ATM 4 Safety Standards and Regulations

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

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.

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

What was, even then, seen as the overriding

requirement in aviation?
SAFETY!
How could this be achieved?

>>>>>>>>>>>>
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)

>>>>>>>>>>>>
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
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).
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;
ICAO
International Civil Aviation Organisation [ICAO]

Standards and Recommended Practices (SARPs)
Civil Aviation Authorities European Regulation /

National Regulation / Legislation
Legislation JAA / EASA
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.
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
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!

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)

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.)
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]
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
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)
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)

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)
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)
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

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
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)

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
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

National Regulation

Civil Aviation Authorities European Regulation

National Regulation / Legislation JAA / EASA
Legislation
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
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

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
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

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

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
European Regulation

Civil Aviation Authorities European Regulation

National Regulation JAA / EASA
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?
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
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

ATM 4 Safety Standards and Regulations

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Air Transport Management

Session 4: Safety standards and Regulations

Dr. Rohafiz binti Sabar

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

Guideline documentation that reflects agreements on products,

practices, or operations by nationally or internationally recognized

industrial, professional, trade associations or governmental bodies.

 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

What was, even then, seen as the overriding

How could this be achieved?

By the introduction of regulations and standards that would be

ICAO (International Civil Aviation Organisation)

Creating standards (not regulations as

Convention on International Civil Aviation (also known as Chicago

International Civil Aviation Organisation [ICAO]

Civil Aviation Authorities European Regulation /

Using the SARPs, it is possible to:

 Ensure the safe and orderly growth of worldwide international civil

 Encourage the development of air and ground infrastructure together

 Encourage the development of aircraft design and operation for

 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

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

and published by the national Flight Information Service

 Now for some examples!

Annex 1: Personnel Licensing

 Licenses and ratings (authorisation) of flight crews

(pilots, engineers), air traffic controllers, flight

operations and aircraft maintenance personnel;

 Approved training, competence and experience

 Language proficiency (pilots, controllers)

 Medical standards (examinations, age limits)

Annex 2: Rules of the Air

Annex 6: Operation of aircraft

 Flight operations (crew responsibilities)

 Certification and inspection of aircraft

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)

 Specifications for the design and equipment of

Annex 14: Aerodromes (and Heliports)

 Problems with non-compliance within Europe (and

 Does the Annex reflect modern aircraft operations /

Annex 16: Environmental Protection

Volume I ~ Aircraft Noise includes:

 Noise measurement for monitoring purposes

 Assessment of aircraft noise

 Application of noise abatement procedures