed Application form, duly
signed by the operator/owner of the aircraft or his
authorised representative and submitted to the Director
General of Civil Aviation (Attention: Deputy Director Air
Transport), Technical Centre, Opposite Safdarjung Airport,
Sri Aurbindo Marg, New Delhi110003.
3.4 Special permissions

3.4.1 Special permission from the Government of India is
required to be taken in the following cases, which may take a
longer period for clearance of the flight then stipulated in
Para 3.2:
0 stay of any aircraft in India for more then 15 days.
1 flight of an aircraft registered in a state not member of
ICAO; and
0 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/checkup of the application. __________________
In such cases, it may not be possible to clear these flights within __________________
the notice period stipulated at Para 3.2 except when these __________________
flights are operated by International Airlines operating __________________
scheduled passenger services to/from India. __________________
3.4.2.2 Aircraft capable of airdropping 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 takeoff 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:
0 the replacing aircraft is not capable of airdropping; or
1 the approved flight scheduled time is not preponed

such that the notice period stipulated at Para 3.2 of the
original application is not met.
3.6 Applications forwarded by Ministries/Departments of

Government of India
3.6.1 Applications forwarded by Ministries/Departments of
Government of India, Indian Missions abroad and by the
Missions of the concerned countries through and duly
supported by Ministry of External Affairs, may be given
clearance notwithstanding the aforesaid guidelines. Such
applications are required to be forwarded by Ministries/
departments at the level of Deputy Secretary/Director and
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 payload of three tonnes provided it is
fitted with ACASII/TCASII. (Ref: AIC05/1998).
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.
0 Passengers must ensure to file correct declaration of
their baggage.
1 Passengers walking through the green channel with
dutiable/prohibited goods are liable to prosecution/
penalty and confiscation of goods.
2 Green Channel passengers must deposit the Customs
portion of the disembarkation Card to the custom
official at the gate before leaving the terminal.
1.1.1 For duty free entitlements and rates of applicable
duties, please see customs homepage at 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) 911125652088, Additional __________________
Commissioner 911125652090, Commissioner of Customs __________________
(General) 91 1125652970. __________________
__________________
1.2 Unaccompanied Baggage
__________________
The passengers can also send their baggage through cargo, __________________
which is treated, as unaccompanied baggage. However, no __________________
free allowance is admissible in case of unaccompanied __________________
baggage and only used personal effects can be imported free __________________
of duty. __________________
0 Provisions of Baggage Rules are also extended to

unaccompanied baggage except where they have been
specifically excluded.
1 The unaccompanied baggage should be in the possession
abroad of the passenger and shall be dispatched within
one month of his arrival in India or within such further
period as the Deputy / Assistant Commissioner of
Customs may allow.
2 The unaccompanied baggage may land in India up to
two months before the arrival of the passenger or within
such period, not exceeding one year as the Deputy /
Assistant Commissioner of Customs may allow, for
reasons to be recorded, if he is satisfied that the
passenger was prevented from arriving in India within
the period of two months due to circumstances beyond
his control, such as sudden illness of the passenger or a
member of his family, or natural calamities or disturbed
conditions or disruption of the transport or travel
arrangements in the country or countries concerned on
any other reasons, which necessitated a change in the
travel schedule of the passenger.
3 All the unaccompanied baggage is chargeable to
customs duty @ 40% advalorem + education cess @ 2%.
1.2.1 Baggage of Deceased person
Used, bonafied personal and household effects belonging to a
deceased person are allowed to be imported free of duty
Notes subject to the condition that a certificate from the concerned
__________________ Indian Mission (Embassy / High Commission) is produced at
__________________ the time of clearance regarding the ownership of the goods
__________________ by the deceased person.
__________________
1.2.2 Detained baggage
__________________
__________________ A passenger may request the Customs to detain his baggage
__________________ either for reexport at the time of his departure from India or
__________________ for clearance subsequently on payment of duty the detailed
__________________ baggage would be examined and full details will be
__________________ inventorised.
Such baggage will be kept in custody of customs
1.2.3 Mishandled Baggage
1.2.4 In case the baggage has been lost or mishandled by the
Airlines, a simplified procedure is in place for clearance of
such baggage which allows the passenger to have delivery of
his baggage at his door step by the Airlines.
There is no need to handover the passport or the keys of the
baggage. The passenger is merely required to complete the
Custom declaration form at counter no.1 authorizing the
Airline to complete the formalities when the baggage arrives.
The passenger is required to obtain a certificate to that effect
from the airlines and get it countersigned by Customs
indicating specifically the unutilized portion of the free
allowance. This would enable the passenger to avail the
unutilised portion of the duty free allowance when his
baggage is delivered by the airlines.
1.3 Currency Declaration

0 Any person can bring into India from a place outside
India foreign exchange without any limit.
However, declaration of Foreign Exchange/Currency is
required to be made in prescribed Declaration form in
the following cases.
0 Where the value of Foreign Currency notes exceeds
US$5000 or equivalent.
0 Where the aggregate value of Foreign exchange (in Notes
the form of currency notes, bank notes, traveller __________________
cheques etc.) exceeds US$10,000 or equivalent. __________________
__________________
Import of Indian currency is prohibited. However, in the case
__________________
of passengers normally residing in India who are
__________________
returning from the visit abroad, import of Indian
__________________
currency up to Rs. 5000 is allowed.
__________________
1.4 Regulation for the airline crew __________________
Crew member of aircraft are subject to submit correct __________________
declaration before customs authorities with respect to the __________________
currency gold ornaments and electronic goods etc. in their

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

All the passengers leaving India by air are subject to
clearance by Custom Authorities.
Only bonafide baggage is allowed to be cleared by
passengers. There is a procedure prescribed whereby the
passengers leaving India can take the export certificate for
the various high value items as well as jewellery from the
Customs authorities. Such an export certificate comes handy
while bringing back the things to India so that no duty is
charged on such goods exported by the passenger.
OTHER INFORMATION
Export of most species of wild life and articles made from
wild flora and fauna, such as ivory, musk, reptile skins,
furs, shahtoos etc. is prohibited.
Trafficking of narcotic drugs and psychotropic substances is
prohibited.
Notes Export of goods purchased against foreign exchange brought
__________________ in by foreign passengers are allowed except for
__________________ prohibited goods.
__________________
Carrying of Indian currency notes in the denomination of Rs.
__________________
500 and Rs. 1000 to Nepal is prohibited.
__________________
__________________ Export of Indian Currency is strictly prohibited. However
__________________ Indian residents when they go abroad are allowed to
__________________ take with them Indian currency not exceeding Rs. 5000.
__________________ Tourists while leaving India are allowed to take with them
__________________ foreign currency not exceeding an amount brought in by
them at the time of their arrival in India. As no
declaration is required to be made for bringing in
foreign exchange / currency not exceeding equivalent of
U.S. $ 10000, generally tourists can take out of India
with them at the time of their departure foreign
exchange/currency not exceeding the above amount.
There is no value limit on the export of Gold Jewellery by
passenger through the medium of baggage so long as it
constitutes the bonafied baggage of the passenger. A
passenger may request the Customs for issue of an
Export certificate at the time of his / her departure from
India, in respect of jewellery carried by him / her, to
facilitate its reimport subsequently. Commercial export
of gold jewellery through the courier mode is permitted
subject to observance of prescribed procedures.
1.6 Certain goods are prohibited (banned) or restricted
(subject to certain conditions) for import and/or export. These
are goods of social, health, environment, wild life and
security concerns.
While it is not possible to list all the goods, more common of
these are :
PROHIBITED GOODS
Narcotic Drugs and Psychotropic substances.
Pornographic material
Counterfeit and pirated goods and good infringing any of the Notes
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.
Misdeclare 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 personincharge of the aircraft shall
immediately report to the nearest Customs or Police Officer and
shall on demand produce to such officer the General Declaration
or, if it does not give the movements of the aircraft subsequent
to the last destination, the journey log book, and/ or any other
document belonging to the aircraft, and shall not permit any
goods to be unloaded there from without the consent of such
officer, and no passenger or member of the crew thereof shall
leave the immediate vicinity of the aircraft without the consent
of such officer. In case where it is necessary to dispatch a
Customs Officer to the place of landing to examine the aircraft,
charges for conveyance of such officer may be made against the
owner of the aircraft concerned.
1.7.2 No customs duty is levied on the aircraft not registered Notes
in India which is brought into India for purpose of a flight to __________________
or across India, which is not intended to be registered in __________________
India and is intended to be removed from India within six __________________
months from the date of entry, provided that the personin __________________
charge of the aircraft makes a written declaration to that __________________
effect to the Customs Collector on arrival. __________________
__________________
In the case of an aircraft in respect of which such declaration
__________________
has been made and which is not removed from India within
__________________
six months, the duty leviable in respect of it shall be paid to
__________________
the Custom Collector before the aircraft is again flown.
1.8 Regulation for Transit Passengers
Transit passengers are kept in Customs area and Customs
authorities keep watch on such passengers that they should
not hand over anything to any other person. They are also
not allowed to go outside the airport building.
1.9 Drugs Trafficking in narcotics is a serious offence and

is punishable with imprisonment.
2. IMMIGRATION REQUIREMENTS
2.1 Pre-requisite for entry into India:
Foreigner should have valid travel documents such as visa,
passports etc.
Pak nationals who are coming from Pakistan or third
country should carry visa application form issued by
the Indian Mission in addition to visa affixed which
should be handed over by him/her at the port of entry.
Nepalese visiting India by air from third country other then
Nepal or Bhutan should carry national passport and
Indian visa.
Foreigner should not be an insane person.
Foreigner should not be suffering either from a loathsome
disease or an infectious disease.
Notes Foreigner should not have been sentenced abroad for an
__________________ extraditable offence.
__________________
His entry should not have been banned by any government
__________________
agency.
__________________
__________________ Foreigners coming from or through yellow fever countries
__________________ must come with proper vaccination certificate.
__________________ Disembarkation/ Embarkation card provided by Immigration
__________________ should be carefully filled up by the passengers and
__________________ presented to the immigration desk with travel
__________________ documents. Red and Green ink should not be used for
filling up the cards. There should not be any tick marks
or any other marks put on the cards by the passengers.
The cards also should not be folded.
2.1.1 Visa Requirements for Children:
Minor children of foreigners including of Indian origin would
require proper visa for entry into India.
2.1.2 Identification Document for Nepalese visiting
India by Air:
Nepalese visiting India by air may travel on the authority of
any of the following identification documents:
Valid national passport;
Photo identity card issued by the Government of India / any
State Government or Union Territory Administration in
India / Election Commission of India in respect of Indian
citizens and by the government of Nepal in respect of
Nepalese citizens;
Emergency certificate issued by Embassy of India,
Kathmandu to Indian nationals and by Embassy of
Nepal in Delhi in respect of Nepalese citizens, in case of
emergent conditions.
2.1.3 Seamen:
Seamen being repatriated:
Foreign seamen, who are signed on at an Indian port,
are under the terms of their articles required to be
returned for discharge to the port of their engagement. If Notes
such a seamen is discharged at a foreign port for being __________________
returned to India, he can, be granted a visa for three __________________
months stay in India, without prior reference, provided he __________________
holds a continuous discharge certificate or Seamen. s __________________
Registration Book issued in India and the agent. s __________________
certificate that he is being repatriated for discharge at an __________________
Indian port. The visa may be granted on the national __________________
passport, if any, or on the continuous Discharge Certificate __________________
/ Registration Book or on a sworn affidavit. __________________
Seamen joining ships: __________________
Foreign seamen signed abroad, who are coming to join
their ships at an Indian port, may be granted Transit
visas in accordance with the instructions contained
under heading. TRANSIT VISA. . Such visas may be
granted on national passports or Seamen’s Identity
Documents.
2.1.4 Nonscheduled flights:
Members of crew of nonscheduled and chartered flights

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

Foreigner entering into India on student, research,
employment, yoga visas valid for more than 180 days is
required to register within 14 days of first arrival with the
FRRO/ FRO under whose jurisdiction he proposes to stay. In
case of other long term visas like. entry. ,. business. etc.
other than. tourist. visa, if the foreigner intends to stay for
more than six months he should register himself within 180
days of his arrival. As regards Afghan nationals, the holders
of Residential Permit must report within seven days of his/
her arrival to the concern FRRO/FRO with the proof of
residence. The holder will have to report to the authority
concerned even if the stay in India is less than seven day.
Notes The following categories of foreign nationals are exempted
__________________ from registration.
__________________ i. Foreigners of Indian origin visiting India for short
__________________ duration with long term multiple entry visa, each stay
__________________ in India not exceeding 180 days.
__________________ ii. Foreigners connected with tourism and travel trade with
__________________ five year multiple entry visa, each stay not exceeding
__________________ 180 days.
__________________ iii. US nationals with 10year validity multiple entry visa
__________________ for tourism or business purpose with each stay not
__________________ exceeding 180 days.
iv. PIO cardholders if continuous stay in India does not
exceed 180 days.
v. Children below 16 years of age.
2.2.1 Registered foreigners should always carry their
registration certificate / residential permits along
with them.
2.3 Retaining of Embarkation card

Foreigners are required to retain embarkation portion of the
disembarkation card in their possession to facilitate their
return journey.
2.4 Filling up of Form. C.

Foreigners are required to fill Form. C. during their stay in
hotels which include boarding houses, clubs, dak bunglows,
rest houses, paying guest homes, sarai etc.
2.5 Prior Permission For Visiting Certain Areas

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

Grant of landing permit for a group of 4 or more organized by
recognised /approved tour /travel operator may be granted
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 PilotinCommand of the aircraft shall send a radio
__________________
__________________ message three hours before arrival about the state of health
__________________ of any person on board, who has visited a yellow fever
__________________ infected area, as declared by the Central Government, with
__________________ in the previous six days and who is not in possession of valid
yellow fever certificate.
3.6 If, on inspection of the aircraft, the Airport Health

Officer detects any person or crew suspected to be infected
with yellow fever, the Airport Health Officer may direct the
PilotinCommand of the aircraft to proceed to Kolkata or
Mumbai or any other place as may designated by the Airport
Health Officer and PilotinCommand of the aircraft shall
obey such directions.
3.7 No departure formalities are required for embarking

passengers.
1.4 ENTRY, TRANSIT AND DEPARTURE OF CARGO

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 Notes

FLIGHT DOCUMENTS __________________
1. General __________________
__________________
Commercial air transport operating in India must adhere to
__________________
the requirements as contained in the Civil Aviation __________________
Requirements Section 2. Airworthiness Series O. __________________
Note: The regulations/requirements referred herein __________________
are subjected to amendment. Users should ensure that __________________
fully amended documents are used for reference __________________

__________________
purpose.
Instruments and Equipment, Communication and
Navigation equipment to be carried:
2. 1 Aircraft Instruments and Equipment

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

2.2.1 Communication Equipment
All aeroplane shall be fitted with radio communication
equipment capable of
0 Conducting twoway communication for aerodrome
control purposes.
1 Receiving meteorological information at any time
during flight, and
2 Conducting two way communication at any time
during flight with at least one aeronautical station
and with such other aeronautical stations and on
such frequencies as may be prescribed by the
appropriate authority. All aircraft fitted with HF
Notes communication equipment shall be capable of
__________________ operating on SSB mode.
__________________
The radio communication equipment shall provide for
__________________
communications on the aeronautical emergency
__________________
frequency 121.5 MHz.
__________________
__________________ 2.2.2 Navigation Equipment for Operations under IFR
__________________
All aeroplanes shall be provided with navigation equipment,
__________________
which will enable it to proceed:
__________________
__________________
0 In accordance with its operational flight plan;
1 In accordance with prescribed Required Navigation
Performance (RNP) types; and
2 In accordance with the requirements of air traffic
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.
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:
0 Continuously provides indications to the flight crew
of adherences to or departures from track to the
required degree of accuracy at any point along with
the track:
1 Has been authorised by DGCA for MNPS
operations concerned.
For flight in defined portion of airspace where, based on
regional air navigation agreement, a vertical separation
minimum (VSM)of 1000 ft (300m) is applied above
FL290,an aeroplane:
0 Shall be provided with equipment which is capable
of:
0 Indicating to the flight crew the flight level Notes
being flown; __________________
__________________
1 Automatically maintaining a selected flight
__________________
level;
__________________
2 Providing an alert to the flight crew when a
__________________
deviation occurs from the selected flight level.
__________________
The threshold for the alert shall not exceed +/
__________________
300ft (90m); and
__________________
3 Automatically reporting pressurealtitude; and __________________
1 Shall be authorised by DGCA for operation in the __________________
airspace concerned.
The aeroplane shall be sufficiently provided with the
navigation equipment to ensure that in the event of
failure of one item of equipment at any stage of flight,
the remaining equipment will enable the aircraft to
navigate in accordance with above Paras.
On flights in which it is intended to land in Instrument
Meteorological Condition (IMC) an aeroplane shall be
provided with a radio equipment capable of receiving
signals providing guidance to a point from which a visual
landing can be affected. This equipment shall be capable of
providing such guidance at each aerodrome at which it is
intended to land in instrument meteorological conditions
and at any designated alternate aerodromes.
The equipment installation shall be such that the failure of
any single unit required for either communication or
navigation purposes or both will not result in the failure
of another unit required for communication or
navigation purposes.
Carriage of Pressure Altitude Reporting Transponder
All aeroplane having maximum certified takeoff mass of

5700 Kgs. and above and having maximum certified
passenger seating configuration (excluding any pilot seats) of
more than 30 seats or maximum payload capacity of more
then 3 tonnes if flying in Indian air space shall be equipped
with mode. S transponder.
Notes The requirements for installation of Pressure Altitude

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

acquire for the purpose of operation In Indian airspace, from __________________
1st January, 2004; __________________
__________________
__________________
configuration of 20 to 30 or a maximum certified take
__________________
off mass in excess of 5700 Kg, if such aeroplane is not
__________________
equipped with an approved ACAS II.
__________________
An aeroplane having a maximum certified passenger seating __________________
configuration of 10 to 19 and a maximum certified take __________________
off mass less than 5700 Kg, if such aeroplane is not __________________
equipped with an approved ACAS I.
A twin jet engined aeroplane having maximum certified
passenger seating configuration of less than 10 and a
maximum certified takeoff mass less than 5700 Kg, if
such aeroplane is not equipped with approved ACAS I.
Note :
The operators are strongly advised to install ACAS II on

aeroplanes covered under the provisions of Paras 4. 3(b)&(c)
and 4. 4 (b)&(c) above.
Detailed requirements for installation of Airborne Collision
Avoidance System (ACAS) are laid down in the CAR Section
2 Series. I. Part VIII.
Flight documents to be carried The requirements for
carriage of documents to be carried on board are laid
down in the CAR Section 2 Series. X. Part VI.
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 :
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.”
__________________
Registration and Nationality Marking:
__________________
__________________ Part IV of Aircraft Rules, 1937 and Civil Aviation
__________________ Requirements Section 2. Airworthiness Series. F. Part I
__________________ and Series. X. Part I—“Provides for the registration
__________________ marking of the aircraft, nature of application for
__________________ registration, change of ownership, registration fees and
__________________ use of State marks.”
Instruments and Equipment:
Rule 57 of Aircraft Rules, 1937 and Civil Aviation

Requirements Section 2. Airworthiness Series. I. Part II
and Series. R. Part I—“Provides for minimum
instruments and equipment including Communication
and Navigation Equipment which are to be installed on
aircraft depending on their operation.”
Radio Telegraph apparatus:
Rule 9 of the Aircraft rules, 1937—Provides for the

operation of radio telegraph apparatus by licensed
person.
Prohibited areas:
Rule 12 and Schedule I of Aircraft Rules, 1937—
Provides for the areas prohibited for flying.
Personnel of Aircraft:
Part V and Schedule II of Aircraft Rules, 1937 and Civil
Aviation Requirements Section 7. Flight Crew
Standards, Training and Licensing — “Provides for the
regulations concerning the knowledge, skill, experience
and medical requirements for licensing of flight crew.
This also provides the regulation concerning granting of
exemption for medical examination and renewal of
flight crew licenses. Validation of licenses issued by
foreign states is also given.”
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.”
__________________
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.”
Air Traffic Services:
Civil Aviation Requirements Section 4. Aerodrome
Standards and Air Traffic Services.
Provides for requirements for Aerodrome Standards and
Air Traffic Services.
National Legislation:
Aircraft Manual (India) Volume II provides the
national legislation.
0 The Air Corporation Act, 1953 (27 of 1953)
1 The Air Corporations (Transfer of Undertakings
and repeal) Ordinance, 1994 (4 of 1994)
2 The Air Corporations (Transfer of Undertakings
and repeal) Act, 1994 (13 of 1994)
3 The International Airports Authority of India Act,
1971 ( 43 of 1971)
4 The National Airports Authority of India Act,
1985 ( 64 of 1985)
5 The Airports Authority of India Act, 1994 ( 55 of
1994)
6 The Carriage by Air Act, 1972 ( 69 of 1972)
Notes 0 The Tokyo Convention Act, 1975 ( 20 of 1975)
__________________ 1 The Antihijacking Act, 1982 (65 of 1982)
__________________
2 The Antihijacking (Amendment) Act, 1994 (39 of
__________________
1994)
__________________
__________________
3 The Suppression of Unlawful Acts Against Safety
__________________ of Civil Aviation Act, 1982 (66 of 1982)
__________________ 4 The Suppression of Unlawful Acts Against Safety
__________________ of Civil Aviation (Amendment) Act, 1994 (40 of
__________________ 1994)
__________________ 5 Notification regarding application of the Carriage
by Air Act, 1972, to carriage by air which is not
International.
International Conventions:
Aircraft Manual (India) Volume II provides the
details of following International Conventions.
0 Chicago Convention, 1944
1 The International Air Services Transit
Agreement, 1944
2 The International Air Transport Agreement,
1944
3 Protocol on the Authentic Trilingual Text of the
Convention on International Civil Aviation, 1944
4 Warsaw Convention, 1929
5 The Hague Protocol, 1955
6 Guatemala City Protocol, 1971
7 The Additional Protocol No. 1, 1975
10 The Montreal Protocol No. 4, 1975
11 Gualdalajara Convention, 1961
12 Geneva Convention, 1948
13 Rome Convention, 1952
14 Tokyo Convention, 1963
15 The Hague Convention, 1970 Notes
16 Montreal Convention, 1971 __________________
__________________
17 Montreal Protocol, 1988
__________________
18 Montreal Convention, 1991 __________________
Defect in Foreign Aircraft: __________________
Rule 59A of the Aircraft Rules, 1937 provides the details __________________
__________________
of procedures to be followed in case of defect(s) in a
__________________
foreign registered aircraft.
__________________
Investigation of Accident:
__________________
Part X of the Aircraft Rules, 1937 Provides the details
regarding notification of accident, report of accidents,
removal and preservation of damaged aircraft.
Directions by Director General:
Rule 133A of the Aircraft Rules, 1937 gives the power to
the Director General to issue special Directions in the
form of Notices to Airmen (NOTAMs), Aeronautical
Information Publication, Aeronautical Information
Circulars (AICs), Notices to Aircraft Owners and
Maintenance Engineers, and Civil Aviation
Requirements.
Dangerous Flying:
Rule 21 of the Aircraft Rules, 1937 requires that no
persons shall fly any aircraft in such circumstances as,
by reason of low altitude or proximity to persons or
dwellings or for other reason, to cause unnecessary
danger to any person or property.
Prohibition of intoxicated person entering aircraft:
Rule 24 of the Aircraft Rules, 1937—“prohibits

members of flight crew to enter/operate aircraft under
influence of any alcoholic drink, sedative, narcotic, or
stimulant drug.”
Carriage of person suffering from mental disorders or
epilepsy in aircraft, prisoners and animals, birds
and reptiles in the aircraft:
Rule 24A, 24B and 24C of the Aircraft Rules, 1937—
“provides requirements for carriage of persons suffering
Notes from mental disorders or epilepsy in aircraft, prisoners
__________________ and animals, birds and reptiles in the aircraft.”
__________________ Smoking in Aircraft:
__________________
Rule 25 of the Aircraft Rules, 1937—“provides
__________________
requirements for smoking in an Indian registered
__________________
aircraft.”
__________________
__________________
Fuelling of Aircraft:
__________________ Rule 25A of the Aircraft Rules, 1937—“provides
__________________ requirements for fuelling of aircraft.”
__________________ Carriage of Arms, Explosives or Dangerous Goods:
Rule 8 of the Aircraft Rules, 1937 and Civil Aviation
Requirements Section 3. Air Transport Series. L—
“Provides the requirements for carriage of arms,
explosives or dangerous goods by air to, from, within or
across India.”
DGCA Website http:/dgca. nic. in/ also http://dgca. gov. in/
AAI website http://aai. aero/AAI/
BCAS website http://www. bcasindia. nic. in/
Ministry of Civil Aviation website http://civilaviation. nic. in/
Aeronautical Information Publication (AIP, India), Airports
Authority of India
Various related ICAO Annexes & Documents
Indian Aircraft Manual
Various Air Safety Circulars,
AICs and other important notification issued by DGCA.
Questions
General Questions
What are the main functions and responsibilities of Ministry
of Civil Aviation?
Write main functions and responsibilities of Airports Notes
Authority of India. __________________
__________________
Objective Type of questions __________________
Various rules and regulations pertaining to Indian Civil __________________
Aviation are contained in the document known as ——. __________________
__________________
State True or False
__________________
0 The registration certificate of a new aircraft in __________________
India is issued by — __________________
1 Investigation of accident/ incident to any passenger __________________
aircraft is conducted by —as per Indian aircraft

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

“Aircraft Manual”.
State True or False
0 DGCA
1 DGCA
2 True
3 True
UNIT 5 Aircraft Rescue and Fire Fighting Services. 113
Unit 5 Notes
__________________
__________________
Aircraft Rescue and __________________
Fire Fighting Services __________________

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

ARFF services are required to be provided at all airports in
conformity with ICAO standards and guidelines regarding
level of fire protection.
Fire fighting in and around crashed aircraft is a highly
specialized field of fire fighting. A ARFF fire fighter must
process the required alertness, courage, dedication, agility,
physical strength, and the ability to be an exacting team
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 51.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.52) that takes place in a fire that allows the fire
__________________ to both sustain itself and grow.
__________________
__________________
__________________
__________________
__________________
__________________
Figure 52.Chain reaction.
This process of fire is now called the "fire tetrahedron." See
figure 53.
Figure 53.Tetrahedron and fire triangle.
5.4 Controlling Fire.

The most common method of controlling or extinguishing a
fire is to eliminate one or more of sides of the tetrahedron.
This can be accomplished by the following methods.
Smothering: removing the oxygen.
Cooling: removing the heat. Notes
__________________
Starving: removing the fuel or combustible matter.
__________________
There are two terms associated with fires, the fire point and __________________
the flash point. __________________
__________________
The fire point of a substance is the lowest temperature at
__________________
which its vapours can be ignited and would continue to burn.
__________________
At this temperature, the vapour would ignite spontaneously
__________________
in the air. Also, substances don't have to be heated to this
__________________
ignition temperature throughout in order to ignite.
__________________
The flash point of a substance is the temperature at which
the substance gives off enough vapours to form an ignitable
mixture with the air near the substance's surface. An
ignitable mixture is a mixture within the explosive range.
The mixture is capable of spreading a flame away from the
source of ignition when ignited.
For example, fuel would spontaneously ignite when a portion of
it (or its vapours) is exposed to temperatures around 268°C
(ignition temperature). It is capable of being touched off by a
match or spark at temperatures down to 20°C (fire point). It
would also flash across the surface at temperatures from 20°C
down to 43°C (flash point). From these examples, it can be
readily seen that fuel has a low flash point and is easily ignited.
Fuel is a constant fire hazard around aircraft. A spark, heat
caused by friction, or an electrical discharge could supply
enough heat to cause fuel to flash.
5.5 Classes of Fire

Different types of fires are combated by different means. It is
important for a fire person to identify various types of fires
and to understand specific ways of combating each type of
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 lowvelocity fog, CO2, and water immersion.
__________________
__________________
__________________
__________________
Class B (Most Important from Aircraft fire point of view).
Class B fires occur with flammable liquid substances.

Examples of class B fires are gasoline, jet fuels, paints,
grease, and any petroleumbased product.
These and other combustible substances do not leave embers
or ashes. Class B fires are extinguished by providing a
barrier between the burning substance and oxygen necessary
for combustion. Chemical and mechanical foams produce
such a barrier and are known as permanent smothering
agents, but their effect is only temporary. The application
must be renewed if there is any danger of reignition. The
extinguishing agents recommended for combating class B
fires are CO2, PKP, Halon, and Aqueous FilmForming
Foam (AFFF). However, water by itself is NOT
recommended for use on class B fires.
Class C fires are energized electrical fires that are attacked
at prescribed distances by using nonconductive agents such
as CO2 and Halon 1211.
The most effective tactic is to deenergize the system and Notes
handle the fire as a class A fire. When fires are not deep __________________
seated, clean agents that pose no cleanup problem, such as __________________
Halon 1211 or CO2, are the preferred extinguishing agents. __________________
__________________
However, water in any form, is dangerous when used on
__________________
electrical equipment.
__________________
__________________
__________________
Class D fires are combustible metals, such as magnesium
__________________
and titanium. Water in large quantities, as high velocity fog,
__________________
is the recommended extinguishing agent. When water is
applied to burning class D materials, there may be small
explosions. The fire fighter should apply water from a safe
distance or from behind shelter.
5.5 Extinguishing Agents

There are many materials that may be used as firefighting
agents. The primary agents discussed in the following
paragraphs are the most extensively used.
Water is a cooling agent, and it is easily available. If the

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

stream) is used to reach into smokefilled spaces or areas at
a distance from the fire fighter. When a straight stream is
needed as an extinguishing agent, it should be directed into
the seat of the fire. For maximum cooling, the water must
come in direct contact with the burning material. A straight
stream is best used to break up and penetrate materials.
Notes
__________________
AFFF is composed of synthetically produced materials
__________________
similar to liquid detergents. These filmforming agents are
__________________
capable of forming water solution films on the surface of
__________________
flammable liquids.
__________________
AFFF concentrate is nontoxic and biodegradable in diluted
__________________
__________________
form. When proportioned with water, AFFF provides three
__________________ fireextinguishing advantages.
__________________ An aqueous film is formed on the surface of the fuel that
__________________ prevents the escape of the fuel vapours.
The layer effectively excludes oxygen from the fuel surface.
The water content of the foam provides a cooling effect.
The primary use of AFFF is to extinguish burning flammable
or combustible liquid spill fires (class B). AFFF has excellent
penetrating characteristics and is superior to water in
extinguishing class A fires.
CO2 is an inert gas and extinguishes fires by smothering

them. CO2 is about 1.5 times heavier than air, which makes
it a suitable extinguishing agent because it tends to settle
and blanket the fire. CO2 is a dry, noncorrosive gas, which
is inert when in contact with most substances and would not
leave a residue and damage machinery or electrical
equipment. CO2 is a nonconductor of electricity regardless
of voltage, and can be safely used in fighting fires that would
present the hazard of electric shock.
CO2 extinguishes the fire by diluting and displacing its oxygen
supply. If gaseous CO2 is directed into a fire so that sufficient
oxygen to support combustion is no longer available, the flames
would die out. CO2 has limited cooling capabilities, and may not
cool the fuel below its ignition temperature. It is more likely
than other extinguishing agents to allow reflash.
CO2 is however, not an effective extinguishing agent for fires in
materials that produce their own oxygen supply, such as
fires involving reactive metals like magnesium and titanium. Notes
__________________
__________________
__________________
Halon is a halogenated hydrocarbon. Halon 1211, known __________________
chemically as bromochlorodifluoromethane, is colourless __________________
and has a sweet smell. Halon attacks the fire by inhibiting __________________
the chemical chain reaction. Halon decomposes upon contact __________________
with flames or hot surfaces above 900°F (482°C). Halon 1211 __________________
is used for twin agent (AFFF/Halon 1211) applications on __________________
board flight and with mobile firefighting equipment. __________________
Potassium bicarbonate (PKP) is a dry chemical principally

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

Flammable, hazardous, and fire accelerating materials carried
on aircraft are of major concern e.g. Aviation gasoline (AVGAS),
jet fuels (JP4, JP5, and JP8), engine oils, oxygen systems, and
hydraulic fluids constitute problems in aircraft firefighting.
Under aircraft crash impact conditions where fuelair mixtures
or mists are created, all fuels are easily ignited.
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.
__________________
__________________
__________________
JP4 jet fuel is a blend of gasoline and kerosene and has a
__________________
flash point from 10°F (23°C). The rate of flame spread has
__________________
also been calculated to be between 700 and 800 feet per
__________________
minute.
__________________
JP5 fuel is a kerosene grade with a flash point of 140°F

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

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

possibility of fuel spillage. A spark or a hot engine part could
ignite fuel vapours and set off a fullfledged fire. All
precautions must be taken all to prevent accidental ignition.
When an aircraft crashes, the impact usually ruptures the
fuel lines and fuel tanks. Ordinarily, all the fuel is not
liberated at once. There is a source of fuel that is supplying
the fire either from the rupture in the tank or from the
loosened and ruptured fuel lines in the accessory section of
the engine.
The control of the fire around the fuselage section under these
conditions presents a very complex problem. The top portion of
the tank is more void of liquid than any other section of the
tank. Because of the restraining cushion of the liquid
itself, the explosive force will be directed upward instead of Notes
downward or on a horizontal plane. __________________
__________________
Fuel loads can vary from 100 Litres in small aircraft to
__________________
approximately two Lakhs Litres or more in large jet aircraft.
__________________
Fuel tanks are installed in a variety of places within the
__________________
aircraft structural framework or as a builtin part of the
__________________
wing. There is so little difference in the heat of combustion of
__________________
the various aircraft hydrocarbon fuels that the severity after
ignition would be of no significance from the "fire safety" __________________
point of view. The firefighting and control measures are the __________________
same for the entire group of aviation hydrocarbon fuels. __________________
Oxygen systems on aircraft can present hazardous

conditions to fire fighters during an emergency. Liquid
oxygen is a light blue liquid that flows like water and is
extremely cold. It boils into gaseous oxygen at 297°F (
147°C) and has an expansion rate of approximately 860 to 1.
Liquid oxygen is a strong oxidizer, and although it is non
flammable, it vigorously supports combustion.
Antiicing fluids are usually a mixture of about 85percent
alcohol and 15percent glycerine. While not as great as other
aircraft hazards, however alcohol used in aircraft antiicing
systems burns with an almost invisible flame. The best
method of control is by dilution with water.
Class A combustibles in aircraft fires are best extinguished
with AFFF. When aircraft cockpit and interior finish
materials are burned or charred, they produce toxic gases.
These gases include carbon monoxide, hydrogen chloride,
and hydrogen cyanide. Therefore, it is necessary that fire
fighting and rescue personnel who enter an aircraft during a
fire sequence be equipped with a selfcontained breathing
apparatus.
Notes
__________________
Alkaline or nickelcadmium batteries may get hot from internal
__________________
shorting or thermal runaway. The overheated battery is
__________________
hazardous to both aircraft and personnel and hence proper type
__________________
extinguishing agent available for instant use.
__________________
__________________
__________________ Inhalation of composite fibres resulting from aircraft fires
__________________ and/or aircraft material damage may be harmful. Composite
__________________ materials that are reinforced with carbon/graphite fibres
__________________ provide superior stiffness, a high strengthtoweight ratio,
and ease of fabrication. As a result, this material is being
used extensively in advanced aircraft, to replace heavier
metal components. Unfortunately, carbon or graphite fibres
can be released into the atmosphere if their epoxy binder
burns. Once free, these small lightweight fibres can be
transported up to several kilometres by air currents and,
because of their high electrical conductivity, can damage
unprotected electrical/electronic equipment.
Until such time as more information is known, aircraft crash
and firefighting units must attempt to extinguish fires
involving carbonfibrereinforced composites as quickly as
possible and to provide maximum containment of the aircraft
debris.
Composite materials reinforced with boron fibres also provide
superior stiffness, a high strengthtoweight ratio, and ease of
fabrication. Unfortunately, boron fibres can be released if their
epoxy binder burns. The extinguishing, containment, and
cleanup practices for boron fibres are the same as those
previously outlined for carbon or graphite fibres.
The most common source of crash fires is the engine

compartment, particularly the accessory section. Steps
should be taken by fire personnel to prevent ignition of fuel
vapours by hot exhaust stacks and collector rings. CO2
discharged through the cooling flaps, air scoop, or inspection
doors is an effective precaution.
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 cutoff valve and is __________________
used to select various fuel tanks. This should be switched to __________________
OFF position, and then the valve completely separates the
source of fuel from engines.
Battery switch should be turned to OFF by the Fire People.
This is the master electrical switch and also the source of all
power to the aircraft electrical system when the engine(s)
are not running. The battery should be disconnected, if
possible, as detonators and electrical recognition devices are
connected ahead of the master switch. Turning the switch off
will not stop the flow of current to these devices.
The hydraulic system of a crashed aircraft should be

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

The level of protection provided at an aerodrome for rescue
and fire fighting is required to be appropriate to the
aerodrome category determined in accordance with Table 51
below and is based on the longest aeroplanes normally using
the aerodrome and their fuselage width. If after selecting the
category appropriate to the longest aeroplane's overall
length, that aeroplane's fuselage width is greater than the
maximum width in Table 51 below for that category,
Notes then the category for that aeroplane is taken as one category
__________________ higher. The level of protection is appropriate to the
__________________ aerodrome category so determined.
__________________
Availability of ARFF services including level of protection and
__________________
watch hours is notified through Aeronautical Information
__________________
Publication and any temporary change in the status of service is
__________________
notified through NOTAM (Notice to Airmen).
__________________
Table 51: Aerodrome category for rescue and fire fighting.
__________________
__________________ Aerodrome Aeroplane overall length. Maximum
category. . fuselage width.
__________________
(1) (2) (3)
1 0 m up to but not including 9 m 2m
5.9 ARFF vehicles

All rescue and fire fighting vehicles are normally housed in a
fire station. Separate / Satellite fire stations can be provided
whenever the response time cannot be achieved from a single
fire station. Wherever position of satalite fire station is not
practicable, at least one ARFF vehicle is required to be
positioned in forward position to meet the response time.
Number of vehicles provided for ARFF service are
commensurate with the aerodrome category as determined
in accordance with table 51A. The minimum number of
rescue and fire fighting vehicles provided at an aerodrome
are in accordance with the following.
Table 51A
Category of aerodrome ARFF vehicles.

1 to 5 1.
6, 7 2.
8 3.
9 4.
10 5.
Notes
__________________
__________________
__________________
__________________
Fire Station of Cochin International Airport Limited (CIAL), __________________
Kochi __________________
__________________
5.10 Vehicle performance. __________________
ARFF vehicles would meet all the requirements outlined in __________________
__________________
Table 52 below.
Table 52: Suggested minimum characteristics for rescue
and fire fighting vehicles.
RFF vehicles upto 4500 RFF vehicles over 4500

litre litres
Monitor Optional for Categories Required
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,
__________________ halfyearly and annual basis. ARFF are required to have a
__________________ comprehensive fleet management programme with a
__________________ prescribed test method to check performance at regular
__________________ interval.
__________________
__________________
5.11 Response Time
__________________ Response time is considered as the time between the initial
__________________ call to the ARFF and the time when the first responding
__________________ vehicle(s) is (are) in position and if required, apply foam at a
rate of at least 50 % of the discharge rate specified in Table
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
Table52 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
Contd..
.
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 54. Requisite quantities of
foam compound would be maintained at each station in
conformation with ICAO guidelines.
Table 54
Fire tests Performance level B
1. Nozzle (air aspirated).
 Branch pipe. “UNI 86” foam nozzle.
 Nozzle pressure. 700 kPa.
2.5 litre per minute per square meter.
 Application rate.
11.4 litre per minute
 Discharge rate
2. Fire size 4.5 square meter approx. (circular)
3. Fuel (on water substrate) Kerosene
4. Preburn time 60 seconds
5. Fire performance.
 extinguishing time. Equal to or less than 60 seconds.
 total application time. 120 seconds.
 25% reignition time. Equal to or more than 5 minutes.
In addition to primary agent, necessary amount of

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

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

Medical fitness
The recruitment of ARFF personnel should conform to the
recruitment rules laid by Airports Authority of India. Details
of academic, physical and medical standards for each
category should conform to recruitment rules issued by
Airports Authority of India. All ARFF operational staff
would be qualified and competent for their respective level in
the service. They should also conform to the prescribed
medical and physical fitness.
ARFF officers and staff would undergo stipulated training
courses at the fire training college/centre before deployment
at the station. Fire Service Training Colleges are established
by AAI at Kolkata and Delhi, with training courses
conforming to ICAO training manual. The ARFF personnel
would undergo station level familiarization training on local
topography and equipment before deployment in actual
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
ARFF service includes RFF vehicles (major CFTs, small
CFTs), Ambulances, water bowsers, rescue tenders, high
mast lights.
5.17 Interruption or change to level of operational

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

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

An aerodrome emergency plan is required to be established
at all aerodromes, where RFF facilities have been
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
types of emergencies planned for viz.;.
0 aircraft crash.
1 aircraft emergencies (local standby, visibility
standby & full emergency);.
2 bomb threat;.
3 unlawfully seized aircraft;.
4 building fires; and.
5 national / natural disasters.
agencies involved in the plan;.
responsibility and role of each agency, the emergency
operations centre and the command post, for each type
of emergency ie; local standby, full emergency, aircraft
crash;.
information on names and telephone numbers of offices or
people to be contacted in the case of a particular
emergency; and.
a grid map of the aerodrome and its immediate vicinity.
The plan would observe Human Factors principles to ensure
optimum response by all existing agencies participating in
emergency operations. It would provide for cooperation and Notes
coordination with rescue coordination centre. __________________
__________________
Arrangements would be made to establish fixed emergency
__________________
operation centre, equipped with adequate communication
__________________
facilities, for overall coordination and general direction of
__________________
the response to an emergency.
__________________
5.21 Aerodrome Emergency Exercise __________________
__________________
In order to test the adequacy of the aerodrome emergency
__________________
plan full scale aerodrome emergency exercise is required to
__________________
be carried out at intervals of not exceeding 2 years and
partial emergency exercise once in the intervening period to
ensure that any deficiencies found during the exercises are
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 list of equipment and personnel on, or in the vicinity of,
the aerodrome which would be available for such
purpose; and.
arrangements for the rapid receipt of aircraft recovery
equipment kits available from other aerodromes.
ICAO Annex 14 to the Convention on International Civil

AviationVolume I' Aerodrome Design and Operations',
Fourth Edition, July 2004
Civil Aviation Requirements, Section4, Aerodrome Standards
& Air Traffic Services, Series 'B', Part I dated 31st July,
2006: Aerodrome Design And Operations, issued by Office
Of Director General Of Civil Aviation.
ICAO Airport Services Manual (Doc 9137) Part 1 Rescue
and Fire Fighting.
Notes Airports Authority of India Air Traffic Services Manual
__________________
AAI Airport Operations Manual
__________________
__________________ 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?

Class 'C' fire is caused due to .
Most suitable fire extinguishing agent for control of burning
aircraft fuel is
Four essential conditions for origination and continuation of
fire are Heat, Oxygen, Fuel and .
Response time is considered as the time between the initial
call to the ARFF and the time when the first responding
vehicle is in position and if required, apply foam at a
rate of at least 50% of the discharge rate. True/ False
From the table given below, determine the 'Aerodrome
Category' (In relation to ARFF) for an airport, where the
following aircraft are operating on a regular basis?
Type of Aircraft Length Max fuselage width
B-737 31 m 3.8 m
A-320 38 m 4.0 m
A-300 54 m 5.7 m
B-747 71 m 7.5 m
Aerodrome category Aeroplane overall length. Maximum fuselage width.
1 0 m to less than 9 m 2m
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 __________________

__________________
__________________
__________________
__________________
__________________
Electrical faults. __________________
Aqueous Filmforming Foam (AFFF) __________________
Chain Reaction.
True
The Aerodrome Category is 10 (Highest of all)
UNIT 6 ICAO Standards & Recommended Practices 135
Unit 6 Notes
__________________
__________________
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 bordercrossing procedures
for international civil aviation.
In addition, the ICAO defines the protocols for air accident
investigation followed by transport safety authorities in
countries signatory to the Convention on International Civil
Aviation, commonly known as the Chicago Convention.
An agreement between ICAO & UN is designed to ensure an
efficient working relationship and a mutual recognition of
their respective roles. However, ICAO is not subordinate to,
and does not receive any lineofcommand authority from,
the United Nations.
Civil aviation is a powerful force for progress in our modern
global society. A healthy and growing air transport system
creates and supports millions of jobs worldwide. It forms
part of the economic lifeline of many countries. It is a
catalyst for travel and tourism, the world’s largest industry.
Beyond economics, air transport enriches the social and
cultural fabric of society and contributes to the attainment of
peace and prosperity throughout the world.
Notes Twenty four hours a day, 365 days of the year, an aeroplane
__________________ takes off or lands every few seconds somewhere on the face of
__________________ the earth. Every one of these flights is handled in the same,
__________________ uniform manner, whether by air traffic control, airport
__________________ authorities or pilots at the controls of their aircraft. Behind
__________________ the scenes are millions of employees involved in
__________________ manufacturing, maintenance and monitoring of the products
__________________ and services required in the neverending cycle of flights. In
__________________
fact, modern aviation is one of the most complex systems of
__________________
interaction between human beings and machines ever
created.
__________________
This clockwork precision in procedures and systems is made
possible by the existence of universally accepted standards
known as Standards and Recommended Practices, or SARPs.
SARPs cover all technical and operational aspects of
international civil aviation, such as safety, personnel
licensing, operation of aircraft, aerodromes, air traffic
services, accident investigation and the environment.
Without SARPs, our aviation system would be at best chaotic
and at worst unsafe.
Creating and modernizing SARPs is the responsibility of the
International Civil Aviation Organization, or ICAO, the
specialized agency of the United Nations whose mandate is
to ensure the safe, efficient and orderly evolution of
international civil aviation.
ICAO has its headquarters in Montreal, Canada, with seven
regional offices throughout the world. From its beginning in
1944 it has grown to an organization with over 180
Contracting States. The charter of ICAO is the Convention
on International Civil Aviation, drawn up in Chicago in
December 1944, and to which each ICAO Contracting State
is a party.
According to the Convention, the Organization is made up of
an Assembly, a Council and a Secretariat. The chief officers
are the President of the Council and the Secretary General.
It is in the Council that Standards and Recommended
Practices are adopted and incorporated as Annexes to the
Convention on International Civil Aviation. With regard to
the development of Standards, the Council is assisted by the Notes
Air Navigation Commission in technical matters, the Air __________________
Transport Committee in economic matters and the __________________
Committee on Unlawful Interference in aviation security __________________
matters. __________________
The principal body concerned with the development of __________________
technical Standards and other provisions is the Air __________________
Navigation Commission. Its primary role is to advise the __________________
Council of ICAO on air navigation issues. The Secretariat, __________________
headed by a Secretary General, is divided into five main __________________
divisions: the Air Navigation Bureau, the Air Transport __________________
Bureau, the Technical Cooperation Bureau, the Legal

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

uniform application of certain operating procedures is
necessary for safe and efficient air navigation.
Operating procedures covering aircraft operations,
construction of visual and instrument flight procedures,
ICAO abbreviations and codes, rules of the air, and air
traffic services have been adopted by ICAO.
Supplementary Procedures: Certain procedures apply
only in specific regions and those are published as
Supplementary Procedures.
Notes Field Manuals: These manuals have no formal status by

__________________ themselves but derive their status from the International
__________________ Standards, Recommended Practices, and PANS from which
__________________ they are compiled. They are prepared primarily for the use
__________________ of personnel engaged in operations in the field.
__________________
ICAO Circulars: ICAO Circulars are issued by the Secretary
__________________
General to make specialized information available to
__________________
contracting states. They include studies of statistics,
__________________
summaries of treaties or agreements, analyses of technical
__________________
documents, and studies of technical subjects
__________________
The publications discussed in this paragraph and other
publications published and distributed by ICAO are
available at the following address: Public Information
Office, International Civil Aviation Organization, 1000
Sherbrooke Street West, Suite 400 Montreal, Quebec
Canada H3A, 2R2 97.
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
Annex 2, Rules of the Air, contains rules relating to
conducting visual and instrument flight
Annex 3, Meteorological Service for International Air
Navigation, provides for meteorological services for
international air navigation and reporting of
meteorological observations from aircraft
Annex 4, Aeronautical Charts, contains specifications for
aeronautical charts used in international aviation
Annex 5, Measurement Units Used in Air and Ground

Operations, lists dimensional systems to be used in air
and ground operations
Annex 6, Operation of Aircraft, enumerates specifications Notes
which ensure a level of safety above a prescribed __________________
minimum in similar operations throughout the world. __________________
The three parts of this Annex are as follows: __________________
• Part I International Commercial Air Transport __________________
Airplanes • Part II International General Aviation __________________
Airplanes • Part III International Operations __________________
Helicopters __________________
Annex 7, Aircraft Nationality and Registration Marks, __________________
specifies requirements for registration and __________________

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

__________________ planning (volume 1) and aircraft engine emissions
__________________ (volume 2)
__________________
Annex 17, SecuritySafeguarding International Civil
__________________
Aviation Against Acts of Unlawful Interference,
__________________
specifies methods for safeguarding international civil
__________________
aviation against unlawful acts of interference
__________________
__________________ Annex 18, The Safe Transport of Dangerous Goods by
__________________ Air, contains specifications for labelling, packing, and
__________________ shipping dangerous cargo.
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 noncompliance.
Why are Standards Necessary?
Sixteen out of eighteen Annexes to the Convention are of a
technical nature and therefore fall within the responsibilities
of the Air Navigation Bureau and its sections. The remaining
two Annexes, Facilitation and Security, are under the
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 Annex14 are given below;
“————
4.2.6 Recommendation.— In considering proposed

construction, account should be taken of the possible
future development of an instrument runway and
consequent requirement for more stringent obstacle
limitation surfaces.
(Standards are shown in the following form)
Nonprecision approach runways
4.2.7 The following obstacle limitation surfaces shall be
established for a nonprecision approach runway:
Notes — conical surface;
__________________ — inner horizontal surface;
__________________
— approach surface; and
__________________
__________________
— transitional surfaces.
__________________ ————“
__________________
The basic criterion for deciding whether a particular issue
__________________
should be a Standard is an affirmative answer to the
__________________
question, “Is uniform application by all contracting States
__________________
essential?” The applicability of a Standard may be subject to
__________________
certain conditions relating to such areas as terrain, traffic
density, stages of flight, and climate. A Standard should,
however, be applied equally by any contracting state where
those specified conditions are encountered, unless the
contracting state notifies ICAO of a difference
Origin of Proposals for SARPs

How are SARPs created? What makes them so effective
today and how can they ensure the safe, efficient and orderly
growth of international civil aviation in the years to come?
The answer lies in the four “C’s” of aviation: cooperation,
consensus, compliance and commitment. Cooperation in the
formulation of SARPs, consensus in their approval,
compliance in their application, and commitment of
adherence to this ongoing process.
The formulation of new or revised SARPs begins with a
proposal for action from ICAO itself or from its Contracting
States. Proposals also may be submitted by international
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 Notes
necessary consensus reached. __________________
__________________
In the development, a number of consultative mechanisms
__________________
are used:
__________________
Air Navigation meetings are divisionaltype meetings __________________
devoted to broad issues in the air navigation fields. They can __________________
be either divisional meetings dealing with issues in one or __________________
more related fields or air navigation conferences normally __________________
having a “theme” covering issues in more than one field. All __________________
Contracting States are invited to participate in these __________________
meetings with equal voice. Interested international
organizations are invited to participate as observers.
ANC panels are technical groups of qualified experts formed by
the ANC to advance, within specified time frames, the solution
of specialized problems which cannot be solved adequately or
expeditiously by the established facilities of the ANC and the
Secretariat. These experts act in their expert capacity and not
as representatives of the nominators.
Air Navigation study groups are small groups of experts

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

These various groups report back to the Air Navigation
Commission in the form of a technical proposal either for
revisions to SARPs or for new SARPs, for preliminary review.
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 safetyrelated practices.
The audits are conducted within the context of critical
elements of a State’s safety oversight system. These include
the appropriate legislative and regulatory framework; a
sound organizational structure; technical guidance; qualified
personnel; licensing and certification procedures; continued
surveillance and the resolution of identified safety concerns.
Since its inception, the Programme has proved effective in
identifying safety concerns in the safetyrelated fields under
its scope, while providing recommendations for their
resolution. The Programme is being gradually expanded to
include aerodromes, air traffic services, aircraft accident and
incident investigation and other safetyrelated fields.
While providing additional assistance in the form of regional
safety oversight seminars and workshops, the programme
also provides ICAO with valuable feedback to improve
existing SARPs and create new ones.
The experience gained with the safety oversight programme
was successfully adapted to aviation security. In 2002, the
Universal Security Audit Programme was launched to Notes

similarly help States identify deficiencies in the __________________
implementation of securityrelated SARPs. The format may __________________
in the future be applied to other areas of civil aviation. __________________
__________________
Yes, cooperation, consensus, compliance and an unfailing
__________________
commitment to the ongoing implementation of SARPs have
made it possible to create a global aviation system that has __________________
evolved into the safest mode of mass transportation ever __________________
conceived. The flight crew of today’s commercial aircraft, as __________________
their predecessors and those that will follow, can count on a __________________
standardized aviation infrastructure wherever they fly in __________________
the world.
ICAO is proud of this unique achievement, based on the
singledminded pursuit of working with its Contracting
States and all other partners of the international civil
aviation community in providing the citizens of the world
with an aviation system that is safe and reliable, now and
for years to come.
References
ICAO Website http://www.icao.int/
Questions
General Questions.
Write different steps involved in development of SARPs
starting from “Proposal stage” till “implementation”.
How SARPs are adopted and published

‘There are 18 ICAO Annexes, which contain — that have
been adopted through International agreement.
Standards’ are mandatory requirements set up by ICAO in
its Annexes for the safety or regularity of International
air navigation and is denoted by the words —
Notes A Recommended Practice is any specification for physical

__________________ characteristics, configuration, material, performance,
__________________ personnel or procedure, the uniform application of
__________________ which is recognized as desirable in the interest of safety,
__________________ regularity or efficiency of international air navigation,
__________________ and to which Contracting States will endeavour to
__________________ conform in accordance with the Convention. States are
__________________ invited to inform the Council of noncompliance. It is
__________________ denoted by the words —
__________________
__________________
‘Standards and Recommended Practices (SARPs)”
shall
should
UNIT 7 Civil Aviation Security 149
Unit 7 Notes
__________________
__________________
Civil Aviation Security __________________
__________________
__________________
__________________
Civil Aviation Security refers to the techniques and methods
__________________
used in protecting airports, aircraft, passengers and
__________________
personnel associated with aviation from crime, sabotage and
__________________
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, inflight 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 DC8 of Swiss air) were made
__________________ to land at a desert airstrip of Jordan known as Dawson and
__________________ the third one (a Jumbo jet of Pan American Airways) was
__________________ taken to Cairo. After two days a VC10 of BOAC (British
__________________ Overseas Airways Corporation) was also taken to Dawson.
__________________ Later the hijackers offloaded the passengers and crew and
__________________
burnt all the aeroplanes.
“2 June 76” Airbus aircraft of Air France while on a flight
from Tel Aviv to Paris via Athens with 24 passengers on
board was hijacked by four Palestine supporters and taken to
Entebbe (Uganda) taking 10 persons on board as hostages.
On July Israel sent its aircraft on a secret mission to
Entebbe where its soldiers rescued the hostage in a dare
devil operation killing all the hijackers.
The single deadliest airline catastrophe resulting from the
failure of airport security to detect an onboard bomb was Air
India Flight 182 in 1985, which killed 329 people.
In June 85, Air India Jumbo jet named “Kanishka” on a
flight from Montreal to Mumbai via London fell into the
North Atlantic Sea near the coast of Ireland, killing all 329
persons on board. During investigation it was found that a
bomb had been placed in the cargo compartment of the
aircraft that exploded during flight. This was the worst and
most brutal aeroplane accident caused by sabotage.
In Dec 88, a Pan American Airways B747 aircraft crashed
due to sabotage, during a flight from London to New York
with 259 passengers on board, killing all passengers and
crew and the parts of the burning aircraft fell over Lockerbie
town in Scotland that set many houses ablaze and killed
many innocent people on ground too (total 270 casualties).
On 8 April 94, an Executive jet aircraft carrying Presidents
of two African nations Rwanda and Burundi on flight from
Tanzanian capital DaresSalaam to Rwandan capital Kigali
was hit down by a missile killing both the Presidents and
eight others on board the aircraft. This was the first instance Notes
when Heads of two nations got simultaneously killed under a __________________
single air casualty. __________________
__________________
In Nov. 96, an Ethiopian Airlines B767 aircraft on flight
__________________
from Addis Ababa to Abjdan (Ivory Coast W.Africa) was
__________________
hijacked by three persons just after takeoff. The airliner
__________________
crashed into the sea just one Km off the beach due shortage
__________________
of fuel and the fuselage broke into two parts. Out of 178
__________________
Persons on board, only 55 could be rescued.
__________________
The Rome and Vienna airport attacks in December 1985
__________________
were two more instances of airport security failures. The
attacks left 20 people dead when gunmen threw grenades
and opened fire on travellers at El Al airline ticket counters.
Never the less, the most tragic security related incident was
that of the horrific attack & destruction of World Trade
Centre in New York by using the hijacked aircraft as
missiles on 11th September 2000 (Known as 9/11).
Security
Airport security provides a first line of defence by
attempting to stop wouldbe attackers from bringing
weapons or bombs into the airport. If they can succeed in
this, then the chances of these devices getting on to aircraft
are greatly reduced. As such, airport security serves two
purposes: To protect the airport from attacks and crime and
to protect the aircraft from attack.
In India, Bureau of Civil Aviation Security (BCAS) is the
regulatory authority for control of Civil Aviation Security.
They formulate and implement and monitor security system
at various airports in the country. Civil Aviation Security
consists of airline security and airport security at the
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 preboarding Security
checks of person and baggage. (Preboarding 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 unarmed). These guards may be
__________________ sitting with the passengers in disguise at various strategic
__________________ locations inside the cabin (Like ElAl airline of Israel) and in
__________________ case of any requirement they may suddenly jump and
__________________ overpower the terrorists. In addition, they also carry out
__________________ checks of cargo, catering and other items required to be
__________________ loaded on board the aircraft.
__________________ Airport security provides a first line of defence by attempting
__________________ to stop wouldbe attackers from bringing weapons or bombs
into the airport. It serves two purposes: To protect the
airport from attacks and crime and to protect the aircraft
from attack.
Airport security is the responsibility of the aerodrome
operators (Like Airports Authority of India) who employ local
police or CISF or any other such agency for this job. Airport
security is further divided into two parts; City side security
and Air side security.
City side security includes security of Terminal building,
passengers, baggage, all access points to the airport. Air side
security includes security of operational areas (like runways,
taxiways, apron etc.), Boundary wall, Navigational aids,
Radio facilities and other essential airport equipments and
installations.
Normally the following procedures in steps are adapted to
carry out the security checks at our airports;
When a passenger enters the airport, the security official
checks the ticket to make sure that the passenger is
having a bonafide reason to enter the airport premises.
The passenger it made to pass through Door Frame Metal
Detectors (DFMD), which normally works on the
principle of eddy current inspection.
The Checkin baggage (The Registered baggage, which is
carried inside the cargo hold) is passed through the X
Ray Machines and “Security Checked” tag is pasted a on
it, and the baggage is returned to the passenger.
The passenger then goes to get the boarding pass, and then Notes
gives the “Security Checked” baggage to the airline __________________
counter for moving it to conveyor belt for loading on to __________________
the aircraft. __________________
__________________
The Cabin baggage (Carry on Baggage) is then carried by the
__________________
passenger to the security hold (Sterile Area) after
__________________
undergoing XRay check for the baggage and physical
__________________
checking (Frisking), passing through Door Frame Metal
__________________
Detectors (DFMD) and checking through Hand Held
__________________
Metal Detectors (HHMD).
__________________
In India a passenger is allowed to carry only one hand
baggage inside the cabin with him. However, no weapon
of any kind what so ever is permitted in the cabin.
Earlier in India due to religious reasons, Sikh
passengers were permitted to carry their holy Kirpan
(dagger) along with them inside the cabin. However
after a number of hijacking incidents, even this
privilege was withdrawn.
So much so that many innocent looking objects like nail
cutters, scissors, wires, screw drivers or similar other
household items are not permitted inside the cabin.
However all these things can be carried inside the cargo
baggage.
In India airline staff has instructions not to accept
unaccompanied baggage unless and until the passenger
himself travels along with. And in case it is necessary to
send such unaccompanied baggage, the practice of
allowing a suitable cooling period is adopted. The idea is
that if any explosive or bomb etc. is hidden inside the
baggage, its effect could be seen outside (and not inside
the aircraft) during the waiting period.
In case of even accompanied baggage, many airlines in India
follow the procedure of baggage identification by the
passenger. For this purpose bonafide passengers are
required to identify their baggage individually and only
then it is loaded on the aircraft (inside the cargo
compartment).
Notes At busy airports closed circuit television cameras are

__________________ extensively used for monitoring the entry, movement
__________________ and exits of undesirable elements over the passenger
__________________ lounge and other strategically important areas to safe
__________________ guard not only against breach of security but also to
__________________ prevent theft burglary etc.
__________________ As far as the security of the airport boundary and
__________________ installations are concerned, boundary walls/Fencing as
__________________ per ICAO Specifications, Watch towers, regular
__________________
patrolling, continuous vigil etc. are introduced.
__________________
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
in December, 1999, airport security matters were reviewed
by the Ministry of Civil Aviation. It was decided that in order
to bring in uniformity of practices and procedures and ensure
effective control and supervision of the Ministry of Civil
Aviation, airports security should be entrusted to a single
dedicated force instead of different State Police forces with
divergent work culture and practices. The Committee of
Secretaries (COS) in its meeting on 7th January, 2000
recommended that in the longterm there was a need for a
more professionalized force for civil aviation. The
Commissioner of Security (CA) further recommended that
Central Industrial Security Force (CISF) should be inducted
at all airports in India. The dedicated CISF contingent
earmarked for aviation security functions at airports in India
has been notified as Aviation Security Group (ASG).
Accordingly now CISF has been deployed or being deployed
at most of the Indian airports.
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 exnaval official
__________________
boarded a Trans World Airways B707 carrying with him a
__________________
huge pile of grenades, fire arms and other material inside
__________________
the aircraft. He also took a rifle along by concealing it into a
__________________
fishing rod. Later he hijacked the aircraft and took it to Italy
__________________
about 1000 kilometres away. This gives an indication of the
__________________ standards of the security arrangements available during
__________________ those days.
__________________
However slowly most of the countries started recognizing the
importance of security after experiencing phenomenal
increase in the tendency of hijacking all over the world. For
this purpose these countries started adopting strict security
measures for making air travel safer. The very first step in
this direction was to do the through checking of passengers
and their baggage. Similarly the staff and officials of airlines
and airport were also subjected to security checks before
entering the airport area. Worldwide inspection and
screening of passengers and cabin baggage went into effect
July 15 1974.
Because of strictness in security checking a large number of
arms and ammunition were detected during seventies and
early eighties. Thus more than 225 thousand weapons and
ammunition were seized from 1971 to 1981 during such
checking at various airports. Out of this there were more
than 80,000 firearms ammunition and explosives and over
150 thousands were knives and similar type of articles.
It is interesting to note that where as in 1971 there were
only 36 cases of seizures of arms and ammunition and only
115 cases of seizure of knives in 1973 these number rose to
the astronomical figures of 13,461 and 32,525 respectively.
In 1975 the numbers rose to a record figure of 32,538 and
20,866 respectively.
As per reports from US Government during the year 1973
about 3500 passengers were detained for checking at 531 US
Airports since they were suspected to be possessing weapons.
Out of them about 300 people refused to be checked and
therefore they were not allowed to board the aircraft. The Notes
remaining 3200 were arrested. And then about 2000 guns __________________
35000 pounds of ammunition and about 23,000 knives and __________________
other dangerous weapons were recovered from them. __________________
(However many of the above articles were carried by girls __________________
travelling alone possibly for selfdefence). __________________
After such strict checking the number of weapons carried by __________________
air travellers started decreasing. Perhaps by that time it was __________________
well understood by all that it was difficult to carry these __________________
items in view of intensified security measures at various __________________
airports. Perhaps due to the same reasons even there was __________________
considerable reduction in number of cases of unlawful

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 Xray 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 HeathrowNew York route carrying a radio/cassette
recorder in which a dummy bomb was hidden. The intension
was to demonstrate the slackness of such agencies. Since
security officials failed to detect the bomb it created an
embarrassing situation for the British Government.
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 B29
__________________ were frequently hit by bullets and riddled by sharpenels
__________________ during raids over Japan during World War II yet were able
__________________ to return safely. Of course if by chance the bullets happen to
__________________ hit the crucial fuel or hydraulic lines or a part of the engines
perhaps there could be a problem. It may be mentioned that
usually the sky marshals use lowvelocity bullets to lessen
the risk. On most of the flights passengers are not allowed to
enter the cockpit without any valid reason and even this can
be done only with the specific permission of the pilot in
command. For this purpose Israel was the first nation to
introduce bullet proofing and automatic door closing
technique of the cockpit doors in their aircraft. This was soon
followed by many other airlines.
Many airports have been effectively utilizing services of
trained dogs and sometimes pigs for detection of bombs
explosives and firearms etc. These animals are capable of
sniffing and identifying dangerous objects either carried by a
passenger or kept inside the baggage (additionally these
animals can also identify drugs and therefore they are also
used to combat drug trafficketing.)
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 __________________
checkin areas security hold areas etc. It can be further __________________
extended to operational areas boundary gates and various __________________
other important locations depending upon the requirement. __________________
Benefits from CCTV surveillance are plenty and if exploited __________________

__________________
fully many a possible incidents can be prevented before hand.
__________________
SEARCH OF BAGGAGE: __________________

__________________
Acts of unlawful interference with International Civil
__________________
aviation continue to pose a serious threat to the safety
regularity and efficiency of civil aviation despite the best
efforts of nation’s airport administrations and airline
operators to implement the aviation security program
advocated by ICAO.
In order to achieve their goal of preventing such acts security
measures have been extensively intensified at various
airports with a view to ensure safety to passengers and
aeroplanes. In the 1970’s it became a requirement to search
all articles such as handbags brief cases packages etc.
carried abroad the commercial airliner. Similarly physical
examination of the air traveller is also conducted.
In India and most of the other countries the security staff
carry out frisking of passengers before they are allowed
inside the aircraft. For this purpose each passenger is made
to pass through metal detectors and thus anyone carrying a
weapon gets detected. The metal detectors work on the
principle of eddy current inspection. They may be hand held
or walk through (Mostly walk through).
As far as hand search of baggage is concerned it is time
consuming and cumbersome process. On a conservative
estimate a B747 aircraft carrying about 500 passengers on
an international flight may carry more than 1000 packets of
hand baggage and other such items. In a manual search each
item has to be opened swiftly examined by security officials.
Now if one piece of baggage takes half a minute to examine it
may take about 500 minutes (or about eight hours) for one
Notes man to complete the search. Even if four security personnel
__________________ are employed for the job they may take more than two hours
__________________ to do Job. And at an international airport where dozens of
__________________ such flights depart on regular basis such a search may
__________________ become a nightmarish experience. Apart from delay the
__________________ inconvenience caused to passengers is also deplorable.
__________________ Moreover there is no way to ensure that such a method will
__________________ be fool proof.
__________________
It is therefore evident that manual searching of carryon
__________________
luggage is not a satisfactory solution for high capacity
__________________
aircraft through it can be adopted for domestic flights at
small airports.
Thus the need for having Xray examinations of baggage was
introduced. Under this system the baggage is passed through
X ray beams over conveyer belts. The Xrays images are
then displayed on a display monitor that shows the inside
contents of the baggage. Thus any dangerous article can be
easily detected without opening the baggage.
Xray system has another feature known as film safe
procedure. Xray beams used for Xray detection are using
heavy filtration and therefore any camera film carried inside
the passenger baggage does not get exposed.
At some of the airports in USA and in many other countries
a number of incentives are offered to security officials who
can unearth a hidden weapon or an explosive. Some times
the cash award may be as much as $25 for a single piece of
weapon. This in turn gives good motivation to security
officials to be more vigilant.
At certain airports (like Frankfurt in Germany) special
chambers for checking the baggage have been designed.
Baggages about which security staff are doubtful are sent to
these chambers, which are made of steel called
decompression chambers. In these chambers conditions
similar to actual flight conditions are produced and in case
the baggage contains any bomb the same gets detonated.
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 “carryon
baggage”. The high cost of the machine is another hitch in fast
implementation of this equipment at all airports.
As an alternate to TNA another method called “Vapour

Detection” is also being used for detection of plastic
explosives. This machine works on the principles of sensing
of minute amount of vapour emitted by explosives. The
device uses gas chromatography or chemiluminescence
techniques for this purpose. The machine is comparatively
slower that TNA requiring about 30 seconds per passenger
and has slightly less effective performance. However the cost
of a vapour detector is much less ($80,000) than TNA and
thus it can be effectively used as a back up to TNA machine.
For examination of bulky cargo the commercial models using
massspectrography are used which is a variation on the
vapour analysis theme.
Notes Another effective process is called “Enhanced XRay system
__________________ (also known as “Smart XRay system”). In this process Xray
__________________ machines linked with computers are used. They are
__________________ programmed to highlight suspicious objects by evaluating
__________________ parameters such as mass contiguity and atomic weight. Thus
__________________ the true and intricate features of different objects carried by
__________________ airpassengers can be determined.
__________________ As a matter of fact the enhanced Xray system is part of
__________________ “Explosives Detection System (EDS), which consists of
__________________ enhanced X ray nuclear technology and electromagnetic
__________________ measurements for detection of explosives hidden inside the
baggage. All of these approaches attempt to take a
fundamental property of explosives to differentiate it from
the normal passenger baggage.
The latest topic in bulk explosives detection technology is called
as “computer tomography”. This system was first developed in
the medical science as CATScanning. Later it was modified to
cater for security needs. Tomographic images are obtained by
acquiring multiple views (or slices) of an object. A powerful
computer is used to reconstruct the slices and display the
relative densities of the individual object within each slice. The
information allows the equipment to automatically locate and
highlight the suspicious object regardless of their shape and
environment. In contrast traditional Xray images are required
to be interpreted manually by the security officials. This is a
difficult job as the images are superimposed, overlapped and
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:
__________________
BCAS website http://www.bcasindia.nic.in/ __________________
__________________
DGCA Website http://dgca.nic.in/ also http://dgca.gov.in/
__________________
AAI website http://aai.aero/AAI/ __________________
Ministry of Civil Aviation website http:// civilaviation.nic.in/ __________________
“Aviation Terrorism” –Bimal K. Srivastava, 1998 Manas

Publications, Ansari Road, Daryaganj, New Delhi110002
Various Air Safety Circulars, AICs and other important
notification issued by DGCA
Questions
General Questions.
Write different steps taken by various security personnel for
security checking of a passenger travelling from Delhi
Airport to Mumbai with baggage.
What types of modern techniques are used in controlling the
security problems?
What are the area falling under the jurisdiction of “City Side
Security”
What are the area falling under the jurisdiction of “Air Side
Security”

It is possible to identify the presence of RDX and plastic
bombs by using ——
Notes DFMD is a security equipment, which stands for —
__________________
HHMD is a security equipment, which stands for —
__________________
__________________ Name the Annex Number of ICAO dealing with the Aviation
__________________ Security
__________________
__________________
__________________ Smart XRay and Tomography
__________________
Door Framed Metal Detector
__________________
__________________ Hand Held Metal Detector.
Annex 17
UNIT 8 Role of DGCA/BCAS in Aviation Safety and Security 167
Unit 8 Notes
__________________
__________________
Role of DGCA/BCAS in __________________
Aviation Safety and Security __________________

__________________
__________________
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 nonscheduled
__________________ 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 flexiuse of air space by Notes

civil and military air traffic agencies and interaction __________________
with ICAO for provision of more air routes for civil use __________________
through Indian air space; __________________
__________________
Keeping a check on aircraft noise and engine emissions in
__________________
accordance with ICAO Annex 16 and collaborating with
__________________
the environmental authorities in this matter, if
__________________
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 Registered aircraft
accidents, Accident to foreign registered aircraft in India,
Accident to Indian registered aircraft out side India,
Investigation of Civil Registered aircraft Incidents, and
Accident/Incident Prevention work. The Airworthiness
Directorate carries out the regulatory control of
airworthiness to ensure that the civil aircraft are airworthy.
The Flight Inspection Directorate (FID) conducts regular

Inspections and Surveillance of Scheduled Airlines and their
aircrew in particular to ensure effective implementation of
safety related Standards and Recommended Practices
contained in the ICAO Annexes, particularly Annex 6, and
the relevant Rules, Regulations, Procedures and
Requirements laid down in Aircraft Rules, Civil Aviation
Requirements, Aeronautical Information Circulars, AIP
India etc.
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, IIII floor, Janpath
__________________
Bhavan, Janpath, New Delhi110001. It has got four
__________________
Regional Offices located at International airports i.e.
__________________
Delhi, Mumbai, Kolkata and Chennai, headed by an
__________________
officer of the rank of Deputy Commissioner of Security
__________________
(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
0 Surprise/Dummy checks to test professional
efficiency and alertness of security staff.
1 Mock exercise to test efficacy of Contingency Plans
and operational preparedness of the various
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 antihijacking, antisabotage,
__________________ Bomb Threat & Bomb Detection etc.
__________________
__________________
References
__________________ 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/
__________________
__________________
Questions
General Questions.
What are the main functions/responsibilities of BCAS in
India?
What are the main functions/responsibilities of DGCA in
India?

Regulatory authority of Civil aviation Security in India is

Registration of an Indian Civil aircraft is done by
A pilot, who is retired from Indian Air Force, but flying as a
commander in Air India can get his B747 licence
renewed from IAFTrue/False.

BCAS
DGCA
False
UNIT 9 Aviation Safety Human Factor 173
Unit 9 Notes
__________________
__________________
Aviation Safety Human Factor __________________
__________________
__________________
__________________
OBJECTIVE __________________
Flight safety is the major objective of the International Civil __________________
Aviation Organization. Considerable progress has been made, __________________
but additional improvements are needed and can be achieved. __________________
It has long been known that some three out of four accidents
result from less than optimum human performance, indicating
that any advance in this field can be expected to have a
significant impact on the improvement of flight safety.
A study was conducted by Department of Transport and

Regional Development Bureau of Air Safety Investigation,
USA to analyze Human Factors in Fatal Aircraft Accidents
on the 75 fatal aeroplane accidents which occurred in USA in
the period 1 January 198831 December 1990. They found
that most accidents had more than one contributing factor,
and out of that over 70% of the accidents involved pilot
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
designinduced 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.
In December 1972 an L1011 crashed in the Florida
Everglades and a B737 crashed at Midway Airport in
Chicago. In the first case, duties were not properly
allocated and the whole flight crew became preoccupied
with a landing gear indicator light bulb. In the second
case, the captain as a leader did not properly manage
the resources which were available to him.
In 1974, a B707 crashed during approach at PagoPago in
Samoa, with a loss of 96 lives. A visual illusion related to
the blackhole phenomenon was a cause factor.
In 1974, a DC10 crashed after takeoff because a cargo door
failed (it opened and blew out). The force applied by a
cargo handler to close the cargo door, the door design
and an incomplete application of a service bulletin were
cited as factors.
In 1974, a B727 approaching Dulles Airport in Washington
crashed into Mount Weather, with a loss of 92 lives.
Lack of clarity and inadequacies in air traffic control
procedures and regulations led to the accident. The
absence of timely action of the regulatory body to
resolve a known problem in air traffic terminology was
also listed as a factor.
Notes In 1977, two B747s collided while on the runway at

__________________ Tenerife, with a loss of 583 lives. A breakdown in
__________________ normal communication procedures and
__________________ misinterpretation of verbal messages were considered
__________________ factors (ICAO Circular 153AN/98).
__________________ In 1977, a DC8 crashed after takeoff in Alaska. The
__________________ influence of alcohol on pilot performance was cited as a
__________________
factor.
__________________
In 1979, a DC10 crashed into Mount Erebus in Antartica.
__________________
Information transfer and data entry errors played a role
__________________
in the accident.
In 1982, a B737 crashed after takeoff in icing conditions in
Washington. Erroneous engine thrust readings (higher
than actual), and the copilot's lack of assertiveness in
communicating his concern and comments about
aircraft performance during the takeoff run were
among the factors cited. .
The report of a 1983 A300 accident in Kuala Lumpur
suggests that variations in panel layout amongst the
aircraft in the fleet had adversely affected crew
performance. (The aircraft was on a dry lease.).
In 1984, a DC10 overran the runway at John F. Kennedy
Airport in New York. Excessive reliance on automation
was noted in the accident report.
Excessive reliance on automation was also listed as a factor
in a loss of control incident in 1985, in which a B747
lost 20,000 feet in less than two minutes and sustained
structural damage.
In 1987 an MD80 crashed on takeoff in Detroit. The pilots
had not set the flaps, thus violating standard operating
procedures. Also, the takeoff configuration warning did
not sound, for undetermined reasons.
CASE HISTORY
(Ref: National Transportation Safety Board NTSB, USA
Aircraft Accident Report No. & Date NTSBAAR797, June
7, 1979)
About 1815 Pacific Standard Time on December 28, 1978, Notes
United Airlines, Inc., DC861 aircraft, operating Flight 173 __________________
crashed into a wooded, populated area of suburban Portland, __________________
Oregon, during an approach to the Portland International __________________
Airport. The aircraft had been holding southeast of the __________________
airport at a low altitude for about one hour while the flight __________________
crew coped with a landing gear malfunction and prepared __________________
the passengers for the possibility of a landing gear failure __________________
upon landing. __________________
The plane crashed about 6 nautical miles southeast of the __________________
airport. The aircraft was destroyed; there was no fire. Of the __________________
181 passengers and 8 crewmembers aboard, 8 passengers,

the flight engineer, and a flight attendant were killed and 21
passengers and 2 crewmembers were injured seriously.
During investigation it was determined that, as a result of a
relatively minor landing gear problem, the aircraft was in a
holding pattern while awaiting landing at Portland, Oregon.
Although the first officer knew the aircraft was low on fuel,
he failed to express his concerns convincingly to the captain.
The plane ran out of fuel and crashed, killing 10.
The National Transportation Safety Board summarized that
the probable cause of the accident was the failure of the
captain to monitor properly the aircraft's fuel state and to
properly respond to the low fuel state and the crewmember's
advisories regarding fuel state. This resulted in fuel
exhaustion to all engines. His inattention resulted from
preoccupation with a landing gear malfunction and
preparations for a possible landing emergency.
Contributing to the accident was the failure of the other two
flight crewmembers either to fully comprehend the criticality
of the fuel state or to successfully communicate their concern
to the captain.
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:
__________________ aeromedical, physiological, performance, and design. There
__________________ may be others, but these four have traditionally proven to be
__________________ the most common human factors noted in mishap investigation
__________________ reports. In each case, the causes, indicators, and approaches to
__________________ resolving the problems will be discussed.
__________________
AEROMEDICAL Medical
__________________
__________________ Health
__________________
__________________ Psychological State
PHYSIOLOGICAL Limits &
Capabilities
PERFORMANCE Limits &
Capabilities
SYSTEMS DESIGN
AEROMEDICAL PROBLEMS
Medical Health Problems:
FATIGUE
INADEQUATE NUTRITION
FLYING WHEN SICK
SELFMEDICATION
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 (24Hrs 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 performancebased
__________________ human factors). It is this commonality of behavioural
__________________ indicators which precludes one from being able to
__________________ consistently diagnosis the etiology of the human factors
__________________ problem on such evidence.
__________________
__________________
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 PSYCHOSOCIAL
__________________
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 SELFIMAGE
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 cooperate 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
__________________
SYCHOMOTOR 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
WORKLOADCAPABILITIES 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 Notes
listed 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!
PREPLAN
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
ANEFFECTIVE 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
__________________
The Human Factor in Naval Aviation Safety, Cdr Andy __________________
Bellenkes Force Aviation Human Factors Safety Officer,
Comnavairlant Code N452, USA
Document No. CAP 719, Fundamental Human Factors
Concepts, A publication of Civil Aviation Authority,
U.K.
Document No. CAP 716, Aviation Management Human
Factors, A publication of Civil Aviation Authority, U.K.
ICAO as Circular number 216AN/131. Human Factors,
Digest No. 1 "Fundamental Human Factors Concepts".
Department of Transport and Regional Development, USA,
Bureau of Air Safety InvestigationHuman Factors in
Fatal Aircraft Accidents.
Questions
General Questions.
What are the primary categories of human factors that may
adversely affect the performance of aircraft personnel,
and may result into an aircraft accident or incident?
Taking example of the case history an aircraft accident
caused due to involvement of some extent of human
factor, please give the causes of the accident with
possible methods of prevention and your views on
avoiding such accidents.
Describe briefly the various categories of human factors.
Notes Objective Type of questions

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

__________________
__________________
Airport Operations are complex and diverse, with hazards
__________________
and their severity varying by the type of operation.
__________________
Accordingly the functional areas of air side can be divided
__________________
under the following groups;
__________________
Ramp operations
Hangars and maintenance shops
Runway incursions
Specialized services
0 Aviation Fuel Handling
1 Aircraft Rescue and Fire fighting (ARFF)
2 Deicing (Mostly for European & US Airports)
Ramp operations
The ramp area (Apron) is generally designed for the aircraft,
and not for the vehicles that service and/or operate in the
proximity of the aircraft. On the other hand, the ramp area
sees a diverse collection of high placed activities that involve
aircraft, vehicles and individuals working in close proximity
to one another. This may include activities such as;
Aircraft ground handling like taxiing, towing, chocking,
parking, mooring etc.
Refuelling
Aircraft servicingcatering, 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 deicing occurs mainly at US or European
airports, and at places where temperature goes normally
below freezing point.
Presence of ice and snow on the control surfaces, airfoil and
sensor surfaces can create serious problems for the aircraft
operations, and hence the same has to be removed before
Notes the take off of the aircraft, by the spray of deicing fluid. The
__________________ fluid should be used with care failing which, it may cause
__________________ damage to sensitive aircraft controls like angle of attack
__________________ sensors, pitot & static sensors, engines etc. It is also
__________________ hazardous for the health of personnel.
__________________
__________________
Runway Incursions
__________________ A runway Incursion is defined as an occurrence at an
__________________ aerodrome involving the incorrect or unauthorized presence
__________________ of an aircraft, vehicle or person on the protected area of a
__________________ surface, designated for the landing and takeoff of aircraft.
A large number of cases of runway incursions take place at
many airports in some form or the other. There are many
reasons for occurrence of runway Incursions. Main reasons
can be divided into the following groups;
Operational Error: This is due to failure of ATC system
Pilot Error: This is due to violation of flight procedure or
incorrect procedure by the pilot.
Vehicle/ Pedestrian Mistake: Due to unauthorized or faulty
entry or movement of any vehicle or person on the active
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.
Pilots of aircraft.
Drivers of vehicle /Pedestrians/Personal working at the
airports.
Aerodrome owner/operator.
Air Traffic Controllers.
Miscommunication between controller and pilot, improper use
of ICAO phraseology, read back and hear back error, lack of
knowledge of the operational area by airport staff engaged
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.
0 Listen before you transmit.
1 If able, monitor RT communication to have mental
picture of Airport activity.
2 Keep communications with the controller clear and
concise.
3 Ensure you understand all instructions. Never
assume.
4 Read back runway hold short instructions verbatim.
Airport knowledge: Ground operations can be the most
demanding and complex phase of the flight.
0 Review airport diagrams before taxing or landing.
Notes 1 Keep the airport diagrams including taxi routings
__________________ readily available.
__________________
2 Be alert to airport vehicle and pedestrian activity.
__________________
__________________
3 Maintain situational awareness of proximity to
__________________ Runway at all times.
__________________ 4 Comply with Holding Point markings/signage
__________________
Cockpit procedures: Pilots can use proven and effective
__________________
procedures in the cockpit to help conduct safe operations
__________________
on the ground and during takeoff and landing.
__________________
0 Avoid unnecessary conversation, during
movements, takeoff, and landing.
1 Constantly scan outside the cockpit, especially
when on runways.
2 If lost notify Air Traffic Control immediately.
3 Make your aircraft visible by proper use of aircraft
lights.
4 If unfamiliar with the airport do not hesitate to
request progressive taxi instructions.
5 Insure proper radio telephony operation and check
audio panel, volume control and squelch settings.
Stay alert especially when visibility is low: Extra
vigilance is required when visibility decreases and the
ability for pilots and controllers to maintain desired
level of situational awareness becomes significantly
more difficult.
Report confusing or deteriorating surface markings
and signs: Report confusing or deteriorating surface
markings and signs and inaccurate airport diagrams to
the tower or airport manager.
Guidelines applicable to Airport owners/ Operators and

Airside vehicle Drivers:
The term ground aids commonly refers to Aerodrome Signs,
Markings, Lightings and any other appearance
or object that is utilized to help guide the users of the Notes
Airport. __________________
__________________
It is important to emphasize that effective and consistent
__________________
training in the use of aerodrome ground aids is crucial
__________________
in reducing the runway incursion problem. It is
__________________
therefore important that all personnel having access to
__________________
aerodrome operational areas and aerodrome ground
aids undergo training in correct interpretation of __________________
information provided by signs markings and lightings. __________________
The training programme should be well coordinated and __________________
should make ample use of SARPS and guidance __________________
material as outlined in Annex 14 and associated

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

require individual authorization from control tower,
even for pass holders in each individual case.
Pilots of aircraft and vehicles operating on or near the
runway are expected to keep watch for light or other
signals that might be issued from control tower
according to local procedures. Radio equipped aircraft
and vehicles should maintain continuous listening
watch on Tower or Ground Control frequencies.
Faded signs and incorrectly placed signs often lead to
runway incursion. Frequent and random inspection
shall be carried out to prevent the above.
Deficiency in the aerodrome marking and visual aids often
lead to runway incursion.
Notes All runway markings are white. This is to differentiate them
__________________ from taxiway markings.
__________________
Equip all airside vehicles with ICAO compliant markings
__________________
and lighting.
__________________
__________________ Provide airside escort vehicle to, vehicles/ aircraft unfamiliar
__________________ with aerodrome layout/ procedure.
__________________ Runway side strip markings shall always be provided for
__________________
precision approach runway.
__________________
All taxiway markings are yellow to differentiate them from
__________________
runway markings.
Runway holding position marking shall be in yellow colour.
Aerodrome signs are divided in to mandatory instruction
signs and information signs.
Mandatory instruction signs are made in red background with
white inscriptions. Aircraft and vehicles are not allowed to
proceed beyond these points unless specifically authorized
by control tower. These include runway designation sign,
runway holding position sign, no entry sign and road
holding position sign.
Information signs are made of combination of yellow and

black colours. Information sign includes location signs,
destination signs and direction signs. Location sign is in
black background with yellow inscription and when it is
standalone will have yellow border. All other
information signs will have black inscription on yellow
background.
A location sign shall be provided in conjunction with a
direction sign except it may be omitted when
aeronautical studies indicate that it is not needed.
Aerodrome lights include the stop bar lights or runway
guard lights. All traffic shall stop and hold at all lit stop
bars and only proceed when specifically authorized by
III. Guidelines for Air Traffic Controllers: Notes

__________________
Apply existing ICAO standards and recommended practices
__________________
and procedures.
__________________
Vehicles and aircraft shall not be permitted to hold closer to __________________
the runway than the applicable runway holding __________________
positions. __________________
Do not use conditional phrases such as: "behind landing __________________
aircraft" or "after departing aircraft" for movements __________________
affecting active runways unless appropriate pilot or the __________________
controller both see the aircraft concerned. __________________
Controller shall listen to the read back of clearances and

instructions to enter, land on, takeoff, hold short of,
cross and backtrack on any runway whether active or
not to ascertain that the clearance or instruction has
been correctly acknowledged by the flight crew and
shall take immediate action to correct any discrepancy
revealed by the read back.
ROGER and WILCO do not constitute a readback. Correct
readbacks are mandatory.
Controller shall listen to the read back instructions carefully
to avoid Read back and Hear back error i.e. controller
confirming instructions as right although it is wrong.
Be alert for similar call signs, change call signs temporarily
if required.
Avoid expectation bias i.e. hearing what is expected instead
of what is really said.
In poor visibility conditions visual surveillance may be
augmented by Radar if available.
If Surface Movement radar is either not provided or
unserviceable during low visibility operations, all
aircraft and vehicles must report having vacated active
runway. Also by having the aircraft report airborne, the
controller can be assured that the aircraft is no longer
on the active runway.
Notes When a taxi clearance contains a taxi limit beyond a runway,
__________________ it shall contain an explicit clearance to either "cross" or
__________________ "hold short" of that runway.
__________________
To reduce the potential for misunderstanding, the takeoff
__________________
clearance shall include the designator of the departure
__________________
runway.
__________________
If the control tower is unable to determine, either visually or
__________________
by Radar that a vacating or crossing aircraft has cleared
__________________
the runway, the aircraft shall be requested to report
__________________
when it has vacated the runway. The report shall be
__________________
made when the entire aircraft is beyond the relevant
runway holding position.
One of the reasons for misunderstanding due to differences
in FAA and ICAO phraseology has now been done away
with. The phrase "TAXI TO HOLDING POINT
RUNWAY 27" shall be used instead of TAXI TO
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
ultrasafe in the future.
SMS, or Safety Management Systems, is exactly the right
tool to achieve safety in aviation. It basically is a process
where operators identify the hazards and associated safety
risks that are inherent in their individual operation and then
develop appropriate mitigation strategies.
SMS has two main purposes. The first is to reduce the safety
risks for passengers, aircraft, personnel or property to a level
as low as reasonably practical. The second is to assist Notes

managers with their constant dilemma between production __________________
and protection: "is it a good idea to make an offer to that __________________
customer who wants us to fly around unfamiliar __________________
mountainous terrain in marginal weather or should we __________________
simply skip this business opportunity?" __________________
SMS is not just about investing in the improvement of an __________________
already quite impressive safety record. It's also about saving __________________
a lot more by managing the daily operations more safely and __________________
more effectively using Quality Management principles. Of __________________
course there is no "offtheshelf" or "onesizefitsall" system, __________________
and some finetuning is needed in every organization

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

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 predetermined plan, and applied in a consistent
manner throughout the organization.
ProactiveAn approach that emphasizes prevention,
through hazards identification and risk control and
mitigation measures, before events that affect safety occur.
Explicit All Safety management activities are documented,
visible and performed independently from other
management activities.
Responsibilities of SMS
A Systematic approach to managing safety, including the
necessary organizational structures, policies and
procedures.
Providers (operators, organizationsIn our case AAI) are
responsible for establishing an SMS.
States (In our case DGCA) are responsible for the acceptance
and oversight of providers SMS.
It is also required by ICAO that the States shall establish a
safety programme, in order to achieve an acceptable level of
safety in:
The Operation of aircraft Notes
__________________
The maintenance of aircraft
__________________
The Provision of air traffic services __________________
__________________
Aerodrome operations
__________________
The acceptable level of safety to be achieved shall be __________________
established by the States concerned. __________________
__________________
ICAO SMS Framework
__________________
Safety Policies & objectives __________________
1.1 Management commitment and responsibility
1.2 Safety accountabilities of managers
1.3 Appointment of key safety personnel
1.4 SMS implementation plan
1.5 Documentation
Safety Hazard identification and risk management 2.1
Hazard identification processes
2.2 Risk assessment and mitigation processes
2.3 Internal safety investigations
Safety Assurance
3.1 Safety performance monitoring and measurement
3.2 Audits and surveys
3.3 The management of change
3.4 Continuous improvement of the safety system.
Safety Promotion
4.1 Training and Education
4.2 Safety Communication
Notes 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:
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 safetyrelated enhancements are
__________________ implemented whenever necessary.
__________________ 3. ensure that the achievement of satisfactory safety in
__________________ ATM shall be accorded the highest priority over
__________________ commercial, environmental and social pressures.
__________________ 4. ensure that Airports Authority of India's safety policy,
__________________ organizational responsibilities and positional
__________________ responsibilities are understood by its employees
__________________ whenever their activities may have impact on safety.
__________________ 5. ensure that there is a system in place to assess the safety
__________________ implications and safety hazards in ATM operations and
to determine the action necessary to minimize those
hazards, and to monitor the implementation of that
action on a periodic basis.
6. control and manage safety hazards in any change to
existing systems, equipment or procedures to ensure any
unacceptable hazards are eliminated by the time the
change is completed.
7. ensure that processes are in place which deliver
personnel who are adequately trained, motivated and
competent to perform the tasks required of them, in
addition to being properly rated if so required and to
monitor their continuing competence on a periodic basis.
8. ensure that processes are in place to facilitate the safe
and effective management of the operations of air traffic
services, aeronautical telecommunications services and
aeronautical radio navigation facilities on a continuing
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. __________________
comply with ICAO standards for ATS messages recording and __________________
__________________
access to recordings on a continuing basis.
__________________
ensure that processes are in place which assure the
__________________
provision of facilities for safe navigation on an ongoing
__________________
basis.
__________________
References __________________
__________________
DGCA CAR Section 4 Aerodrome & Air Traffic Services,
__________________
Series 'X' Part IV, 171007, "Runway Safety
Programme and formation of Runway Safety Teams".
Aeronautical Information Circular 6 of 2006.
ICAO Runway Safety Toolkit and DOC. 9870.
FAA, 2000 PublicationThe National Blueprint for the
Runway Safety.
ICAO Document DOC 9859AN/460 (Safety Management
Manual).
Federal Aviation Administration (FAA) Advisory Circulars
on SMS
Commercial Aviation Safety by Alexander T. Wells, Ed.D. &
Clarence C. Rodrigues, Ph.D., P.E.
Various Circulars and notifications on "Safety Management
System" issued by DGCA.
DGCA, Civil Aviation Requirements, Section 8 (Aircraft
Operations), Series 'A' Part II, Issue I, Dated 16th
October, 1995, Subject:Safety Regulation And
Oversight Of Flight Operations.
AAI Air Traffic Services Manual.
Civil Aviation Authority, UK Publication CAP 730Safety
Management Systems for Air Traffic Management.
Civil Aviation Authority, UK Publication CAP 642Airside
Safety Management Systems.
Notes Federal Aviation Administration (FAA) Acquisition System

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

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

Aircraft servicing, catering, cleaning, cargo loading,
refuelling etc.
Aircraft engines sucking a loose stone lying on the runway.
UNIT 11 Air Transport Safety Management Principle 209
Unit 11 Notes
__________________
__________________
Air Transport Safety __________________
Management Principle __________________

__________________
__________________
11.1 GENERAL __________________
Aviation is remarkable for the giant technological leaps it __________________
has made over the last century. This progress would not __________________
have been possible without parallel achievements in the __________________
control and reduction of aviation's safety hazards. Given the
many ways that aviation can result in injury or harm, those
involved with aviation have been preoccupied with
preventing accidents since the earliest days of flying.
Through the disciplined application of best safety
management practices, the frequency and severity of
aviation occurrences have declined significantly.
11.2 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:
zero accidents (or serious incidents), a view widely held by
the travelling public;
the freedom from danger or risks, i.e. those factors which
cause or are likely to cause harm;
the attitude towards unsafe acts and conditions by
employees (reflecting a "safe" corporate culture);
the degree to which the inherent risks in aviation are
"acceptable";
the process of hazard identification and risk management;
and
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 humanmade system can be guaranteed to be absolutely
__________________ safe, i.e. free from risk.
__________________ Safety is a relative notion whereby inherent risks are
__________________
acceptable in a "safe" system.
__________________
11.2.3 Safety can be defined as below:
__________________
__________________ Safety is the state in which the risk of harm to persons or of
property damage is reduced to, and maintained at or below,
an acceptable level through a continuing process of hazard
identification and risk management.
11.3 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.
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
identify safety hazards;
ensure that remedial actions necessary to mitigate the
risks/hazards are implemented; and
Notes provide for continuous monitoring and regular assessment of
__________________ the safety level achieved.
__________________
11.4.6 An organization's SMS accepted by the State shall also
__________________
clearly define lines of safety accountability, including a direct
__________________
accountability for safety on the part of senior management.
__________________
__________________ 4.7 ICAO provides specialized guidance material, including
__________________ the manual for Safety Management System (ICAO DOC
__________________ 9859), for the fulfilment of the SARPs. This manual includes
__________________ a conceptual framework for managing safety and
__________________ establishing an SMS as well as some of the systemic
processes and activities used to meet the objectives of a
State's safety programme.
Acceptable level of safety

11.4.8 In any system, it is necessary to set and measure
performance outcomes in order to determine whether the
system is operating in accordance with expectations, and to
identify where action may be required to enhance
performance levels to meet these expectations.
11.4.9 The introduction of the concept of acceptable level of
safety responds to the need to complement the prevailing
approach to the management of safety based upon regulatory
compliance, with a performancebased approach. Acceptable
level of safety expresses the safety goals (or expectations) of
an oversight authority, an operator or a service provider. It is
a reference against which the oversight authority can
measure safety performance. In determining an acceptable
level of safety, it is necessary to consider such factors as the
level of risk that applies, the cost/benefits of improvements to
the system, and public expectations on the safety of the
aviation industry.
11.4.10 In practice, the concept of acceptable level of safety is
expressed by two measures/metrics (safety performance
indicators and safety performance targets) and implemented
through various safety requirements.
Safety performance indicators are a measure of the safety
performance of an aviation organization or a sector of
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:
0.5 fatal accidents per 100 000 hours for airline operators
(safety indicator) with a 40 per cent reduction in five
years (safety target);
50 aircraft incidents per 100 000 hours flown (safety
indicator) with a 25 per cent reduction in three years
(safety target);
200 major aircraft defect incidents per 100 000 hours flown
(safety indicator) with a 25 per cent reduction over the
last threeyear average (safety target);
1.0 bird strike per 1 000 aircraft movements (safety
indicator) with a 50 per cent reduction in five years
(safety target);
no more than one runway incursion per 40 000 aircraft
movements (safety indicator) with a 40 per cent
reduction in a 12month period (safety target); and
40 airspace incidents per 100 000 hours flown (safety
indicator) with a 30 per cent reduction over the five
year moving average (safety target).
11.4.15 The safety requirements to achieve these safety Notes
targets and safety indicators include: __________________
__________________
the oversight authority accident prevention programme;
__________________
a mandatory occurrence reporting system; __________________
__________________
a voluntary occurrence reporting system;
__________________
a bird strike programme; and __________________
the deployment of radar systems in the State's three busiest __________________
__________________
airports within the next 12 months.
__________________
11.4.16 Airline operator SMS.
An oversight authority and an airline operator agree on an

acceptable level of safety to be achieved by the operator SMS,
one measure of which but not the only one is 0.5 fatal
accidents per 100 000 departures (safety indicator); a 40 per
cent reduction in five years (safety target) and among others
the development of GPS approaches for airfields without ILS
approaches (safety requirement).
11.4.17 Service provider and aerodrome operator SMS.
An oversight authority, an ATS provider and an aerodrome
operator agree on an acceptable level of safety to be achieved
by the provider and operator SMS, one element of which
but not the only one is no more than one runway incursion
per 40 000 aircraft movements (safety indicator); a 40 per
cent reduction in a 12month period (safety target) and
among others the establishment of low visibility taxi
procedures (safety requirement).
11.6 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
106 (i.e. one fatal accident per one million flights), further
safety improvements were becoming increasingly difficult to
achieve using this approach.
Modern perspective
Figure Safety management process
Strategies to reduce or eliminate the hazards are then

developed and implemented with clearly established
accountabilities. The situation is reassessed on a continuing
basis, and additional measures are implemented as required.
11.5.6 The steps of the safety management process outlined Notes
in Figure above are briefly described below: __________________
__________________
Collect the data.
__________________
Analyse the data.
__________________
Prioritize the unsafe conditions. __________________
__________________
Develop strategies. It may include;
__________________
0 Spread the risk across as large a base of risk __________________
takers as practicable. (This is the basis of __________________
insurance.) __________________
1 Eliminate the risk entirely (possibly by ceasing
that operation or practice).
2 Ac ce pt the risk and continue operations
unchanged.
3 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.
Approve strategies.
Assign responsibilities and implement strategies.
Reevaluate situation.
Collect additional data.
11.5.7 Safety management requires analytical skills that
may not be routinely practiced by management. The more
complex the analysis, the more important is the need for the
application of the most appropriate analytical tools. The
closed loop process of safety management also requires
feedback to ensure that management can test the validity of
its decisions and assess the effectiveness of their
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.
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 costbenefit study.
11.5.15 Showing that the risk in a system is ALARP means
that any further risk reduction is either impracticable or
grossly outweighed by the costs. It should, however, be borne
in mind that when an individual or society "accepts" a risk,
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
An accident is an occurrence during the operation of an
aircraft which entails:
0 a fatality or serious injury;
1 substantial damage to the aircraft involving
structural failure or requiring major repair; or
2 the aircraft is missing or is completely inaccessible.
An incident is an occurrence, other than an accident,

associated with the operation of an aircraft which
affects or could affect the safety of operation. A serious
incident is an incident involving circumstances
indicating that an accident nearly occurred.
Notes 1: 600 Rule
__________________
11.6.2 Research into industrial safety in 1969 indicated that
__________________
for every 600 reported occurrences with no injury or damage,
__________________
there were some:
__________________
__________________ 30 incidents involving property damage;
__________________ 10 accidents involving serious injuries; and
__________________
__________________
1 major or fatal injury.
__________________ 11.6.3 The 11030600 ratio shown in Figure below is
__________________ indicative of a wasted opportunity if investigative efforts are
focused only on those rare occurrences where there is serious
injury or significant damage.
Figure1: 600 Rule
The factors contributing to such accidents may be present in
hundreds of incidents and could be identified before serious
injury or damage ensues. Effective safety management
requires that staff and management identify and analyse
hazards before they result in accidents.
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: __________________
hazard and incident reporting; __________________
__________________
Flight Data Analysis (FDA); __________________
Line Operations Safety Audit (LOSA); and __________________
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 "frontline personnel" (whether
__________________ they be pilots, ATCOs or AMEs) often develop ways of coping
__________________ with the hazard sometimes described as "work arounds".
__________________ However, if the hazards are not identified and addressed,
__________________ sooner or later the coping mechanisms fail and an accident
__________________ or incident ensues.
__________________ 11.8.4 A properly managed inhouse reporting system can
__________________ help companies identify many of these hazards. By
__________________ collecting, aggregating and then analysing hazard and
__________________ incident reports, safety managers can better understand
problems encountered during operations. Armed with this
knowledge, they can initiate systemic solutions, rather than
shortterm fixes that may only hide the real problems.
Encouraging the free flow of safety information

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

__________________
11.8.9 An increasing number of commercially available
__________________
incident reporting systems that run on personal computers
__________________
(PCs) and are available at relatively low cost, have proven to
__________________
be well suited for company reporting systems. These offthe
__________________
shelf software packages collect and store data, generate
reports, and can be used for trend analysis and safety __________________
performance monitoring. __________________
__________________
11.8.10 Three examples of such systems are listed below:
__________________
British Airways Safety Information System (BASIS) __________________
website at http://www.winbasis.com.
INDICATE (Identifying Needed Defences in the Civil
Aviation Transport Environment), developed in
Australia, website at http://www.atsb.gov.au.
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 daytoday
operations. Line Operations Safety Audits (LOSA) are one
method for monitoring normal flight operations for safety
purposes. LOSA programmes then provide another proactive
safety management tool.
ICAO endorses LOSA as a way to monitor normal flight
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:
__________________
inflight turbulence;
smoke or fire in the cabin;
decompression;
emergency landings;
emergency evacuations; and
unruly passengers.
11.11.3 The work environment and working conditions for

cabin crew are influenced by a diverse set of human
performance issues that may affect how cabin crew respond
to threats, errors and other undesirable situations.
11.4 The cabin crew are usually the only company
representatives that passengers see while in the aircraft.
From the passengers' perspective, the cabin crew are there to
provide inflight service. From a regulatory and operational
perspective, cabin crew are on board to manage adverse
situations that may develop in the aircraft cabin and to
provide direction and assistance to passengers during an
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;
role during emergency evacuations; Notes
__________________
use of emergency equipment;
__________________
flight and dutytime limits; and __________________
__________________
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:
aircraft inspections (e.g. emergency exits, emergency
equipment, and galleys);
preflight (ramp) inspections;
inflight cabin inspections (e.g. passenger briefings and

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

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

__________________ with motto of the Strict adherence to the laid down operating
__________________ procedures and limitations and compliance with the rules
__________________ and regulations.
__________________
The main objective of the programme was to ensure:
__________________
__________________
effective implementation of the safety related Standards and
__________________
Recommended Practices contained in the ICAO
__________________
Annexes, particularly Annexes 1 and 6 and the relevant
__________________
rules, regulations, procedures and requirements laid
__________________
down in the various national regulatory documents;
that safety weaknesses in the flight operations are identified
and necessary corrective measures are taken in time
before they become a potential safety hazard; and
that the capability of the operator to conduct the operations
safely be maintained at or above the level required by
the regulations.
11.12.1 The Civil Aviation Requirement (CAR) identified the
important operational aspects which needed close monitoring
and described broadly the system of safety oversight
required to be exercised on the air transport operations by
the operators and the DGCA officers.
Compliance of the requirements of the CAR was made
applicable to all Indian operators engaged in scheduled air
transport services for carriage of passengers, mail or cargo
and to NonScheduled/Air Taxi Operators. For new operators
seeking permission to commence operations, it was to be a
prerequisite for the grant of the operating permit.
The main points of the CAR are given below;
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, checklists and other
operations documents shall be kept uptodate by the
operations offices. The operator shall remain on the mailing list
of the suppliers of these documents for the purpose of
Notes receiving regular amendments, wherever such a service is

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

proper formats, preferably a computer based system, shall be
established and followed.
11.13.11 All the flight crew members shall undergo periodic
refresher and flight safety courses as stipulated. During the
crew training and refresher courses, all the new operations Notes
and safety circulars and bulletins, major accident/incident __________________
case studies shall be discussed. __________________
__________________
11.13.12 The operators shall specify procedures for ensuring
__________________
flight crew proficiency for:
__________________
Commencement of operations after long leave/ grounding i.e. __________________
more than 30 days; __________________
Corrective training and checks after failure in a proficiency __________________
__________________
check.
__________________
11.13.13 The operators shall establish specific operating
procedures/precautions for:
Operations to critical airports of their operating network i.e.
airports surrounded by hilly/difficult terrain, satellite
airfields etc;
Operations to airfields having marginal runway length;
Operations during monsoon period; and
Operations during winter to airfields which become fog
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 preflight medical checks of their crew members
as per the requirements. The equipment used for the
purpose must be reliable to give accurate digital record of
observations. It shall be calibrated frequently, at least once
in a year or as per the manufacturer's requirements.
Notes 11.13.18 The operators shall have, trained/qualified and

__________________ DGCA approved load and trim sheet personnel at each
__________________ airport for the type of aircraft operated. The operator shall
__________________ ensure that in no case the aircraft is loaded beyond the
__________________ maximum permissible limits determined from runway length
__________________ (takeoff/ landing) requirement, climb and enroute obstacle
__________________ clearance or any other limitation. It would be desirable that
__________________ the operators should have appropriate charts for each airport
__________________
giving the RTOLW (Rejected Take off and Landing Weight)
__________________
at different ambient temperatures and wind conditions.
__________________ 11.13.19 Only trained, qualified and DGCA approved cabin
crew shall be employed and they shall undergo periodical
refresher and flight safety courses.
11.13.20 The operators shall train adequate number of experienced
pilots and obtain approval from DGCA for them to act as Check
Pilots, Instructors and Examiners on the type of aircraft operated
to carry out the training and proficiency checks of pilots and also
for monitoring the flight operations. In case an operator does not
have its own experienced pilots suitable for training as Check
Pilot/Instructor/Examiner, the operator may use pilots of the other
operators or foreign pilots approved by the DGCA to discharge
these functions on the type of aircraft.
11.13.21 The operators engaged in carriage of cargo only and
those authorized to carry dangerous goods, shall train
adequate number of personnel in handling dangerous goods
and shall ensure that all stipulated requirements with
regard to packaging, handling, loading/unloading and
transportation of such goods are complied with.
11.13.22 The operators engaged in overwater operations
with twin engined aircraft shall ensure compliance of the
requirements relating to ETOP operations (Extended Range
Twin Engine Operations).
11.13.23 The operators shall carry out regular in flight
monitoring of their flight operations to ensure compliance
with the operating procedures through the senior
commanders and the internal safety audit team. Records of
the deficiencies observed and the corrective actions taken
shall be maintained.
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 wetleased aircraft.
11.13.29 If a foreign pilot is employed by an Operator, the
operator shall ensure that the pilot has at least 500 hours
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 Notes

that they should meticulously record the snags in the __________________
aircraft as and when observed. __________________
__________________
11.13.37 While accepting an aircraft, the pilots shall ensure
__________________
that snags carried forward, if any, are not beyond the scope
__________________
of MEL and the aircraft is loaded within the permissible
__________________
limits of weight and seats. The engineering and commercial
__________________
personnel shall also ensure compliance of these aspects
__________________
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 feedback 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: __________________
__________________
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.
__________________
Report of the inhouse safety audit team of the operator on __________________
the safety audit carried out within 60 days prior to __________________
expiry of the Operating Permit and the action taken __________________
thereon. __________________
11.13.50 The Operating Permit of any operator, shall be
liable to revocation if the operator subsequently fails or is
unable to meet the applicable laid down requirements
during the course of its operations under the Permit.
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 inhouse
monitoring programme commensurate with the type and
scale of their operations. Broadly, the safety oversight of
flight operations shall be conducted on the following lines:
11.14.1 The operators shall lay down their policies and
procedures for compliance of the operational, safety and
training requirements in their operations manual, flight safety
manual and training manual. The responsibility of
implementation of the policies and procedures contained in
these manuals may be assigned to their officials as indicated
below:a) Operations Manual Chief of Flight Operations b)
Flight Safety Manual Chief of Flight Safety c) Training
Manual Chief of Training The division of responsibility for this
purpose shall be clearly reflected in the relevant manuals.
14.2 The daytoday safety regulation and inhouse

monitoring of the flight operations should be exercised by
Notes the Chief of Operations through the senior Pilots, Check

__________________ Pilots, Instructors, Examiners and operations officers.
__________________ Necessary check lists should be devised for carrying out such
__________________ monitoring. There shall be a proper system of documentation
__________________ and recordkeeping of the deficiencies observed and the
__________________ corrective measures taken.
__________________ 11.14.3 In addition to the daytoday monitoring, periodic in
__________________ house safety audits shall be carried out by the dedicated
__________________ safety audit teams of the operators to ensure that the safety
__________________ regulations are being complied with. Corrective action shall
__________________ be taken immediately by the Chief of Flight Safety on the
deficiencies observed during the audit. Relevant records and
data in proper formats shall be maintained in this regard.
11.14.4 In order to discharge the responsibility for safety
oversight in accordance with the provisions of ICAO
Annex.6, surveillance of flight operations including training
shall be carried out by the DGCA officers viz. Flight
Inspectors, safety audit teams and other authorised officers.
The Operations Manual for Flight Inspectors stipulates the
method of surveillance of airline flight operations. The flight
inspectors shall frequently fly with the airline pilots to carry
out the surveillance in accordance with their Operations
Manual. Deficiencies observed shall be intimated to the
operators for corrective action. Deputy Director Flight Crew
Standards in DGCA Headquarters shall ensure that
necessary actions are taken on the observations made by the
Flight Inspectors.
11.14.5 The DGCA safety audit teams or other authorized
persons shall carry out safety audits of the operators
periodically. The deficiencies observed during these audits
shall be brought to the notice of the concerned operator for
taking necessary corrective measures. The Director of Air
Safety in the DGCA Headquarters shall take appropriate
measures to ensure that necessary actions are taken by the
operators to remove the deficiencies and to implement the
safety recommendations. Where punitive action is required
to be taken for serious lapses, the Director of Air Safety shall
initiate the same promptly.
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 9859AN/460Safety Management Manual (SMM)
CAA, UK CAP 712, Safety Management Systems for
Commercial Air Transport OperationsA Guide to
Implementation prepared by the Air Transport
Operations Safety Management Group
DGCA Civil Aviation Requirements, Section 8 Aircraft
Operations, Series 'A' Part Ii, Issue I, Dated 16th
October, 1995 Covering Subject:Safety Regulation And
Oversight Of Flight Operations.
Federal Aviation Administration (FAA) Website:
www.faa.gov/avr/afs/atos on Air Transport Oversight
System.
ICAO Document DOC 9859AN/460 (Safety Management
Manual).
Various DGCA Circulars and notifications on "Safety
Management System".
Notes Questions
__________________
__________________ What is the difference between the Safety Performance
__________________ Indictors and Safety Targets? Give examples.
__________________
What is meant by Safety Management System (SMS)? What
__________________
are its advantages and describe various steps involved
__________________
in implementation of SMS?
__________________
__________________ In establishing States' requirements for the management of
__________________ safety, how ICAO differentiates between safety
programmes and safety management systems (SMS).
How Aircraft Accidents and incidents are related to each
other state in the context of 1:600 Rule.

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

auditing the implementation of safety related standards of
an organization.
Proactive
UNIT 12 Principles of System Safety 239
Unit 12 Notes
__________________
__________________
Principles of System Safety __________________
__________________
__________________
__________________
12.1 Definition of System Safety __________________
System safety is a specialty within system engineering that __________________
supports program risk management. It is the application of __________________
engineering and management principles, criteria and __________________
techniques to optimize safety. The goal of System Safety is to
optimize safety by the identification of safety related risks,
eliminating or controlling them by design and/or procedures,
based on acceptable system safety precedence. System
Safety Management as a critical functional discipline to be
applied during all phases of the life cycle of an acquisition.
SSM contains a five step approach:
Plan: The safety risk management process shall be
predetermined, documented in a plan that must include
the criteria for acceptable risk.
Hazard identification: The hazard analyses and
assessments required in the plan shall identify the
safety risks associated with the system or operations
under evaluation.
Analysis: The risks shall be characterized in terms of
severity of consequence and likelihood of occurrence in
accordance with the plan.
Comparative Safety Assessment: The Comparative Safety
Assessment of the hazards examined shall be compared
to the acceptability criteria specified in the plan and the
results provided in a manner and method easily
adapted for decision making.
Decision: The risk management decision shall include the
safety Comparative Safety Assessment. Comparative
Safety Assessments may be used to compare and
contrast options.
Notes The system safety principles involved in each of these steps
__________________ are discussed in the following paragraphs.
__________________
__________________ 12.2 Planning
__________________ System safety must be planned. It is an integrated and
__________________ comprehensive engineering effort that requires a trained
__________________ staff experienced in the application of safety engineering
__________________ principles. The effort is interrelated, sequential and
__________________ continuing throughout all program phases. The plan must
__________________ influence facilities, equipment, procedures and personnel.
__________________ Planning should include transportation, logistics support,
storage, packing, and handling, and should address
Commercial OfftheShelf (COTS) and Nondevelopmental
Items (NDI). A System Safety Management Plan is needed
in the Preinvestment Decision phases to address the
management objectives, responsibilities, program
requirements, and schedule (who?, what?, when?, where?,
and why?). After the Investment Decision is made and a
program is approved for implementation, a System Safety
Program Plan is needed.
Managing Authority (MA) Role

The term Managing Authority (MA) is used to identify the
responsible entity for managing the system safety effort. In
all cases, the MA has responsibility for the program, project
or activity. Managerial and technical procedures to be used
must be approved by the MA. The MA resolves conflicts
between safety requirements and other design requirements,
and resolves conflicts between associate contractors when
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 121: Cost vs. Safety Effort (Seeking Balance)
Programs cannot afford accidents that will prevent the

achievement of the primary mission goals. However, neither
can we afford systems that cannot perform due to
unreasonable and unnecessary safety requirements. Safety
must be placed in its proper perspective. A correct safety
balance cannot be achieved unless acceptable and
unacceptable conditions are established early enough in the
program to allow for the selection of the optimum design
solution and/or operational alternatives. Defining acceptable
and unacceptable risk is as important for costeffective
accident prevention as is defining cost and performance
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 subcategories related to environment such
as system states, environmental conditions or “initiating”
and “contributing” hazards.
Realistically, a certain degree of safety risk must be
accepted. Determining the acceptable level of risk is
generally the responsibility of management. Any
Notes management decisions, including those related to safety

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

In conducting hazard analysis, an accident scenario as
shown in Figure 122 is a useful model for analyzing risk of
harm due to hazards. Throughout this System Safety notes,
the term hazard will be used to describe scenarios that may
cause harm. It is defined as a “Condition, event, or
circumstance that could lead to or contribute to an
unplanned or undesired event.” Seldom does a single hazard
cause an accident. More often, an accident occurs as the
result of a sequence of causes termed initiating and
contributory hazards. As shown in Figure 122, contributory
hazards involve consideration of the system state (e.g.,
operating environment) as well as failures or malfunctions.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
Figure 122: Hazard Scenario Model
12.3.2 Definitions for Use

Acquisition Process The FAA System Engineering Council
(SEC) has approved specific definitions for Severity and
Likelihood to be used during all phases of the acquisition life
cycle. These are shown in Table 122 and Table 123.
Table 122: Severity Definitions for FAA AMS (Acquisition
Management System) Process
Catastrophic Results in multiple fatalities and/or loss of the system
Hazardous Reduces the capability of the system or the operator ability

to cope with adverse conditions to the extent that there
would be:
Large reduction in safety margin or functional capability
Crew physical distress/excessive workload such that

operators cannot be relied upon to perform required tasks
accurately or completely
(1) Serious or fatal injury to small number of occupants of

aircraft (except operators)
(2) Fatal injury to ground personnel and/or general public
Major Reduces the capability of the system or the operators to

cope with adverse operating condition to the extent that
there would be –
Significant reduction in safety margin or functional capability
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 123:
Likelihood of Occurrence Definitions
Probable Qualitative: Anticipated to occur one or more times

during the entire system/operational life of an item.
Qua ntit ativ e: Probability of occurrence per

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

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.
Quantitative: Probability of occurrence per
operational hour is less than 1 x 10 -9
Definitions of Severity and Likelihood Notes

__________________
An example taken from MILSTD882C of the definitions
__________________
used to define Severity of Consequence and Event Likelihood
__________________
are in Tables 124 and 125, respectively.
__________________
Table 124: Severity of Consequence __________________
Description Category Definition __________________

__________________
Catastrophic I Death, and/or system loss, and/or severe
environmental damage. __________________
Critical II Severe injury, severe occupational illness, __________________

major system and/or environmental __________________
damage.
Marginal III Minor injury, minor occupational illness,

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

illness, or less then minor system or
environmental damage.
Table 125: Event Likelihood (Probability)
Description Level Specific Event
Frequent A Likely to occur frequently

Probable B Will occur several times in the life of
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 126.
FAA Federal Aviation Administration, USA
JARs Joint Aviation Regulations with European countries
FAR Federal Aviation Administration Regulations.
2
Notes Aircraft Performance Comparative Safety Assessment
__________________ Model (APRAM), Rannoch Corporation, February 28, 2000
__________________
Table 126 Most Severe Consequence Used for Classification
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
12.4 Comparative Safety Assessment

Selection of some alternate design elements, e.g., operational
parameters and/or architecture components or configuration
in lieu of others implies recognition on the part of
management that one set of alternatives will result in either
more or less risk of an accident. The risk management
concept emphasizes the identification of the change in risk
with a change in alternative solutions. Safety Comparative
Safety Assessment is made more complicated considering
that a lesser safety risk may not be the optimum choice from
a mission assurance standpoint. Recognition of this is the
keystone of safety risk management. These factors make
system safety a decision making tool. It must be recognized,
however, that selection of the greater safety risk alternative
carries with it the responsibility of assuring inclusion of
adequate warnings, personnel protective systems, and
procedural controls. Safety Comparative Safety Assessment
is also a planning tool. It requires planning for the
development of safety operating procedures and test
programs to resolve uncertainty when safety risk cannot be
completely controlled by design. It provides a control system
to track and measure progress towards the resolution of
uncertainty and to measure the reduction of safety risk.
Assessment of risk is made by combining the severity of
consequence with the likelihood of occurrence in a matrix.
Risk acceptance criteria to be used in the FAA AMS Notes

(Acquisition Management System) process are shown in __________________
Figure 123 and Figure 124. __________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
Figure 123: Risk Acceptability Matrix
Figure 124: Risk Acceptance Criteria
An example based on MILSTD882C is shown in Figure 12
The matrix may be referred to as a Hazard Risk Index
(HRI), a Risk Rating Factor (RRF), or other terminology, but
in all cases, it is the criteria used by management to
determine acceptability of risk.
The Comparative Safety Assessment Matrix of Figure 125
illustrates an acceptance criteria methodology.
Region R1 on the matrix is an area of high risk and may be
considered unacceptable by the managing authority. Region
R2 may be acceptable with management review of controls
and/or mitigations, and R3 may be acceptable with
management review. R4 is a low risk region that is usually
acceptable without review.
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________ Figure 125: Example of a Comparative
__________________ Safety Assessment Matrix
__________________
12 11 Early in a development phase, performance objectives
__________________
may tend to overshadow efforts to reduce safety risk. This is
because sometimes safety represents a constraint on a
design. For this reason, safety risk reduction is often ignored
or overlooked. In other cases, safety risk may be appraised,
but not fully enough to serve as a significant input to the
decision making process. As a result, the sudden
identification of a significant safety risk, or the occurrence of
an actual incident, late in the program can provide an
overpowering impact on schedule, cost, and sometimes
performance. To avoid this situation, methods to reduce
safety risk must be applied commensurate with the task
being performed in each program phase.
In the early development phase (investment analysis and
the early part of solution implementation), the system safety
activities are usually directed toward:
establishing risk acceptability parameters;
practical tradeoffs between engineering design and defined
safety risk parameters;
avoidance of alternative approaches with high safety risk
potential;
defining system test requirements to demonstrate safety
characteristics; and,
safety planning for followon phases. The culmination of this
effort is the safety Comparative Safety Assessment that
is a summary of the work done toward minimization of
unresolved safety concerns and a
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 MILSTD882, 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.
Decisionmakers need to be fully aware of the risk they are
taking when they make their decisions. They have to manage
program safety risk. For effective safety risk management,
program managers should: Ensure that competent,
responsible, and qualified engineers be assigned in program
offices and contractor organizations to manage the system
safety program.
Ensure that system safety managers are placed within the
organizational structure so that they have the authority and
organizational flexibility to perform effectively.
Ensure that all known hazards and their associated risks
are defined, documented, and tracked as a program policy so
that the decisionmakers are made aware of the risks being
assumed when the system becomes operational.
Require that an assessment of safety risk be presented as a Notes
part of program reviews and at decision milestones. Make __________________
decisions on risk acceptability for the program and accept __________________
responsibility for that decision. __________________
__________________
12.6 Safety Order of Precedence __________________
One of the fundamental principles of system safety is the __________________
Safety Order of Precedence in eliminating, controlling or __________________
mitigating a hazard. The Safety Order of Precedence is __________________
shown in Table 127. __________________
__________________
Table 127: Safety Order of Precedence
Description Priority Definition
Design for minimum risk 1 Design to eliminate risks. If the

identified risk cannot be eliminated,
reduce it to an acceptable level
through design selection.
Incorporate safety devices 2 If identified risks cannot be eliminated

through design selection, reduce the
risk via the use of fixed, automatic, or
other safety design features or
devices. Provisions shall be made for
periodic functional checks of safety
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 afterthefact hazard detection,
which does not identify organizational errors, that are often
times, the contributors to accidents.
Modern safety management, i.e.—“system safety
management”— adopts techniques of system theory,
statistical analysis, behavioural sciences and the continuous
improvement concept. Two elements critical to this modern
approach are a good organizational safety culture and people
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.
Realtime safety analysis is conducted when operational
personnel are involved in the identification of hazards and
risks, which is the key to behaviouralbased safety. The
concept consists of a “trainthe trainer” format.
The behaviouralbased safety process allows an organization
to create and maintain a positive safety culture that
continually reinforces safe behaviours over unsafe
support the
UNIT 12 Principles of System Safety assessment.
behaviours. This will ultimately result in a reduction of risk.
For further information concerning behaviouralbased 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
253
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
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 126: The FiveM 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:
FAA System Safety Handbook, Chapter 3: Principles of
System Safety December 30, 2000
Air Force System Safety Handbook Air Force Safety Agency,
Kirtland AFB NM 871175670, Revised July 2000
Dryden Handbook Codes, System Safety Handbook, Notes
NASA __________________
__________________
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. __________________
Describe various elements of 5M Model of System __________________
Engineering.
Give a brief description of the four elements of the SHELL
Model of a system.
What are the Severity Definitions for FAA AMS (Acquisition
Management System) Process?
What is concept of Risk Management System

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

Mission & Media.
Liveware & Environ.
UNIT 13 Reliability Fundamental Theories 259
Unit 13 Notes
__________________
__________________
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 multiengined, 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.
DC8, 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
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 68 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 1220 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 agerelated 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 nonaging
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 latelife mortality Notes

deceleration with subsequent levellingoff, as well as the __________________
latelife 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 “timetoevent” 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 reliabilitytheory approach to the problem of
biological aging and species longevity lead to the following
conclusions:
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 nonaging elements.
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. __________________
__________________
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 latelife mortality deceleration, levelling
__________________
off, and mortality plateaus.
__________________
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 earlylife
programming of aging and longevity may have
important practical implications for developing early
life interventions promoting health and longevity.
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.
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 shortterm
__________________ 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 agingrelated 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 lifeextension. 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 planttransmission
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 lifecritical
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”. Systemlevel failures are caused by lowerlevel 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 failsafe system is one that
cannot cause harm when it fails. A “faulttolerant” 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 failsafe”. 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 __________________
failsafe”. __________________
__________________
The process __________________
Ideally, safetyengineers 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 failsafe system can be made __________________
acceptably safe with a few sensors and some software to read __________________
them. Probabilistic faulttolerant systems can often be made
by using more, but smaller and lessexpensive 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 safetycritical 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 safetycritical 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 safetycertified 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
‘BowTie 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 lefthand 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 BowTie 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, BowTie 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
takeoff. 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 bowtie 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 ‘semiquantitative’ 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 wellknown
phenomenon of ‘groupthink’ can lead groups to make
completely wrong, but agreed, conclusions.
The use of a BowTie 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 crosscontamination between them. Of
course it should be recognized, especially for lowprobability
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 BowTie 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 BowTie 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 welldefined 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;
Welldocumented: 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 BowTie 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
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 155937067X.
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 V3.
NUREG0492. Retrieved on 20060831.
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).
Weibull, W. (1951) “A statistical distribution function of wide
applicability” J. Appl. Mech.Trans. ASME 18(3), 293
297
Safety First – Scenario Analysis under Basel II Patrick Mc
Connell, and Martin Davies April 2006
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. __________________
What is a bowtie diagram? How the application of the Bow
Tie Diagram can be used in Scenario Analysis
Reliability theory is developed apart from the mainstream of
——.
Probability and statistics.
277
APPENDIX 1 Notes
__________________
__________________
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.
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.
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.
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 takeoff 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 takeoff at maximum certificated takeoff 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 takeoff 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 aftmost
CG position appropriate to the maximum gross apron (ramp)
mass is used to calculate the ACN. In exceptional cases the
forwardmost 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 highintensity
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.
Deicing/antiicing facility. A facility where frost, ice or
snow is removed (deicing) from the aeroplane to provide
clean surfaces, and/or where clean surfaces of the aeroplane
receive protection (antiicing) against the formation of frost
or ice and accumulation of snow or slush for a limited period
of time.
Deicing/antiicing pad. An area comprising an inner area
for the parking of an aeroplane to receive deicing/antiicing
treatment and an outer area for the manoeuvring of two or
more mobile deicing/antiicing equipment.
Declared distances.
Takeoff run available (TORA): The length of runway
declared available and suitable for the ground run of an
aeroplane taking off.
Takeoff distance available (TODA): The length of the
takeoff run available plus the length of the clearway, if
provided.
Acceleratestop distance available (ASDA): The length
of the takeoff run available plus the length of the
stopway, if provided.
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: daynight 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 manmade 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:
Nonprecision approach runway: An instrument runway
served by visual aids and a nonvisual aid providing at
least directional guidance adequate for a straightin
approach.
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.
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.
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 nonvisual 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 takeoff 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 “oncourse” indication, __________________
and when received in unequal intensity are displayed as an __________________
“offcourse” indication. __________________
Manoeuvring area. That part of an aerodrome to be used __________________
for the takeoff, 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 takeoff, landing and taxiing of aircraft, consisting of the
manoeuvring area and the apron(s).
Nearparallel runways. Nonintersecting runways whose
extended centre lines have an angle of convergence/
divergence of 15 degrees or less.
Nondirectional beacon (NDB): a radio beacon
transmitting nondirectional signals that a pilot of an
aircraft equipped with direction finding equipment can
determine his/her bearing to or from the radio beacon and
“home” on or track to or from the station.
When the radio beacon is installed in conjunction with the
instrument landing system marker, it is normally called a
compass locator.
Notes Noninstrument 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 lowmass and frangibly mounted one required
for air navigation purposes.
Operation: a takeoff 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. __________________
Roadholding 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 takeoff of aircraft.
The runways are named according to their Magnetic
Bearings with reference to North rounded to nearest 10 0.
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.
Runwayholding 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:
to reduce the risk of damage to aircraft running off a
runway; and
to protect aircraft flying over it during takeoff 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 nearparallel 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.
Fixed message sign: A sign presenting only one message.
Variable message sign: A sign capable of presenting

several predetermined messages or no message, as
applicable.
Signal area. An area on an aerodrome used for the display
of ground signals.
Slush. Watersaturated snow which with a heelandtoe
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)
__________________
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. __________________
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. __________________
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 takeoff run available prepared as a suitable area in
which an aircraft can be stopped in the case of an abandoned
take off.
Takeoff runway. A runway intended for takeoff 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:
Aircraft stand taxilane: A portion of an apron designated
as a taxiway and intended to provide access to aircraft
stands only.
Apron taxiway: A portion of a taxiway system located on an
apron and intended to provide a through taxi route
across the apron.
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.
“TaxiwaysA”, “TaxiwaysB”, “TaxiwaysC1” 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 crosswind component.
Note.— Crosswind 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
APPENDIX 2 Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
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 midair 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 groundbased 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 transponderequipped 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 manoeuvre intended to provide separation from all
__________________
threats; or
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.
FUNCTIONAL REQUIREMENTS of ACAS I and

ACAS II
4.1 ACAS I shall perform the following functions:
surveillance of nearby SSR transponder equipped
aeroplanes; and
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:
surveillance;
generation of TAs;
threat detection;
generation of RAs;
Notes coordination; and
__________________
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 C119 or any
__________________
other equivalent specification acceptable to DGCA.
__________________
__________________ Aeroplanes engaged in Commercial air trans-port
__________________ operation:
__________________ 5.1 All turbineengined aeroplanes having a maximum
certificated takeoff 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 turbineengined 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 jetengined 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. __________________
__________________
Aeroplanes engaged in General aviation op-
__________________
eration:
__________________
6.1 All turbineengined aeroplanes of a maximum
__________________
certificated takeoff 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 turbineengined 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 “turbineengined” includes turbojet,
turboprop and turbofan 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:
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
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
a comprehensive preflight 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:
The pilots shall not manoeuvre the aeroplanes in
response to a TA only. The pilots, however, shall
search for the approaching traffic.
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. __________________
__________________
The alteration of the flight path shall be limited to the
__________________
minimum extent necessary to comply with the RA.
__________________
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.
__________________
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:
__________________
the aeroplane returns to the assigned clearance; or
__________________
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 ACASequipped 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
APPENDIX ‘A’ Notes

__________________
__________________
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
APPENDIX 3 Notes
__________________
__________________
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 __________________

__________________
Short title, extent and application:
__________________
0 These rules may be called the Aircraft (Carriage of
Dangerous Goods) Rules, 2003.
1 They extend to whole of India and apply also –
0 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;
1 to all aircraft for the time being in or over
India; and
2 to persons operating air transport services to,
from, within and over India, shippers of
dangerous goods or their agents
2 They shall come into force on the date of their final
publication in the Official Gazette.
Definitions and interpretation; In these rules, unless there
is anything repugnant in the subject or context
0 “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;
1 “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 “cargo aircraft” means any aircraft, other than a

__________________ passenger aircraft, which is carrying goods or
__________________ property;
__________________ “crew member” means a person assigned by an operator
__________________
to duty on an aircraft during a flight duty period;
__________________
“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;
__________________
“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;
“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;
“DirectorGeneral” means Director General of Civil
Aviation;
“flight crew member” means a licensed crew member
charged with duties essential to the operation of an
aircraft during a flight duty period;
“operator” means a person, organisation or enterprise
engaged in or offering to engage in an aircraft
operation;
“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;
“pilotincommand” 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;
“serious injury” means an injury which is sustained by a
person in an accident and which:
0 requires hospitalization for more than 48
hours, commencing within seven days from the
date the injury was received; or
1 results in a fracture of any bone (except simple
fractures of fingers, toes or nose); or
2 involves lacerations which cause severe
haemorrhage, nerve, muscle or tendon
damage; or
3 involves injury to any internal organ; or
4 involves second or third degree burns, or any
burns affecting more than five per cent of the
body surface; or
5 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
__________________
6 “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;
__________________
7 “Technical Instructions” means the Technical
__________________
Instructions for the Safe Transport of Dangerous
__________________
Goods by Air issued by the International Civil
__________________
Aviation Organisation;
__________________
8 “UN number” means the fourdigit number assigned
by the United Nations Committee of Experts on the
Transport of Dangerous Goods to identify a substance
or a particular group of substances;
9 “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.
Carriage of dangerous goods by air:
0 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
1 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
Notwithstanding anything contained in subrule (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
The provisions of subrules (1) and (2) shall not apply
to
0 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
1 specific articles and substances carried by
passengers or crew members to the extent
Notes 2 Where dangerous goods are carried under subrule
__________________ (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.
__________________ 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.
Packing:
0 Dangerous goods shall be packed in accordance
with the requirements specified in the Technical
Instructions in addition to the provisions of this
rule
1 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
2 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
3 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 reused 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 4 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
__________________
5 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
6 In addition to the languages required by the State
of origin, English shall also be used for the
markings related to dangerous goods.
Shipper’s responsibilities:
0 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
1 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
2 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
Appendix 307
3 In addition to the languages required by the State Notes
of origin, English shall also be used in the __________________
dangerous goods transport document. __________________
__________________
Operator’s Responsibilities:
__________________
0 No operator shall accept dangerous goods for
__________________
transport by air unless, __________________
0 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
1 the package, overpack or freight container
containing the dangerous goods has been
inspected in accordance with the acceptance
procedures specified in the Technical
Instructions
1 The operator shall ensure that an acceptance
checklist as required by the Technical Instructions
has been developed and is being used by his
acceptance staff
2 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
3 The operator shall ensure that no leaking or
damaged packages, overpacks or freight containers
containing dangerous goods shall be loaded on an
aircraft
4 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 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
__________________ 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
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 subrule (4) of
rule 3
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 nonfixed
contamination are not more than the values
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
requirements
specified in the
Appendix 309
0 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 __________________
1 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 subrule (13) are met at all times
2 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.
Provision of Information:
0 The operator of the aircraft in which dangerous
goods are to be carried shall provide information in
writing to the pilotin command as early as
practicable before departure of the aircraft as
required by the Technical Instructions
1 The operator shall provide such information in the
Operations Manual so as to enable the flight crew
member to carry out their responsibilities with
regard to the transport of dangerous goods and
shall also provide instructions as to the action to be
taken in the event of emergencies arising involving
dangerous goods
2 Operators shall ensure that information is
promulgated in such a manner that passengers are
warned as to the types of goods which they are
Notes 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 inflight emergency occurs, the pilotincommand
shall, as soon as the situation permits, inform the
appropriate air traffic services unit, for the
information of aerodrome authorities, of any
dangerous goods on board the aircraft, as provided
in the Technical 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
pilotincommand
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 pilotincommand.
10A.Inspection:
The DirectorGeneral 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 __________________
__________________
0 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.
Dangerous Goods Accidents and Incidents:
0 In the event of a dangerous goods accident or

dangerous goods incident, as the case may be, the
pilotincommand of the aircraft and the operator of
the aircraft or of the aerodrome, as the case may
be, shall submit a report in writing to the Director
General on such accident or incident
1 The report under subrule (1) shall, in addition to
any other relevant information, contain the
following information, namely:
0 the type, nationality and registration marks of
aircraft;
1 the name of the owner, operator and hirer of
the aircraft;
2 the name of the pilotincommand of the
aircraft;
3 the nature and purpose of the flight;
4 the date and time of the dangerous goods
accident or incident;
5 the place where the accident occurred:
6 the last point of departure and the next point
of intended landing of the aircraft;
Notes 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
__________________
incident;
__________________
details of other cargo on board the aircraft;
__________________
__________________ 0 the extent of known damage to the aircraft,
__________________ other property and persons on board the
__________________ aircraft;
__________________ 1 any other information required to be included
by the Director General
1 On receipt of the report under subrule (1), the
DirectorGeneral may, if considered necessary,
order an investigation to determine the causes of
such accident or incident and take preventive
measures to avoid reoccurrence of such accident or
incident.
Establishment of Training Programmes –
0 No person shall engage himself in any manner in
the transport of dangerous goods unless he has
undergone proper training in accordance with the
1 Initial and recurrent dangerous goods training
programmes shall be established and maintained
by or on behalf of –
0 shippers of dangerous goods including packers
and persons or organizations undertaking the
responsibilities of the shipper;
1 operators;
2 ground handling agencies which perform, on
behalf of the operator, the act of accepting,
handling, loading, unloading, transferring or
other processing of cargo;
3 ground handling agencies located at an airport
which perform, on behalf of the operator, the
act of processing passengers;
issue special
Appendix directions, not
inconsistent with
4 agencies, not located at an airport, which
perform, on behalf of the operator, the act of
checking in passengers;
5 freight forwarders; and
6 agencies engaged in the security screening of
passengers and their baggage, and cargo
2 Training shall be provided in the requirements
commensurate with the responsibilities of the
personnel being trained and such training shall
include –
0 general familiarization training aimed at
providing familiarity with the general
provisions;
1 funcationspecific training providing detailed
training in the requirements applicable to the
function for which that person is responsible;
and
2 safety training covering the hazards presented
by dangerous goods, safe handling and
emergency response procedures
3 Training shall be provided or verified upon the
employment of a person in a position involving the
transport of dangerous goods by air and recurrent
training shall take place within twentyfour months
of previous training to ensure knowledge is current
4 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 DirectorGeneral.
Directions by DirectorGeneral: The Director General may,
through Aeronautical Information Circulars (AICs) and
publication entitled Civil Aviation Requirements (CARs),
313
Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
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.
__________________ 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.
Cancellation or suspension of licence, certificate and
approval: Where the DirectorGeneral, after giving an
opportunity of being heard, is satisfied that any person
has contravened or failed to comply with the provisions
of these rules, he may, for reasons to be recorded in
writing, cancel or suspend any licence, certificate or
approval issued under these rules or under the Aircraft
Rules, 1937.
[Principal Rule published vide GSR 206(E) dated
5.3.2003
Amended by – (i) GSR No. 795(E) dated 6.10.2003,
GSR No. 796(E) dated 6.10.2003
GSR 600(E) dated 27.9.2006
GSR 231(E) dated 19.3.2007]
Appendix 315
APPENDIX 4 Notes
__________________
__________________
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
APPENDIX 5 Notes
__________________
__________________
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
InterMinisterial 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/nonscheduled) 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 officerincharge
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 officerincharge at the
intended destination of the shipment) and/or the Head, DRP,
BARC, Bombay400 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
officerincharge of the local health physics unit/personin
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 AP1, AP2
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 TRC1,
TRC2 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 AP6.
Action Plan : AP6
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,Bombay400 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, Bombay400085 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, Bombay400085.
Appendix 321
APPENDIX 6 Notes
__________________
__________________
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 socalled “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 carryon or checked baggage. You
should note that some items are allowed in your checked
baggage, but not your carryon. 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 allinclusive 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 carryon 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 carryon 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 /2006AS
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 takeoff 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.
Pilots of aircraft.
Appendix 329
Drivers of vehicle /Pedestrians/Personal working at the Notes
airports. __________________
__________________
Aerodrome owner/operator.
__________________
Air Traffic Controllers. Miscommunication between __________________
controller and pilot, improper use of ICAO phraseology, __________________
read back and hear back error, lack of knowledge of the __________________
operational area by airport staff engaged 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
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.
Listen before you transmit.
If able, monitor RT communication to have mental
picture of Airport activity.
Keep communications with the controller clear and
concise.
Ensure you understand all instructions. Never assume.
Read back runway hold short instructions verbatim.
Notes Airport knowledge: Ground operations can be the most
__________________ demanding and complex phase of the flight.
__________________
0 Review airport diagrams before taxing or landing.
__________________
1 Keep the airport diagrams including taxi routings
__________________
__________________ readily available.
__________________ 2 Be alert to airport vehicle and pedestrian activity.
__________________
3 Maintain situational awareness of proximity to
__________________
Runway at all times.
__________________
4 Comply with Holding Point markings/signage
__________________
Cockpit procedures: Pilots can use proven and effective
procedures in the cockpit to help conduct safe operations
on the ground and during takeoff and landing.
0 Avoid unnecessary conversation, during
movements, takeoff, and landing.
1 Constantly scan outside the cockpit, especially
when on runways.
2 If lost notify Air Traffic Control immediately.
3 Make your aircraft visible by proper use of aircraft
lights.
4 If unfamiliar with the airport do not hesitate to
request progressive taxi instructions.
5 Insure proper radio telephony operation and check
audio panel, volume control and squelch settings.
Stay alert especially when visibility is low: Extra
vigilance is required when visibility decreases and the
ability for pilots and controllers to maintain desired
level of situational awareness becomes significantly
more difficult.
Report confusing or deteriorating surface markings
and signs:
Report confusing or deteriorating surface markings and
signs and inaccurate airport diagrams to the tower or airport
manager.
Appendix 331
Guidelines applicable to Airport owners/ Operators and Notes

Airside vehicle Drivers __________________
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. __________________
It is important to emphasize that effective and consistent __________________

training in the use of aerodrome ground aids is crucial __________________
in reducing the runway incursion problem. It is __________________
therefore important that all personnel having access to __________________
aerodrome operational areas and aerodrome ground __________________
aids undergo training in correct interpretation of __________________
information provided by signs markings and lightings.
The training programme should be well coordinated and
should make ample use of SARPS and guidance
material as outlined in Annex 14 and associated
technical manuals. A runway includes a runway strip, it
is not just the pavement surface, but includes
grass/gravel areas. Edge of the strip is marked, which
needs to be always followed.
One of the primary causes of runway incursion is the lack of
familiarization with the aerodrome lay out, it is important
for the ground vehicle drivers to have on sight training
experience in getting to know the aerodrome signs,
markings and lighting. Maintain situational awareness of
proximity to Runway at all times
All operations by vehicles on the runways or taxiways
require individual authorization from control tower,
even for pass holders in each individual case.
Pilots of aircraft and vehicles operating on or near the
runway are expected to keep watch for light or other
signals that might be issued from control tower
according to local procedures. Radio equipped aircraft
and vehicles should maintain continuous listening
watch on Tower or Ground Control frequencies.
Faded signs and incorrectly placed signs often lead to
runway incursion. Frequent and random inspection
shall be carried out to prevent the above
Notes Deficiency in the aerodrome marking and visual aids often
__________________ lead to runway incursion.
__________________
All runway markings are white. This is to differentiate them
__________________
from taxiway markings.
__________________
__________________ Equip all airside vehicle with ICAO compliant markings and
__________________ lighting.
__________________ Provide airside escort vehicle to, vehicles/ aircraft unfamiliar
__________________
with aerodrome layout/ procedure.
__________________
Runway side strip markings shall always be provided for
__________________
precision approach runway.
All taxiway markings are yellow to differentiate them from
runway markings.
Runway holding position marking shall be in yellow colour.
Aerodrome signs are divided in to mandatory instruction
signs and information signs.
Mandatory instruction signs are made in red background with
white inscriptions. Aircraft and vehicles are not allowed to
proceed beyond these points unless specifically authorized
by control tower. These include runway designation sign,
runway holding position sign, no entry sign and road
holding position sign.
Information signs are made of combination of yellow and

black colours. Information sign includes location signs,
destination signs and direction signs. Location sign is in
black background with yellow inscription and when it is
standalone will have yellow border. All other
information signs will have black inscription on yellow
background.
A location sign shall be provided in conjunction with a
direction sign except it may be omitted when
aeronautical studies indicate that it is not needed.
Aerodrome lights include the stop bar lights or runway
guard lights. All traffic shall stop and hold at all lit stop
Appendix 333
bars and only proceed when specifically authorized by Notes
aerodrome control tower. __________________
__________________
III. Guidelines for Air Traffic Controllers __________________
Apply existing ICAO standards and recommended practices __________________
and procedures. __________________
__________________
Vehicles and aircraft shall not be permitted to hold closer to
__________________
the runway than the applicable runway holding
__________________
positions.
__________________
Do not use conditional phrases such as: “behind landing __________________
aircraft” or “after departing aircraft” for movements
affecting active runways unless appropriate pilot or the
controller both see the aircraft concerned.
Controller shall listen to the read back of clearances and
instructions to enter, land on, takeoff, hold short of,
cross and backtrack on any runway whether active or
not to ascertain that the clearance or instruction has
been correctly acknowledged by the flight crew and
shall take immediate action to correct any discrepancy
revealed by the read back.
ROGER and WILCO do not constitute a readback.
Correct readbacks are mandatory.
Controller shall listen to the read back instructions

carefully to avoid Read back and Hear back error
i.e. controller confirming instructions as right although
it is wrong.
Be alert for similar call signs, change call signs temporarily
if required.
Avoid expectation bias i.e. hearing what is expected instead
of what is really said.
In poor visibility conditions visual surveillance may be
augmented by Radar if available.
If Surface Movement radar is either not provided or
unserviceable during low visibility operations, all
aircraft and vehicles must report having vacated active
Notes runway. Also by having the aircraft report airborne, the
__________________ controller can be assured that the aircraft is no longer
__________________ on the active runway.
__________________
When a taxi clearance contains a taxi limit beyond a runway,
__________________
it shall contain an explicit clearance to either “cross” or
__________________
“hold short” of that runway.
__________________
__________________ To reduce the potential for misunderstanding, the takeoff
__________________ clearance shall include the designator of the departure
__________________ runway.
__________________ If the control tower is unable to determine, either visually or
by Radar that a vacating or crossing aircraft has cleared
the runway, the aircraft shall be requested to report
when it has vacated the runway. The report shall be
made when the entire aircraft is beyond the
relevant runway holding position.
One of the reasons for misunderstanding due to differences
in FAA and ICAO phraseology has now been done away
with. The phrase “TAXI TO HOLDING POINT
RUNWAY 27” shall be used instead of TAXI TO
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
APPENDIX-8 Notes
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
__________________
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:
effective implementation of the safety related Standards
and Recommended Practices contained in the ICAO
Annexes, particularly Annexes 1 and 6 and the
relevant rules, regulations, procedures and
requirements laid down in the various national
regulatory documents;
that safety weaknesses in the flight operations are and
necessary corrective measures are taken in time
before they become a potential safety hazard; and
that the capability of the operator to conduct the

operations safely be maintained at or above the
level required by the regulations.
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 NonScheduled/
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 prerequisite for the grant
of the operating permit to furnish information confirming
that they have established the necessary systems and have
adequate qualified manpower and infrastructure to
implement the safety regulations and for inhouse
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
todate 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:
the flight and duty time limitations are complied with;
their licences, instrument ratings etc. are maintained
valid;
Validity of their medical checks.
all proficiency checks are carried out as per the

procedures and within the stipulated periods; and
periodic refreshers are undergone as required.
For this purpose, a foolproof system of record keeping
in proper formats, preferably a computer based system,
shall be established and followed.
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 :
__________________
Commencement of operations after long leave/ __________________
grounding i.e. more than 30 days; __________________
Corrective training and checks after failure in a __________________
proficiency check.
3.13 The operators shall establish specific operating
procedures/ precautions for:
Operations to critical airports of their operating
network i.e. airports surrounded by hilly/difficult
terrain, satellite airfields etc;
Operations to airfields having marginal runway length;
Operations during monsoon period; and
0 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 preflight 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 overwater 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 wetleased 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 feedback 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:
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.
Report of the inhouse safety audit team of the operator
on the safety audit carried out within 60 days prior
to expiry of the Operating Permit and the action
taken thereon.
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 inhouse
monitoring programme commensurate with the type and
scale of their operations. Broadly, the safety oversight of
flight operations shall be conducted on the following lines:
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:
__________________ Operations Manual Chief of Flight Operations
__________________
__________________
Flight Safety Manual Chief of Flight Safety
__________________ Training Manual Chief of Training
__________________
The division of responsibility for this purpose shall be
__________________
clearly reflected in the relevant manuals.
4.2 The daytoday safety regulation and inhouse 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 daytoday monitoring, periodic in

house safety audits shall be carried out by the dedicated
safety audit teams of the operators to ensure that the
safety regulations are being complied with. Corrective
action shall be taken immediately by the Chief of Flight
Safety on the deficiencies observed during the audit.
Relevant records and data in proper formats shall be
maintained in this regard.
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.
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

Safety & Security MGMT

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AVIATION SAFETY AND

MBA (Airline Operations Unit-5)

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

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

Each digit of runway name is pronounced separately for

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

One of the following types of runways intended for the

5888 Precision approach runway, category I: An instrument Notes

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

24 The Runway is the entire paved surface, which

obstacles just before the runway, runway strength, or Notes

25 Two parallel dashed yellow lines followed by two

An airport terminal is a building at an airport where

Notes and public telephone lines via quick­dial systems to

Precision Approach Path Indicator (PAPI)

Aeronautical Ground Lighting (AGL) Notes

Runway thresholds are marked by green lights at the

Runway Edge Lighting

Where a landing threshold is displaced, but the pre­

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

Types of Approach Lights

Notes 3. Alignment bars perpendicular to the lead­in lights that

Radio Communication/Navigation Facilities & __________________

Radio is used frequently in aviation for air ground

Name Frequency Application

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

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

VORs are assigned radio channels between 108.0 MHz Notes

The VOR system uses the phase relationship between a __________________

reference­phase and a rotating­phase signal to encode __________________

Distance measuring equipment __________________

Distance Measuring Equipment (DME): It is an

Notes guidance to an aircraft approaching a runway, using a

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

the Horizontal Situation Indicator, or HSI (The Instrument __________________

Notes practicable, the outer marker may be located between 6.5

Vacate manoeuvring area in accordance with local

required to ensure that all the traffic movements on the Notes

Notes ESSENTIAL INFORMATION ON AERODROME

Traffic on the manoeuvring area

Taxing aircraft should be held at the runway holding

CONTROL OF OTHER THAN AIRCRAFT TRAFFIC. Notes

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

Communication Requirements and Visual Signals

Light signal from aerodrome control

Entry into traffic circuit

Priority for landing

CONTROL OF DEPARTING AIRCRAFT.

Separation of departing aircraft.

CONTROL OF ARRIVING AIRCRAFT.

Notes Clearance to land.

PROCEDURES FOR LOW VISIBILITY OPERATIONS.

In conditions where low visibility procedures are in

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

an aerodrome may be suspended by the ATC, if __________________

Notes Runway lighting.

23 Civil Aviation Requirements, Section­4, Aerodrome Notes

27 ICAO Annex 10 ­Volume I­Aeronautical

Objective Type Questions.

Answers to Objective Type of questions

Notes pilot to apply fire extinguishers and can take other

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

Ground proximity warning system (GPWS) is a system

Notes and public telephone lines via quickdial systems to

Where a landing threshold is displaced, but the pre

Notes 3. Alignment bars perpendicular to the leadin lights that

referencephase and a rotatingphase signal to encode __________________

23 Civil Aviation Requirements, Section4, Aerodrome Notes

27 ICAO Annex 10 Volume IAeronautical

ACASI provides traffic information (Known as Traffic