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Air Transport Management

Session 4: Safety standards and Regulations

Dr. Rohafiz binti Sabar


Transport and Logistics Department
College of Business
Room 257 , Main Building of COB
D/l: 04-9283664
email: rohafiz@uum.edu.my
July 2009 Transport and Logistics Department 1
International and National Standards and Regulation
Definition of Regulation

A regulation is a legal restriction promulgated by government administrative

agencies through rulemaking supported by a threat of sanction or a fine. This

administrative law or regulatory law is in contrast to statutory or case law.

Common examples of regulation include attempts to control market entries,

prices, wages, pollution effects, employment for certain people in certain

industries, standards of production for certain goods and services. The

economics of imposing or removing regulations relating to markets is analysed

in regulatory economics >>> Technical Regulation


International and National Standards and Regulation
Definition of a Standard

Guideline documentation that reflects agreements on products,

practices, or operations by nationally or internationally recognized

industrial, professional, trade associations or governmental bodies.


International and National Standards and Regulation
Early 20th Century History ~ the Dawn of Air Transport

What were the initial drivers for technical regulation of the air transport?

 Early ‘national / international’ commercial flights in daylight: ‘see and

be seen’; pilots responsible for aircraft separation

 Low visibility / night operations not possible until the development of

ground navigation aids in the 1930’s


International and National Standards and Regulation
Early 20th Century History ~ the Dawn of Air Transport

What was, even then, seen as the overriding


requirement in aviation?

SAFETY!

How could this be achieved?


>>>>>>>>>>>>
International and National Standards and Regulation
Early 20th Century History ~ the Dawn of Air Transport

By the introduction of regulations and standards that would be


applicable to the air transport industry on an international basis

WHOSE RESPONSIBILITY?

ICAO (International Civil Aviation Organisation)


>>>>>>>>>>>>
International and National Standards and Regulation
ICAO

Creating standards (not regulations as


there is no international law) is
the responsibility of the International
Civil Aviation Organisation (ICAO), an
Agency of the United Nations,
headquarters Montreal Canada
plus seven regional offices and
190 Contracting States
International and National Standards and Regulation
ICAO

Convention on International Civil Aviation (also known as Chicago


Convention), was signed on 7 December 1944 by 52 States. Pending
ratification of the Convention by at least 26 States, the Provisional
International Civil Aviation Organization (PICAO) was established. It
functioned from 6 June 1945 until 4 April 1947. By 5 March 1947 the 26th
ratification was received. ICAO came into being on 4 April 1947. In
October of the same year, ICAO became a specialized agency of the
United Nations linked to Economic and Social Council (ECOSOC).
International and National Standards and Regulation
ICAO
 The Convention on International Civil Aviation set forth the purpose of
ICAO:
 "WHEREAS the future development of international civil aviation can
greatly help to create and preserve friendship and understanding among
the nations and peoples of the world, yet its abuse can become a threat to
the general security; and
 WHEREAS it is desirable to avoid friction and to promote that co-
operation between nations and peoples upon which the peace of the world
depends;
 THEREFORE, the undersigned governments having agreed on certain
principles and arrangements in order that international civil aviation may
be developed in a safe and orderly manner and that international air
transport services may be established on the basis of equality of
opportunity and operated soundly and economically;
International and National Standards and Regulation
ICAO

International Civil Aviation Organisation [ICAO]


Standards and Recommended Practices (SARPs)

Civil Aviation Authorities European Regulation /


National Regulation / Legislation
Legislation JAA / EASA
International and National Standards and Regulation
ICAO

Using the SARPs, it is possible to:

 Ensure the safe and orderly growth of worldwide international civil


aviation;

 Encourage the development of air and ground infrastructure together


with the safety of flight in air navigation; and

 Encourage the development of aircraft design and operation for


peaceful purposes.
International and National Standards and Regulation
ICAO

 There are a total of 18 Technical Annexes and these were developed

and adopted during the first few years of ICAO’s existence.

 The Annexes are regularly amended, often as the result of specialist

ICAO conferences acting on the recommendations of a panel of

experts
International and National Standards and Regulation
ICAO

 National differences from ICAO standards have to be noted in the Annexes

and published by the national Flight Information Service

 Official ICAO languages are Arabic, English, Chinese, French, Russian and

Spanish

 Now for some examples!


International and National Standards and Regulation
ICAO Annexes

Annex 1: Personnel Licensing

 Licenses and ratings (authorisation) of flight crews

(pilots, engineers), air traffic controllers, flight

operations and aircraft maintenance personnel;

required to practise

 Approved training, competence and experience

 Language proficiency (pilots, controllers)

 Medical standards (examinations, age limits)


International and National Standards and Regulation
ICAO Annexes

Annex 2: Rules of the Air


 Rules relating to the conduct of flights (world-wide)
 Territorial application (national boundaries of airspace)
 Authority of the pilot (similar to the modern maritime industry)
 Use of liquor, narcotics and drugs (not allowed)
 Collision avoidance (responsibility of pilot / controller)
 Flight plans (to be submitted in advance)
 Air traffic control services (provision of)
 Unlawful interference and interception (by military aircraft etc.)
International and National Standards and Regulation
ICAO Annexes

Annex 6: Operation of aircraft

 Flight operations (crew responsibilities)


 Aircraft performance (> Annex 8)
 Instruments, equipment and flight documents (min. requirements)
 Communication and navigation equipment (> Annex 11)
 Maintenance (programme, records)
 Flight crew, cabin crew, flight operators (duty times, rest)
 Security (> Annex 17) [searches, training]
International and National Standards and Regulation
ICAO Annexes
Annex 8: Airworthiness of Aircraft

 Certification and inspection of aircraft


according to uniform procedures
 This includes airworthiness, flight, structures,
design and construction, engines, power-
plant, operating limitations (ETOPs),
maintenance (regulated aircraft performance)
 Same for helicopters
International and National Standards and Regulation
ICAO Annexes
Annex 11: Air Traffic Services
 Establishment and operation of air traffic
control and alerting services (search and
rescue)
 Air Traffic Control Service (separation,
operation, provision of infrastructure)
 Flight Information Service (weather, flight
levels, routes, volcanic activity, balloons)
 Communications (voice, data-link)
International and National Standards and Regulation
ICAO Annexes

Annex 13: Accident Aircraft Investigation

 Uniformity in the notification, investigation of, and reporting on

aircraft accidents (AAIB)

 No-blame / causal factor(s) most important aspect of investigation

 Accident prevention measures (safety regulation)

 Legal, jurisdiction problems (magistrates, military)


International and National Standards and Regulation
ICAO Annexes
Annex 14: Aerodromes (and Heliports)

 Specifications for the design and equipment of


aerodromes (physical dimensions linked to aircraft
type)
 Aerodrome data including physical characteristics
 Obstacle restriction and removal
 Visual aids for navigation, obstacles, restricted areas
 Equipment and installations (emergency power,
control tower); emergency and other services (rescue
and fire fighting)
International and National Standards and Regulation
ICAO Annexes

Annex 14: Aerodromes (and Heliports)

 Problems with non-compliance within Europe (and

RoW)
 Being updated / amended

 Does the Annex reflect modern aircraft operations /

technology?
 Future amendments may be driven by EASA (see

later)
International and National Standards and Regulation
ICAO Annexes

Annex 16: Environmental Protection

Volume I ~ Aircraft Noise includes:


 Aircraft noise certification (> Annex 8)

 Noise measurement for monitoring purposes

 Assessment of aircraft noise

 Application of noise abatement procedures


International and National Standards and Regulation
ICAO Annexes

Annex 16: Environmental Protection

Volume II ~ Aircraft Engine Emissions


includes:
 Prevention of vented fuel
 Subsonic / supersonic turbo-jet and turbofan
engines (> Annex 8)
 Smoke emission evaluation
 Measurement of gaseous emissions
International and National Standards and Regulation
ICAO Annexes

Annex 17: Security

 National and international organisation

 National Aviation Security Plans (Aviation and Maritime Security

Act)
 Preventive security measures

 Management of response by aviation authorities and others to acts

of unlawful interference (> Annexes 2, 6)


International and National Standards and Regulation
ICAO Annexes

 Annex 3 Meteorology
 Annex 4 Aeronautical Charts
 Annex 5 Units of Measurement for Air / Ground Communications
 Annex 7 Aircraft Nationality and Registration Marks
 Annex 9 Facilitation
 Annex 10 Aeronautical Telecommunications
 Annex 12 Search and Rescue
 Annex 15 Aeronautical Information Services
 Annex 18 The Safe Transport of Dangerous Goods
 Annex 19? Safety Management
International and National Standards and Regulation
Other ICAO Documents

Annex 14 Aerodrome / Heliports Design and Operations is

supplemented by:

(a) Aerodrome Design Manual

(b) Airport Planning Manual

(c) Airport Services Manual (several parts)

(d) Bird Strike Information System


International and National Standards and Regulation
National Regulation

International Civil Aviation Organisation [ICAO]


Standards and Recommended Practices (SARPs)

Civil Aviation Authorities European Regulation


National Regulation / Legislation JAA / EASA
Legislation
International and National Standards and Regulation
National Regulation

 Internationally, the industry is based on ICAO standards and


recommendations for the operation of aircraft, airports, air traffic
services, and licensing
 On a national level, the Civil Aviation Authority (or equivalent) is
responsible for civil aviation (note linkage to military operations)
 Formal (legal) legislation, generally following ICAO guidelines or
recommendations, is developed by the national civil aviation authorities
/ government
 The role of some example of national civil aviation authorities and an
example of formal legislation will now be discussed
International and National Standards and Regulation
National Regulation

Federal Aviation Agency http://www.faa.gov


 Safety regulation

 Airspace and air traffic management

 Air navigation facilities

 Civil aviation abroad

 Commercial space transportation

 Research, engineering and development

 Aircraft registration, insurance and publications


International and National Standards and Regulation
National Regulation

Civil Aviation Authority of Singapore http://www.caas.gov.sg/


 Airport management
 Air cargo
 Air traffic services
 Air transport (bi-laterals, flight approvals, dangerous goods)
 Airport emergency services
 Airworthiness, flight operations
 Commercial, corporate affairs, marketing, engineering, planning
 Aviation academy
International and National Standards and Regulation
National Regulation: Air Navigation Order

 Aircraft registration  Documents and records

 Air operators certificate  Rules of the air and other

 Aircraft airworthiness occupants of airspace

 Licensing of aircraft crew  Air traffic services

 Aircraft operations  Aerodromes

 Crew fatigue / flight times


International and National Standards and Regulation
National Regulation: Air Navigation Order (Aerodromes)

 Aerodromes – public transport of passengers and instruction in flying

 Use of Government and CAA aerodromes

 Licensing of aerodromes (CAP 168)

[http://www.caa.co.uk/docs/33/CAP168.PDF]

 Reporting of incidents / occurrences


International and National Standards and Regulation
National Regulation: Air Navigation Order (Aerodromes > CAP 168)

 Licensing process and licence  Aerodrome ground lighting


types  Aerodrome signs and
 Aerodrome manual and markings
contents  Rescue and fire fighting
 Aerodrome physical service
characteristics  Medical services
 Assessment of obstacles  Aeronautical information
 Bird strike
International and National Standards and Regulation
European Regulation

International Civil Aviation Organisation [ICAO]


Standards and Recommended Practices (SARPs)

Civil Aviation Authorities European Regulation


National Regulation JAA / EASA
International and National Standards and Regulation
European Aviation Safety Agency (Airports Regulation)

 Extension of competence to Aerodromes, ‘replacing’ National Civil

Aviation Authorities

 2010 EASA Aerodrome Regulation in place

 Transition period of 2 - 3 years?

 2013 – 15 fully operational EASA full competence

 Budget / staffing?
International and National Standards and Regulation
European Aviation Safety Agency (Airports Regulation - Certification)

 Type of aerodrome: All aerodromes open to public use

 Type of operations: All operations with a higher certification

burden for those serving scheduled air transport

 Applicants: Operator and / or owner for the aerodrome certificate;

operator for his certification

 Safety management system for airports serving scheduled air

transport
International and National Standards and Regulation
European Aviation Safety Agency (Airports Regulation - Certification)

 Certification elements: Physical characteristics, aerodrome

equipment installation, maintenance and operation of equipment,

management. Manual and SMS for only complex aerodrome

 Two certificates, one for aerodrome and one for operator, issued by

‘competent authority’ (could be CAA or others instead of EASA)


The End