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©The McGraw-Hill Companies, Inc., 2004
1
AVIATION SAFETY & SECURITY AVIATION SAFETY & SECURITY MANAGEMENTMANAGEMENT
Last session’s recapLast session’s recap Definition – human factors in aviation & medicineDefinition – human factors in aviation & medicine Reasons behind introductionReasons behind introduction Poor decision makingPoor decision making Human performanceHuman performance Human errorHuman error Management of human errorManagement of human error Engineering control strategiesEngineering control strategies Administrative control strategiesAdministrative control strategies Regulatory practicesRegulatory practices
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of last session’s recapCont. of last session’s recap
Appropriate labour practicesAppropriate labour practices
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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LEGAL ASPECTS OF AVIATION SAFETYLEGAL ASPECTS OF AVIATION SAFETY
IntroductionIntroduction KCAA – AC no. CAA AC-GEN001A – Introduction to the KCAA – AC no. CAA AC-GEN001A – Introduction to the
civil aviation regulations (CARs)civil aviation regulations (CARs) CARs have been harmonized in the East African CARs have been harmonized in the East African
countries under the umbrella of CASSOAcountries under the umbrella of CASSOA Re-certifications and or fresh certifications are now Re-certifications and or fresh certifications are now
needed for the various services/categories following needed for the various services/categories following the harmonization exercisethe harmonization exercise
CARs are issued in sets with each set dealing with a CARs are issued in sets with each set dealing with a specific kind of aviation activity or specialtyspecific kind of aviation activity or specialty
Currently there are 12 such activities Currently there are 12 such activities
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of introductionCont. of introduction
The 12 activities include:The 12 activities include:
1)1) Aerial workAerial work
2)2) a/c registration & markinga/c registration & marking
3)3) Airworthiness Airworthiness
4)4) Approved maintenance organization (AMO)Approved maintenance organization (AMO)
5)5) Air operator certification & administration (AOC)Air operator certification & administration (AOC)
6)6) Aviation training organization (ATO)Aviation training organization (ATO)
7)7) Commercial air transport operations by foreign air Commercial air transport operations by foreign air operator in and out of EACoperator in and out of EAC
8)8) Instruments and equipmentInstruments and equipment
9)9) Operation of a/cOperation of a/c
10)10)Personnel licensingPersonnel licensing
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of introductionCont. of introduction
11)11) Parachute operationsParachute operations
12)12) Rules of air & air traffic controlRules of air & air traffic control
Each regulation is completeEach regulation is complete Some regulations have schedules to expound on Some regulations have schedules to expound on
certain areascertain areas Hierarchical conventional numbering format is Hierarchical conventional numbering format is
followedfollowed Regulations are cross referenced to each other Regulations are cross referenced to each other
where especially they relate to one anotherwhere especially they relate to one another Generally technical terms are defined in the Generally technical terms are defined in the
beginning of the regulationsbeginning of the regulations
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of introductionCont. of introduction
Ordinary dictionary words & legal terms are not Ordinary dictionary words & legal terms are not normally definednormally defined
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of IntroductionCont. of Introduction
Interpretation of certain terms:Interpretation of certain terms:
a)a) Shall – mandatory requirementShall – mandatory requirement
b)b) May – discretionMay – discretion
c)c) Includes – means includes but not limited toIncludes – means includes but not limited to
d)d) Approved – authority has issued a formal written Approved – authority has issued a formal written approvalapproval
e)e) Acceptable – authority has reviewed but has Acceptable – authority has reviewed but has neither objected nor approvedneither objected nor approved
f)f) Prescribed – authority has written a policy or Prescribed – authority has written a policy or methodology which is either mandatory or methodology which is either mandatory or discretionarydiscretionary
Offences and penalties are stipulated Offences and penalties are stipulated
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of IntroductionCont. of Introduction
Guidance material – convey general and technical Guidance material – convey general and technical information information
Clarifies or amplifies certain regulations at timesClarifies or amplifies certain regulations at times
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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International air lawInternational air law States are encouraged to ratify international air law States are encouraged to ratify international air law
instrumentsinstruments Assists in registration of appropriate various Assists in registration of appropriate various
agreements dealing with commercial aviation for agreements dealing with commercial aviation for instance:instance:
a)a) Compensation for damage caused by a/c to Compensation for damage caused by a/c to third parties arising from acts of unlawful third parties arising from acts of unlawful interference or from general risksinterference or from general risks
b)b) Acts or offences of concern to the international Acts or offences of concern to the international aviation community and not covered by existing aviation community and not covered by existing air law instrumentsair law instruments
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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ICAOICAO
Specialized UN agency – global forum for civil Specialized UN agency – global forum for civil aviationaviation
Vision – safe, secure and sustainable development Vision – safe, secure and sustainable development of civil aviation through the corporation of member of civil aviation through the corporation of member statesstates
Created on 7 December 1944 – convention on Created on 7 December 1944 – convention on international civil aviation – signed in Chicagointernational civil aviation – signed in Chicago
Became effective on 4 April 1947Became effective on 4 April 1947 Incorporates 96 articles – assists in formulating Incorporates 96 articles – assists in formulating
ISARPSISARPS The convention has 18 annexesThe convention has 18 annexes Secretariat is headed by the SGSecretariat is headed by the SG
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of ICAOCont. of ICAO
ICAO has 5 main divisions, namely the: ICAO has 5 main divisions, namely the:
1)1) Air navigation bureauAir navigation bureau
2)2) Air transport bureauAir transport bureau
3)3) Technical cooperation bureauTechnical cooperation bureau
4)4) Legal bureau and Legal bureau and
5)5) Bureau of administration and servicesBureau of administration and services ICAO works with other specialized agencies of UNICAO works with other specialized agencies of UN
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of ICAOCont. of ICAO
The 18 annexes of ICAO convention are:The 18 annexes of ICAO convention are:
1)1) Personnel licensingPersonnel licensing
2)2) Rules of the airRules of the air
3)3) Meteorological services for international air Meteorological services for international air navigationnavigation
4)4) Aeronautical chartsAeronautical charts
5)5) Units of measure to be used in air and ground Units of measure to be used in air and ground operationsoperations
6)6) Operation of aircraftOperation of aircraft
7)7) Aircraft nationality and registration marksAircraft nationality and registration marks
8)8) Airworthiness of aircraftAirworthiness of aircraft
9)9) FacilitationFacilitation
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of ICAOCont. of ICAO
10)10) Aeronautical communicationsAeronautical communications
11)11) Air traffic servicesAir traffic services
12)12) Search and rescueSearch and rescue
13)13) Aircraft accident and incident investigationsAircraft accident and incident investigations
14)14) AerodromesAerodromes
15)15) Aeronautical information servicesAeronautical information services
16)16) Environmental protectionEnvironmental protection
17)17) Security – safeguarding international civil Security – safeguarding international civil against acts of unlawful interferenceagainst acts of unlawful interference
18)18) The safe transportation of dangerous goods by The safe transportation of dangerous goods by airair
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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CASSOACASSOA Civil aviation safety & security oversight agency is Civil aviation safety & security oversight agency is
a self-auditing institution of the East African regiona self-auditing institution of the East African region Protocol signed on 18 April 2007 by Kenya, Protocol signed on 18 April 2007 by Kenya,
Tanzania & UgandaTanzania & Uganda Established by the heads of states on 18 June 2008 Established by the heads of states on 18 June 2008
in Kampala, Ugandain Kampala, Uganda Its duty is to ensure the development of safe & Its duty is to ensure the development of safe &
secure civil aviation system in the regionsecure civil aviation system in the region Current members are:Current members are:
1)1) Kenya Civil Aviation AuthorityKenya Civil Aviation Authority
2)2) Uganda Civil Aviation AuthorityUganda Civil Aviation Authority
3)3) Tanzania Civil Aviation AuthorityTanzania Civil Aviation Authority
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of CASSOACont. of CASSOA
4)4) Rwanda Civil Aviation AuthorityRwanda Civil Aviation Authority
5)5) Burundi Civil Aviation AuthorityBurundi Civil Aviation Authority
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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SECURITY CHALLENGES IN AVIATIONSECURITY CHALLENGES IN AVIATION Aviation security - Abbreviated as AVSECAviation security - Abbreviated as AVSEC Can be defined as:Can be defined as:
a)a) Measures, procedures or rulesMeasures, procedures or rules
b)b) Human or personnel Human or personnel
c)c) Materials, equipment or resourcesMaterials, equipment or resources
All made to safeguard civil aviation against All made to safeguard civil aviation against unlawful interferencesunlawful interferences
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of Security Challenges in AviationCont. of Security Challenges in Aviation
In the early days of flying AVSEC was not an issueIn the early days of flying AVSEC was not an issue 11stst recorded flight – 17 December 1903 by the Wright recorded flight – 17 December 1903 by the Wright
brothers at Kitty Hawk, North Carolinabrothers at Kitty Hawk, North Carolina 11stst commercial airline was created in 1912 by commercial airline was created in 1912 by
Ferdinand Graf von ZeppelinFerdinand Graf von Zeppelin 11stst known recorded a/c hijack was on 24 November known recorded a/c hijack was on 24 November
1971 by Don Cooper, flight 305, North West Orient 1971 by Don Cooper, flight 305, North West Orient from Portland, Oregon, USAfrom Portland, Oregon, USA
AVSEC began to be taken seriouslyAVSEC began to be taken seriously FAA’s Aviation Security Research and Development FAA’s Aviation Security Research and Development
was created in 1974 to advance civil aviation was created in 1974 to advance civil aviation security issuessecurity issues
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of Security Challenges in AviationCont. of Security Challenges in Aviation
AVSEC is briefly classified into:AVSEC is briefly classified into:
a)a) Legal framework (program)Legal framework (program) Focuses on international conventions, Focuses on international conventions,
agreements & protocolsagreements & protocols Domestication of the aboveDomestication of the above Forms the legal basis of the international civil Forms the legal basis of the international civil
aviation security aviation security
b)b) Technical programTechnical program Team of security technocrats – they develop & Team of security technocrats – they develop &
review security docs review security docs Provide guidance and recommendations on how Provide guidance and recommendations on how
to comply with the ISARPS of annex 17to comply with the ISARPS of annex 17
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of Security Challenges in AviationCont. of Security Challenges in Aviation
AVSEC IN GENERALAVSEC IN GENERAL At ICAO falls under Air Transportation BureauAt ICAO falls under Air Transportation Bureau Develops ISARPS - International Standards And Develops ISARPS - International Standards And
Recommended PracticesRecommended Practices Assists member states to complyAssists member states to comply
ICAO ANNEX 17ICAO ANNEX 17 Deals with aviation security – designated by article Deals with aviation security – designated by article
3737 88thth edition booklet – dated July 2006 edition booklet – dated July 2006 Lists the ISARPS Lists the ISARPS Issued on 22 March 1974Issued on 22 March 1974 Guide – Must comply with standardsGuide – Must comply with standards - Try to comply with recommended - Try to comply with recommended
practicespractices
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of Security Challenges in AviationCont. of Security Challenges in Aviation
ICAO VISION ON SECURITYICAO VISION ON SECURITY Safe, secure and sustainable civil aviation Safe, secure and sustainable civil aviation
developmentdevelopment Several strategic objectives for 2005 – 2010Several strategic objectives for 2005 – 2010
No. 2 is on security which is to enhance No. 2 is on security which is to enhance global/civil aviation securityglobal/civil aviation security
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Cont. of Security Challenges in AviationCont. of Security Challenges in Aviation
Cost of securityCost of security It is enormous, not just in money resources in It is enormous, not just in money resources in
generalgeneral Cost primarily ought to be borne by the state, Cost primarily ought to be borne by the state,
however, all players are forced to chip in by however, all players are forced to chip in by circumstancescircumstances
State must protect the a/c and all in both on State must protect the a/c and all in both on ground & in the airground & in the air
For example in 2002 extra AVSEC costs were over For example in 2002 extra AVSEC costs were over 5 billion US dollars5 billion US dollars
Events of Sep 11, 2001 made civil aviation Events of Sep 11, 2001 made civil aviation become a stigmabecome a stigma
The realization that civil a/c could become The realization that civil a/c could become instruments of terrorinstruments of terror
Francis Lasalo NgongaFrancis Lasalo Ngonga
©The McGraw-Hill Companies, Inc., 2004
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Francis Lasalo NgongaFrancis Lasalo Ngonga
Thank you very Thank you very
much for your much for your
attention and attention and
cooperationcooperation
Clarifications, questions and feedbackClarifications, questions and feedback