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8973.6

  1. 1. International Civil Aviation Organization Approved by the Secretary General and published under his authority Security Manual for Safeguarding Civil Aviation Against Acts of Unlawful Interference Sixth Edition — 2002 Doc 8973 RESTRICTED
  2. 2. AMENDMENTS The issue of amendments is announced regularly in the ICAO Journal and in the monthly Supplement to the Catalogue of ICAO Publications and Audio-visual Training Aids, which holders of this publication should consult. The space below is provided to keep a record of such amendments. RECORD OF AMENDMENTS AND CORRIGENDA AMENDMENTS CORRIGENDA No. Date applicable Date entered Entered by No. Date of issue Date entered Entered by (ii)
  3. 3. Table of Contents Page PART I — GUIDANCE MATERIAL ON ICAO STANDARDS AND RECOMMENDED PRACTICES Introduction ...................................................................................................................................... I-1 Chapter 1. Definitions ................................................................................................................... I-1-1 Chapter 2. General principles ...................................................................................................... I-2-1 2.1 Aims and objectives.......................................................................................................... I-2-1 Primary objective .......................................................................................................... I-2-1 International legal instruments...................................................................................... I-2-1 Protection of aviation security information.................................................................... I-2-2 2.2 Effective civil aviation security .......................................................................................... I-2-2 2.3 Security and facilitation..................................................................................................... I-2-3 Chapter 3. Organization................................................................................................................ I-3-1 3.1 The appropriate authority of security ................................................................................ I-3-1 Designation................................................................................................................... I-3-1 Allocation of responsibilities ......................................................................................... I-3-1 National civil aviation security legislation and regulations............................................ I-3-1 3.2 Civil aviation security policy and regulatory section ......................................................... I-3-2 Principles ...................................................................................................................... I-3-2 Organization and staff .................................................................................................. I-3-4 3.3 The national civil aviation security programme................................................................. I-3-5 National organization and appropriate authority........................................................... I-3-5 Responsibilities............................................................................................................. I-3-5 National civil aviation security programme guidance material ..................................... I-3-6 Programme effectiveness............................................................................................. I-3-8 The security planning cycle .......................................................................................... I-3-9 Financing of the aviation security programme.............................................................. I-3-9 The Civil Aviation Purchasing Service (CAPS) ............................................................ I-3-11 3.4 National aviation security coordination ............................................................................. I-3-12 The national aviation security committee ..................................................................... I-3-12 3.5 International cooperation .................................................................................................. I-3-13 Bilateral and regional agreements................................................................................ I-3-13 Regional cooperation and regionalization .................................................................... I-3-14 Special requests ........................................................................................................... I-3-14 Exchange of information............................................................................................... I-3-14 3.6 Threat assessment and risk management........................................................................ I-3-16 3.7 Research and development of security equipment .......................................................... I-3-17 3.8 Security training programmes........................................................................................... I-3-18 Basic and general programmes ................................................................................... I-3-18 (iii)
  4. 4. (iv) Security Manual Page International cooperation in the field of training ........................................................... I-3-18 The ICAO training programme for aviation security ..................................................... I-3-18 National aviation security training programmes ........................................................... I-3-19 Management personnel................................................................................................ I-3-20 Airport, aircraft operators’ and cargo regulated agents’ security personnel................. I-3-21 Control of access security personnel ........................................................................... I-3-22 Screening personnel..................................................................................................... I-3-22 Police, military, customs and immigration personnel ................................................... I-3-22 Aircraft crew members.................................................................................................. I-3-23 Other airport personnel................................................................................................. I-3-23 3.9 Supporting facilities........................................................................................................... I-3-24 3.10 Airport security programme............................................................................................... I-3-24 3.11 Airport security authority ................................................................................................... I-3-26 3.12 Airport security coordination ............................................................................................. I-3-27 Airport security committee............................................................................................ I-3-27 3.13 Response to airport incidents ........................................................................................... I-3-29 Response to threats ..................................................................................................... I-3-29 Procedures for suspect explosive devices ................................................................... I-3-30 Evacuation procedures................................................................................................. I-3-31 Evacuation of air traffic services................................................................................... I-3-32 3.14 Contingency plans ............................................................................................................ I-3-33 Principles ...................................................................................................................... I-3-33 Contingency plan exercises.......................................................................................... I-3-34 Emergency operations centre....................................................................................... I-3-34 Hostage negotiation...................................................................................................... I-3-35 Designated aircraft parking points................................................................................ I-3-35 Incident access and control.......................................................................................... I-3-36 Communications........................................................................................................... I-3-36 Press and public ........................................................................................................... I-3-36 Media releases ............................................................................................................. I-3-37 Responsibilities............................................................................................................. I-3-37 3.15 Aircraft operator’s security programme............................................................................. I-3-38 Principles ...................................................................................................................... I-3-38 Aircraft operator’s security officer................................................................................. I-3-39 Pilot-in-command and flight crew ................................................................................. I-3-40 Pre-flight precautions.................................................................................................... I-3-42 Crew vigilance .............................................................................................................. I-3-42 Surveillance and internal communications................................................................... I-3-42 Flight deck protection ................................................................................................... I-3-43 Surface-to-air missiles.................................................................................................. I-3-44 In-flight security personnel............................................................................................ I-3-44 Crew response to an act of unlawful interference ........................................................ I-3-44 Bomb threat procedures............................................................................................... I-3-45 Bomb threats on the ground......................................................................................... I-3-45 Bomb threats in flight.................................................................................................... I-3-46 In-flight aircraft search procedures............................................................................... I-3-46 Measures to minimize effects of explosives in flight..................................................... I-3-47 Chapter 4. Preventive security measures................................................................................... I-4-1 4.1 Airport and terminal security ............................................................................................. I-4-1 Passenger terminal security ......................................................................................... I-4-1
  5. 5. Table of Contents (v) Page Surveillance .................................................................................................................. I-4-1 Briefing of public ........................................................................................................... I-4-1 Terminal personnel....................................................................................................... I-4-1 Baggage handling systems .......................................................................................... I-4-2 Terminal parking........................................................................................................... I-4-2 Unattended baggage.................................................................................................... I-4-2 Unclaimed hold baggage.............................................................................................. I-4-2 Public viewing areas..................................................................................................... I-4-3 Security restricted areas............................................................................................... I-4-3 Control of access.......................................................................................................... I-4-3 VIP facilities .................................................................................................................. I-4-4 Extra security measures............................................................................................... I-4-5 Additional security resources........................................................................................ I-4-5 Airport perimeter protection.......................................................................................... I-4-6 Emergency perimeter exit points.................................................................................. I-4-6 Vulnerable points.......................................................................................................... I-4-6 4.2 Screening of passengers and cabin baggage .................................................................. I-4-6 Principles ...................................................................................................................... I-4-6 Authority to deny boarding............................................................................................ I-4-7 Policing authority support ............................................................................................. I-4-7 Screening and searching guidelines ............................................................................ I-4-7 Passenger flow and security screening........................................................................ I-4-9 Prohibited items and dangerous goods........................................................................ I-4-9 Passenger screening.................................................................................................... I-4-10 Advantages and disadvantages of passenger screening arrangements ..................... I-4-11 X-ray effects on film...................................................................................................... I-4-15 Staffing.......................................................................................................................... I-4-15 4.3 Control of screened passengers....................................................................................... I-4-16 Transit and transfer passengers................................................................................... I-4-16 Segregation of screened and unscreened passengers................................................ I-4-17 Movement of screened passengers ............................................................................. I-4-17 4.4 Special category passengers............................................................................................ I-4-18 Passengers with diplomatic status ............................................................................... I-4-18 Potentially disruptive passengers................................................................................. I-4-19 4.5 Hold baggage.................................................................................................................... I-4-21 Principles ...................................................................................................................... I-4-21 Screening of hold baggage........................................................................................... I-4-21 Location of hold baggage screening point.................................................................... I-4-22 Protection of hold baggage........................................................................................... I-4-24 Unaccompanied baggage............................................................................................. I-4-24 Passenger hold baggage reconciliation procedures .................................................... I-4-25 Physical passenger hold baggage reconciliation ......................................................... I-4-26 Passenger questioning at check-in .............................................................................. I-4-26 Off-airport check-in....................................................................................................... I-4-26 Baggage reclaim areas................................................................................................. I-4-26 Unclaimed hold baggage.............................................................................................. I-4-27 4.6 Security measures for air cargo........................................................................................ I-4-27 Principles ...................................................................................................................... I-4-27 Regulated agent concept.............................................................................................. I-4-28 Regulation and inspection ............................................................................................ I-4-28 Mail ............................................................................................................................... I-4-28 4.7 Security of aircraft catering supplies and stores............................................................... I-4-29
  6. 6. (vi) Security Manual Page Introduction................................................................................................................... I-4-29 Security principles ........................................................................................................ I-4-29 Catering security programme ....................................................................................... I-4-29 Security management................................................................................................... I-4-29 Pre-employment background checks........................................................................... I-4-30 Security training............................................................................................................ I-4-30 4.8 Protection of aircraft.......................................................................................................... I-4-30 General principles......................................................................................................... I-4-30 Control of access to aircraft.......................................................................................... I-4-30 Security patrols............................................................................................................. I-4-31 Pre-flight precautions.................................................................................................... I-4-31 Threat notification ......................................................................................................... I-4-32 Flights under increased threat...................................................................................... I-4-32 Aircraft search .............................................................................................................. I-4-33 General aviation ........................................................................................................... I-4-34 4.9 Authorized carriage of weapons ....................................................................................... I-4-34 4.10 Access control................................................................................................................... I-4-36 Security restricted areas............................................................................................... I-4-36 Physical security measures.......................................................................................... I-4-36 Automatic access control systems ............................................................................... I-4-38 Airport security identification permit systems ............................................................... I-4-39 Background checks ...................................................................................................... I-4-40 Administration of permits.............................................................................................. I-4-40 Temporary permits ....................................................................................................... I-4-40 Permit design................................................................................................................ I-4-41 Wearing and display of permits .................................................................................... I-4-41 Aircraft crew members.................................................................................................. I-4-41 Passengers................................................................................................................... I-4-41 Vehicle permits ............................................................................................................. I-4-41 4.11 Quality control................................................................................................................... I-4-42 Principles ...................................................................................................................... I-4-42 Security inspections and audits.................................................................................... I-4-43 Security surveys ........................................................................................................... I-4-43 Security tests ................................................................................................................ I-4-43 Administration............................................................................................................... I-4-44 Recruitment, selection, training and certification of security staff ................................ I-4-45 Background checks of security staff............................................................................. I-4-45 National quality control programme.............................................................................. I-4-45 4.12 Measures relating to airport design .................................................................................. I-4-46 Planning criteria............................................................................................................ I-4-46 General principles......................................................................................................... I-4-47 Airport threat and risk assessment............................................................................... I-4-47 Site evaluation and layout of facilities .......................................................................... I-4-48 Terminal building (landside areas) ............................................................................... I-4-48 Airside development..................................................................................................... I-4-48 Isolated aircraft parking position................................................................................... I-4-49 Support operations ....................................................................................................... I-4-49 General aviation ........................................................................................................... I-4-50 Minimizing the effects of an explosion.......................................................................... I-4-50 Materials ....................................................................................................................... I-4-52 Minimizing the effects of an attack upon people .......................................................... I-4-53 Passenger terminal building ......................................................................................... I-4-53
  7. 7. Table of Contents (vii) Page Secured passenger routes ........................................................................................... I-4-55 Access control .............................................................................................................. I-4-56 Passenger security screening areas ............................................................................ I-4-57 VIP facilities .................................................................................................................. I-4-58 Perimeter security......................................................................................................... I-4-58 Vulnerable points.......................................................................................................... I-4-58 Cargo and mail handling facilities................................................................................. I-4-59 Power supply ................................................................................................................ I-4-59 Security lighting ............................................................................................................ I-4-59 Closed circuit television................................................................................................ I-4-60 Chapter 5. Management of response to acts of unlawful interference.................................... I-5-1 5.1 Operational aspects.......................................................................................................... I-5-1 5.2 Incidents involving aircraft................................................................................................. I-5-2 General principles......................................................................................................... I-5-2 Contingency planning................................................................................................... I-5-2 Air traffic control............................................................................................................ I-5-3 Emergency operations centre....................................................................................... I-5-4 Isolated aircraft parking position................................................................................... I-5-5 Suspect explosive devices ........................................................................................... I-5-5 5.3 Collection and transmission of information....................................................................... I-5-6 Response...................................................................................................................... I-5-6 Aircraft in flight.............................................................................................................. I-5-6 Aircraft on the ground................................................................................................... I-5-7 5.4 Review and analysis ......................................................................................................... I-5-8 5.5 Reports.............................................................................................................................. I-5-9 Timescales for reports.................................................................................................. I-5-10 PART II — ICAO AVIATION SECURITY-RELATED DOCUMENTATION Introduction ...................................................................................................................................... II-1 Chapter 1. Extracts from ICAO Annexes other than Annex 17 ................................................ II-1-1 Chapter 2. Extracts from the Procedures for Air Navigation Services (PANS) ...................... II-2-1 Chapter 3. Resolutions adopted at the 33rd Session of the Assembly.................................. II-3-1 Chapter 4. Other ICAO documentation ....................................................................................... II-4-1 PART III — GUIDANCE MATERIAL ON DETECTION TECHNOLOGIES AND EQUIPMENT Introduction ...................................................................................................................................... III-1 Chapter 1. Detection technologies and equipment ................................................................... III-1-1 1.1 Selection and procurement of explosive detection systems............................................. III-1-1 Procurement advice...................................................................................................... III-1-2
  8. 8. (viii) Security Manual Page 1.2 Equipment assessment and testing.................................................................................. III-1-3 General methodology ................................................................................................... III-1-3 Assessment criteria ...................................................................................................... III-1-5 Routine testing.............................................................................................................. III-1-6 1.3 Explosives and weapons .................................................................................................. III-1-6 Explosives..................................................................................................................... III-1-6 Pyrotechnic material/propellants – low explosives....................................................... III-1-6 High explosives ............................................................................................................ III-1-7 Initiators ........................................................................................................................ III-1-8 Weapons....................................................................................................................... III-1-8 1.4 Metal detectors ................................................................................................................. III-1-9 Hand-held metal detectors ........................................................................................... III-1-9 Walk-through metal detectors....................................................................................... III-1-9 1.5 X-ray detection equipment................................................................................................ III-1-11 Materials discrimination................................................................................................ III-1-12 Explosive detection systems ........................................................................................ III-1-12 Image enhancement..................................................................................................... III-1-12 Bulk explosives detection screening technologies ....................................................... III-1-12 1.6 X-ray techniques............................................................................................................... III-1-14 Fluroscopes .................................................................................................................. III-1-15 Duel-energy X-ray ........................................................................................................ III-1-15 Backscatter X-ray ......................................................................................................... III-1-16 Computed tomography................................................................................................. III-1-17 Portable X-ray equipment............................................................................................. III-1-17 Health and safety requirements.................................................................................... III-1-20 1.7 Nuclear detection systems................................................................................................ III-1-20 Thermal neutron activation........................................................................................... III-1-20 Pulsed fast neutron analysis......................................................................................... III-1-20 Nuclear quadrupole resonance .................................................................................... III-1-21 Nuclear magnetic resonance........................................................................................ III-1-21 Gamma backscatter detectors...................................................................................... III-1-22 1.8 Vapour and trace detection equipment............................................................................. III-1-23 Chemical-based detection............................................................................................ III-1-25 1.9 Other detection technologies ............................................................................................ III-1-25 Explosive detection dogs.............................................................................................. III-1-25 Electronic circuit detection............................................................................................ III-1-25 Non-linear junction detection........................................................................................ III-1-25 Oscillator detection....................................................................................................... III-1-26 Metal detectors used for mail ....................................................................................... III-1-26 1.10 Optical detection aids........................................................................................................ III-1-26 Endoscopes.................................................................................................................. III-1-26 Closed circuit television inspection............................................................................... III-1-27 1.11 Simulation chambers ........................................................................................................ III-1-27 1.12 Equipment maintenance ................................................................................................... III-1-27 1.13 Future outlook................................................................................................................... III-1-27 Attachment A to Chapter 1. Explosives detection using dogs ........................................................ III-1A-1 Attachment B to Chapter 1. Simulation chambers.......................................................................... III-1B-1 Attachment C to Chapter 1. Explosive detection equipment maintenance..................................... III-1C-1 Chapter 2. Conventional X-ray equipment — Routine testing using a combined test piece (CTP) — Example procedures....................................................................................... III-2-1
  9. 9. Table of Contents (ix) Page 2.1 Introduction ....................................................................................................................... III-2-1 2.2 Description of CTP............................................................................................................ III-2-1 2.3 Method of use ................................................................................................................... III-2-1 2.4 Test results ....................................................................................................................... III-2-2 2.5 Equipment that meets CTP requirements......................................................................... III-2-2 Attachment A to Chapter 2. X-ray screening equipment — Performance requirements (Example)................................................................................................................. III-2A-1 Attachment B to Chapter 2. X-ray screening equipment — Combined test piece requirements .................................................................................................................................. III-2B-1 Attachment C to Chapter 2. Combined test piece log sheet........................................................... III-2C-1 Chapter 3. Walk-through metal detectors — Commissioning and routine testing — Example procedures........................................................................................................................ III-3-1 3.1 Introduction ....................................................................................................................... III-3-1 3.2 Commissioning ................................................................................................................. III-3-1 3.3 Routine testing.................................................................................................................. III-3-2 Attachment A to Chapter 3. Walk-through metal detectors — Performance requirements (Example) ....................................................................................................................................... III-3A-1 Attachment B to Chapter 3. Commissioning and routine testing procedures — WTMDs .............. III-3B-1 Attachment C to Chapter 3. Commissioning and routine testing procedures — WTMDs .............. III-3C-1 Appendix 1. Model national civil aviation security programme...................................................... A1-1 Appendix 2. National aviation security legislation.......................................................................... A2-1 Appendix 3. Model clause on aviation security and bilateral or regional ...................................... model agreement on aviation security ........................................................................................... A3-1 Appendix 4. Threat assessment methodology .............................................................................. A4-1 Appendix 5. A risk assessment model........................................................................................... A5-1 Appendix 6. Guidance on recruitment, selection, training and certification of aviation security staff...................................................................................................................... A6-1 Appendix 7. National aviation security training programme (Model outline) ................................. A7-1 Appendix 8. Recommended crowd control procedures................................................................. A8-1 Appendix 9. Airport security programme (Model outline) .............................................................. A9-1 Appendix 10. Action by the recipient of a bomb threat telephone call............................................. A10-1 Appendix 11. Bomb threat assessment........................................................................................... A11-1 Appendix 12. Suspect explosive devices......................................................................................... A12-1 Appendix 13. Search and evacuation guidelines............................................................................. A13-1 Appendix 14. Emergency operations centre.................................................................................... A14-1 Appendix 15. Aircraft operator’s model security programme template............................................ A15-1 Appendix 16. Surface-to-air missiles ............................................................................................... A16-1 Appendix 17. In-flight security personnel......................................................................................... A17-1 Appendix 18. Response to bomb threats against aircraft................................................................ A18-1 Appendix 19. Aircraft security search checklist ............................................................................... A19-1 Appendix 20. Aviation security signs ............................................................................................... A20-1 Appendix 21. Airport security identification permit systems ............................................................ A21-1 Appendix 22. Screening of passengers and cabin baggage ........................................................... A22-1 Appendix 23. Passenger flow and security screening..................................................................... A23-1 Appendix 24. Dangerous goods ...................................................................................................... A24-1 Attachment A to Appendix 24............................................................................................................. A24-A-1
  10. 10. (x) Security Manual Page Attachment B to Appendix 24............................................................................................................. A24-B-1 Appendix 25. Security measures for air cargo................................................................................. A25-1 Appendix 26. Security of aircraft catering supplies and stores........................................................ A26-1 Appendix 27. Hold baggage reconciliation and authorization (Model manual system).................................................................................................................. A27-1 Appendix 28. Authorized carriage of firearms (Example documentation) ....................................... A28-1 Appendix 29. Physical security measures ....................................................................................... A29-1 Appendix 30. Tests of aviation security measures .......................................................................... A30-1 Appendix 31. Aviation security inspections, audits and surveys ..................................................... A31-1 Appendix 32. Guidance on the use of threat image projection........................................................ A32-1 Attachment A to Appendix 32............................................................................................................. A32-A-1 Appendix 33. Compilation and dissemination of information concerning an aircraft which is being subjected to an act of unlawful interference ..................................................................... A33-1 Attachment A to Appendix 33............................................................................................................. A33-A-1 Appendix 34. Preliminary report on an act of unlawful interference ................................................ A34-1 Appendix 35. Final report on an act of unlawful interference .......................................................... A35-1
  11. 11. PART I GUIDANCE MATERIAL ON ICAO STANDARDS AND RECOMMENDED PRACTICES
  12. 12. Introduction This part of the manual has been developed for the purpose of assisting States to promote safety and security in civil aviation through the development of the legal framework, practices, procedures and material, technical and human resources to prevent and, where necessary, respond to acts of unlawful interference. Such development, when complete and implemented, constitutes a national aviation security programme sufficient to discharge the States’ obligations as signatories to the Aviation Security Conventions. The text provides details of how States can comply with the various Standards and Recommended Practices of Annex 17 to the Chicago Convention. While the methods of compliance provided are based on generally recognized practices and procedures common within the international civil aviation industry, they are not the only means of compliance. Other methods of meeting the Standards and Recommended Practices may be equally appropriate. It is also recognized that because of the diversity of legal and administrative structures within individual States, the practices and procedures proposed in the text may need to be varied to fit within such structures. I-1
  13. 13. Chapter 1 DEFINITIONS Terms that are defined in the ICAO Vocabulary (Doc 9713, 2nd edition, 2001) and the Annexes are used in accordance with the meanings and usages given therein. A wide variety of terms are in use throughout the world to describe facilities, procedures and concepts for airport operations and planning. As far as possible the terms used in this document are those which have the widest international use. Doc 9713 Part 1 &2 ICAO Vocabulary 2001 — act of unlawful interference A53 Acts of Unlawful Interference (Definition given for guidance purposes) These are acts or attempted acts such as to jeopardize the safety of civil aviation and air transport, i.e. • unlawful seizure of aircraft in flight, • unlawful seizure of aircraft on the ground, • hostage-taking on board aircraft or on aerodromes, • forcible intrusion on board an aircraft, at an airport or on the premises of an aeronautical facility, • introduction on board an aircraft or at an airport of a weapon or hazardous device or material intended for criminal purposes, • communication of false information such as to jeopardize the safety of an aircraft in flight or on the ground, of passengers, crew, ground personnel or the general public, at an airport or on the premises of a civil aviation facility. Aircraft. Any machine that can derive support in the atmosphere from the reactions of the air other than the reactions of the air against the earth’s surface. Aircraft maintenance area. All the ground space and facilities provided for aircraft maintenance. It includes aprons, hangars, buildings and workshops, vehicle parks and roads associated therewith. Aircraft security check. An inspection of the interior of an aircraft to which passengers may have had access and an inspection of the hold for the purposes of discovering suspicious objects, weapons, explosives or other dangerous devices. Aircraft stand. A designated area on an apron intended to be used for parking an aircraft. Air side. The movement area of an airport, adjacent terrain and buildings or portions thereof, access to which is controlled. Airside waiting area. Space between the departures concourse and airside exits from the passenger building. I-1-1
  14. 14. I-1-2 Security Manual Appropriate authority for aviation security. The authority designated by a State within its administration to be responsible for the development, implementation and maintenance of the national civil aviation security programme. 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 passenger vehicle. Any vehicle used to convey passengers between aircraft and passenger buildings. Background check. A check of a person’s identity and previous experience, including any criminal history, where appropriate, as part of the assessment of an individual’s suitability for unescorted access to a security restricted area. Baggage. Personal property of passengers or crew carried on an aircraft by agreement with the operator. Baggage container. A receptacle in which baggage is loaded for conveyance in aircraft. Baggage sorting area. Space in which departure baggage is sorted into flight loads. Baggage storage area. Space in which checked/hold baggage is stored pending transport to aircraft and space in which mishandled baggage may be held until forwarded, claimed or otherwise disposed of. Bomb alert. A status of alert, put in place by competent authorities to activate an intervention plan intended to counter the possible consequences arising from a communicated threat, anonymous or otherwise, or arising from the discovery of a suspect device or other suspect item on an aircraft, at an airport or in any civil aviation facilities. Bomb threat. A communicated threat, anonymous or otherwise, which suggests, or infers, whether true or false that the safety of an aircraft in flight or on the ground, or any airport or civil aviation facility or any person may be in danger from an explosive or other item or device. Cargo. Any property carried on an aircraft other than mail, stores and accompanied or mishandled baggage. Cargo area. All the ground space and facilities provided for cargo handlings. It includes aprons, cargo build- ings and warehouses, vehicle parks and roads associated therewith. Cargo building. A building through which cargo passes between air and ground transport and in which processing facilities are located, or in which cargo is stored pending transfer to air or ground transport. Catering stores. All items, other than catering supplies, associated with passenger in-flight services, for example newspapers, magazines, headphones, audio and video tapes, pillows and blankets, amenity kits, etc. Catering supplies. Food, beverages, other dry stores and associated equipment used on board an aircraft. Check-in. The process of reporting to an aircraft operator for acceptance on a particular flight. Check-in position. The location of facilities at which check-in is carried out. Courier service. An operation whereby shipments tendered by one or more shippers are transported as the baggage of a courier passenger on board a scheduled airline service under normal passenger hold baggage documentation.
  15. 15. Part I. Guidance material on ICAO Standards and Recommended Practices Chapter 1. Definitions I-1-3 Crew member. A person assigned by an operator to duty on an aircraft during a flight duty period. Dangerous goods. Articles or substances which are capable of posing a risk to health, safety, property or the environment and which are shown in the list of dangerous goods in the Technical Instructions or which are classified according to those Instructions. Departures concourse. The space between the check-in positions and the airside waiting area. Facilitation. The efficient management of a necessary control process, with the objective to expedite clearance of persons or goods and prevent unnecessary operational delays. Freight. See Cargo. General aviation. All civil aviation operations other than scheduled air services and non-scheduled air transport operations for remuneration or hire. Human Factors Principles. Principles which apply to 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, security and efficiency of aeronautical operations. Identification cards. See Permits. Inadmissible person. A person who is or will be refused admission to a State by its authorities. Integrated/consolidated cargo. A consignment of multi-packages which has been originated by more than one person, each of whom has made an agreement for carriage by air with another person other than a scheduled air carrier. Interline baggage. Baggage of passengers subject to transfer from the aircraft of one operator to the aircraft of another operator in the course of the passenger’s journey. International airport. Any airport designated by the Contracting State in whose territory it is situated as an airport of entry and departure for international air traffic, where the formalities incident to customs, immigration, public health, animal and plant quarantine and similar procedures are carried out. Land side. That area of an airport and buildings to which both traveling passengers and the non-travelling public have unrestricted access. (See also Non-restricted area.) Mail. Dispatches of correspondence and other items tendered by and intended for delivery to postal services in accordance with the rules of the Universal Postal Union (UPU). Mishandled baggage. Baggage involuntarily, or inadvertently, separated from passengers or crew. Movement area. That part of an aerodrome to be used for the take-off, landing and taxiing of aircraft, consisting of the manoeuvring area and the apron(s). Narcotics control. Measures to control the illicit movement of narcotics and psychotropic substances by air. Non-restricted area. Areas of an airport to which the public have access or to which access is otherwise unrestricted.
  16. 16. I-1-4 Security Manual Off-airport processing facilities. A passenger or cargo transport link terminal at an urban population centre at which processing facilities are provided. Operator. A person, organization or enterprise engaged in or offering to engage in an aircraft operation. Passenger area. All the ground space and facilities provided for passenger processing. It includes aprons, passenger buildings, vehicle parks and roads. Passenger gangway. A mechanically operated, adjustable ramp to provide direct passenger access between aircraft and buildings or vehicles. Permits. A permit system consists of cards or other documentation issued to individual persons employed on airports or who otherwise have need for authorized access to the airport, airside or security restricted area. Its purpose is to identify the individual and facilitate access. Vehicle permits are issued and used for similar purposes to allow vehicular access. Permits are sometimes referred to as airport identity cards or passes. Pier. A corridor at, above or below ground level to connect aircraft stands to a passenger building. Regulated agent. An agent, freight forwarder or any other entity who conducts business with an operator and provides security controls that are accepted or required by the appropriate authority in respect of cargo, courier and express parcels or mail. Sabotage. An act or omission, intended to cause malicious or wanton destruction of property, endangering or resulting in unlawful interference with international civil aviation and its facilities. Screening. The application of technical or other means which are intended to identify and/or detect weapons, explosives or other dangerous devices which may be used to commit an act of unlawful interference. Note.— Certain dangerous articles or substances are classified as dangerous goods by Annex 18 and the associated Technical Instructions for the Safe Transport of Dangerous Goods by Air (Doc 9284) and must be transported in accordance with those instructions. Security. A combination of measures and human and material resources intended to safeguard civil aviation against acts of unlawful interference. Security control. A means by which the introduction of weapons, explosives or other dangerous devices which may be utilized to commit an act of unlawful interference can be prevented. Security equipment. Devices of a specialized nature for use, individually or as part of a system, in the prevention or detection of acts of unlawful interference with civil aviation and its facilities. Security programme. Measures adopted to safeguard international civil aviation against acts of unlawful interference. Security restricted area. Airside areas of an airport into which access is controlled to ensure security of civil aviation. Such areas will normally include, inter alia, all passenger departure areas between the screening checkpoint and the aircraft, the ramp, baggage make-up areas, cargo sheds, mail centres, airside catering and aircraft cleaning premises. Small arms. A general description applied to all hand-held firearms. State of Registry. The State on whose register the aircraft is entered.
  17. 17. Part I. Guidance material on ICAO Standards and Recommended Practices Chapter 1. Definitions I-1-5 Sterile area. That area between any passenger inspection or screening control point and aircraft into which access is strictly controlled. (Also known as Security restricted area.) Stores. Articles of a readily consumable nature for use or sale on board an aircraft during flight, including commissary supplies. Transfer passengers/baggage. Passengers/baggage making direct connections between two different flights. Transit passengers. Passengers departing from an airport on the same flight as that on which they arrived. Unaccompanied baggage. Baggage which is transported as cargo and may or may not be carried on the same aircraft with the person to whom it belongs. Unclaimed baggage. Baggage which arrives at an airport and is not retrieved or claimed by a passenger. Unidentified baggage. Baggage at an airport, with or without a baggage tag, which is not picked up by or identified with a passenger. Vulnerable point. Any facility on or connected with an airport, which, if damaged or destroyed, would seriously impair the functioning of the airport.
  18. 18. Chapter 2 GENERAL PRINCIPLES 2.1 AIMS AND OBJECTIVES Primary objective 2.1.1 The primary objective of international civil aviation security is to assure the protection and safety of passengers, crew, ground personnel, the general public, aircraft and facilities of an airport serving civil aviation, against acts of unlawful interference perpetrated on the ground or in flight. This is carried out through a combination of measures and the marshalling of various human and material resources on an international, national and airport level. The implementation of a security policy is based upon security programmes at each of these levels. 2.1.2 Since the safety of passengers, crew, ground personnel and the general public is the primary consideration in all matters related to safeguarding civil aviation against acts of unlawful interference, States are required to take adequate measures for the safety of passengers and crew of an aircraft which has been subjected to an act of unlawful interference until their journey can be continued. International legal instruments 2.1.3 The safety, regularity and efficiency of international civil aviation and its facilities are jeopardized by an ever-increasing variety of criminal acts. In response to these recurring acts the following five inter- national legal instruments were developed: • Convention on Offences and Certain Other Acts Committed on Board Aircraft, signed at Tokyo on 14 September 1963 (Doc 8364); • Convention for the Suppression of Unlawful Seizure of Aircraft, signed at The Hague on 16 December 1970 (Doc 8920); • Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation, signed at Montreal on 23 September 1971 (Doc 8966); • Protocol for the Suppression of Unlawful Acts of Violence at Airports Serving International Civil Aviation, supplementary to the Montreal Convention, signed at Montreal on 24 February 1988 (Doc 9518); • Convention on the Marking of Plastic Explosives for the Purpose of Detection, signed at Montreal on 1 March 1991 (Doc 9571). In adhering to these legal instruments, it is essential for States to safeguard international civil aviation against the occurrence of an act of unlawful interference and, wherever practicable, the same security measures applied to protect international aviation should be applied to domestic operations. I-2-1
  19. 19. I-2-2 Security Manual 2.1.4 The main principle to be followed when ensuring the security of civil aviation is that the security measures implemented should be commensurate with the threat. Protection of aviation security information 2.1.5 Public confidence in a State’s approach to civil aviation security may be undermined by unauthorized publication of national and airport security programmes and plans, in whole or in part. States should therefore adopt protective measures for these programmes and plans in keeping with their national policies regarding the security of classified information to ensure that the information contained therein is not misused or disclosed to unauthorized persons. 2.1.6 However, an unnecessarily high security classification should be avoided as it can restrict a document’s effective use. Often the need for a high security classification arises from the inclusion of very sensitive specific information in a small part of the programme. There is considerable advantage in including the very sensitive information in a separate, more highly classified document which can be distributed under strict controls to persons cleared to receive it. By cross-reference to the second document, the national or airport security programme or other documents concerned can be given a lower classification and be more widely distributed to those with a legitimate need to have access to the more general information they contain. 2.1.7 As a minimum, access to the national and airport security programmes should be restricted to those persons who require such information in the performance of their duties. This is known as the “need to know” principle. If special controls are required for the protection of information, the degree of protection to be afforded should be specified by either the originator or the responsible authority. Care should, however, be taken to avoid overprotection as this may preclude distribution to persons or organizations who have a “need to know”. Where the information is particularly sensitive or received with a high level of security classification, and to ensure essential information can be distributed to those who have a “need to know”, it may be necessary to pass on only suitably sanitized basic information sufficient to enable organizations to react appropriately to the threat concerned. In that way, the sensitive information is protected while appropriate reaction can be initiated. 2.1.8 The physical security measures afforded to classified documents will be up to the relevant State to establish according to national guidelines. However as a minimum it is recommended that national civil aviation security programmes should be stored under lock and key when not in use. Keys for the receptacle or room should be controlled and accounted for. Higher levels of physical security such as specially constructed security cabinets or safes will afford greater protection and should be used where considered necessary. 2.2 EFFECTIVE CIVIL AVIATION SECURITY 2.2.1 Effective civil aviation security can be achieved through the development, implementation and maintenance of comprehensive, flexible and effective national legislation, regulations, programmes, measures and procedures. Guidance on the development of the national civil aviation security programmes may be found in Chapter 3 of this Part. Appendix 1 provides a model to assist in the preparation of a written national security programme. 2.2.2 The aims and objectives of a State’s national aviation security programme need to assure the effective protection and safeguarding of passengers, crew, ground personnel, the travelling public, aircraft, airports and air navigation facilities. To meet these aims and objectives, a comprehensive organization and legal structure, with clearly defined responsibilities and methods of implementation need to be established. The regulations for security equipment and systems and for airport design and layout also need to be established.
  20. 20. Part I. Guidance material on ICAO Standards and Recommended Practices Chapter 2. General principles I-2-3 2.2.3 To achieve a standardized level of security for aviation, the State, through its appropriate authority for security, needs to establish a comprehensive policy, supported by appropriate legal provisions, to be implemented by the many entities involved in any civil aviation security structure. Each of these entities, which normally include: • aircraft operators; • airport operators; • providers of air navigation services; • policing authority and other law enforcement authorities; • providers of security services; and • intelligence organizations needs to have clearly defined policies, procedures, performance standards and methods of implementation consistent with the State’s policy and direction. 2.2.4 Of no less importance is the need for coordination and consistency of implementation of security between the entities. To achieve a consistent and effective end result, the State needs to establish standards and monitor implementation of the practices and procedures applied to ensure that the policy is being implemented to those standards. The State also needs to arrange for the establishment of a national security committee or other effective means to promote coordinated implementation of the policy and standards at the national level and airport security committees for similar purposes at the airport level. 2.2.5 The policy and standards for implementation of security need to be targeted at achieving the overall aims and objectives of the programme. They must also meet the requirements of the Standards and Recommended Practices of Annex 17 during normal operating conditions. Contingency plans capable of rapid implementation of additional countermeasures are essential to meet any increase in the threat. 2.2.6 Well-established and tested emergency plans for response to major incidents of unlawful interference are similarly essential elements of an effective programme. 2.3 SECURITY AND FACILITATION 2.3.1 The adoption of measures to facilitate and expedite clearance formalities is mandated by the Chicago Convention, with the objective to prevent unnecessary delays to air navigation. Thus, while the security of civil aviation is a top-priority objective, States have an obligation to ensure that the efficiency of the air transport system is maintained. Sound process management to prevent congestion, confusion and disorder in airport terminals is also essential to the security of the system. 2.3.2 In the current climate of intensified security concerns, the above considerations warrant the development of imaginative approaches to aviation security which are effective yet unobtrusive and which are perceived by the public as a logical response to new and emerging threats. The following are some elements of such approaches: • Levels of control should be adjustable to meet the nature and level of the existing threat(s), and intensive controls should be selectively applied, based on risk assessment.
  21. 21. I-2-4 Security Manual • Targeting, aided by information technology, should be used to separate out “high risk” cases for intensive examination while expediting the remaining “low risk” traffic. • Staffing of control points should be sufficient to accommodate smoothly the traffic volume at any given time. Queues should be managed in order to minimize the effect of bottlenecks on passenger flows. • With respect to air cargo, the “regulated agent” concept should be employed to separate and expedite known cargo shipments so that attention may be focussed on “unknown cargo” shipments. 2.3.3 The importance of security and facilitation processes working together to provide the passenger with a seamless process must be recognized as a key link in the whole security/aviation chain. There are elements of the facilitation process such as machine readable travel documents (MRTDs) and identification of persons using biometric systems which if properly integrated can enhance the overall effectiveness of aviation security in civil aviation and increase passenger safety. 2.3.4 The benefits of adopting machine readable passports and other travel documents extend beyond the obvious advantages for States which have the machine readers and data bases that are used in matching the identity of travellers against lists of high-risk persons. Many developing countries have elected to invest resources in the introduction of machine readable passports because the physical characteristics of the documents offer strong security against alteration, forgery or counterfeit. Moreover, adoption of the standardized format for the visual zone of an MRTD facilitates inspection by airline and government officials, with the result that clearance of low-risk traffic is expedited, problem cases are more readily identified and enforcement is improved. 2.3.5 The specifications and guidance material on machine readable documents are published as ICAO Doc 9303, Part 1 (Passports), Part 2 (Visas), Part 3 (Other Official Travel Documents) and Part 4 (Crew Member Certificates). The technical specifications sections of Part 1 (Third Edition), Part 2 (Second Edition) and Part 3 have received the endorsement of the International Organization for Standards, as ISO Standards 7501-1, 7501-2 and 7501-3, respectively.
  22. 22. Chapter 3 ORGANIZATION 3.1 THE APPROPRIATE AUTHORITY FOR SECURITY Designation 3.1.1 Each State is required to designate a person or position as the appropriate authority within its administration to be responsible for the development, implementation and maintenance of the national civil aviation security programme and to notify ICAO of this designated appropriate authority. 3.1.2 The person or position designated by the State as the appropriate authority for aviation security will need to have sufficient authority to be able to develop national aviation security policies and to ensure that these policies are implemented. It is not necessary that this person or position be involved in aviation security activities at an operational level. 3.1.3 Which ever authority, department or agency is designated as the appropriate authority for aviation security, procedures must be in place to ensure that all aviation security correspondence and material emanating from ICAO are passed directly to that authority, department or agency as soon as they are received by the State. Allocation of responsibilities 3.1.4 One of the key responsibilities of the appropriate authority is to define and allocate tasks and coordinate activities between the departments, agencies and other organizations of the State, airport and aircraft operators and other entities concerned with or responsible for the implementation of various aspects of the national civil aviation security programme. Functions that need to be addressed by other departments and agencies in support of the authority and the national civil aviation security programme include, but are not limited to, legal affairs, foreign affairs, policing authority, postal, customs, immigration and intelligence. 3.1.5 Often, more than one organization in the State is directly involved in a given aviation security function. For example, the civil aviation authority, the airport administration concerned and the authority responsible for police functions with jurisdiction may share responsibility for the protection of airports, air navigation aids and services. 3.1.6 To assist in defining, allocating and promulgating tasks among these different organizations, a State should make available to its airport administrations, airlines operating in its territory and other concerned organizations, relevant portions of its national civil aviation security programme. National civil aviation security legislation and regulations 3.1.7 The State through the designated appropriate authority will need to ensure that there is a legal basis for the national aviation security programme. If enabling or additional legislation is required, such legislation should be obtained through appropriate government channels. I-3-1
  23. 23. I-3-2 Security Manual 3.1.8 An outline of the key elements that need to be contained in national aviation security legislation can be found in Appendix 2. Such legislation should: a) define acts of unlawful interference, preferably along the lines set out in the Tokyo, The Hague and Montreal Conventions and the Protocol Supplementary to the Montreal Convention, establish jurisdiction in relation to these offences, and prescribe severe penalties for the committing of such acts, in accordance with the laws and customs of the State; b) authorize the designated appropriate authority for aviation security within the State to develop, implement and maintain the national civil aviation security programme, and to issue regulations necessary to carry out the national programme; c) require airport, airline and other operators to comply with the provisions of the national civil aviation security programme; d) authorize inspections, surveys, audits, tests and investigations by designated authorities to determine compliance with relevant legislation and to monitor the effectiveness of the national civil aviation security programme; e) authorize and assign responsibility for the screening of persons and goods and permit the establishment of access control points to control the movement of persons and vehicles entering the air side and security restricted areas; f) authorize the refusal of transportation by air to those persons deemed to be a threat to the safety of any flight; and g) authorize and assign responsibility for the provision of national police authority officers, suitably trained to respond to suspected incidents of unlawful interference and suspected unlawful activity, and in the questioning of suspected persons. 3.1.9 The designated authority for security will need to develop and revise from time to time, within the framework of the government, broad national policies relating to civil aviation security. It must also ensure that comprehensive national regulations are developed and implemented, and a national civil aviation security programme is issued. Attention is drawn to the desirability of using the text of the appro- priate ICAO Annexes in national regulations. 3.2 CIVIL AVIATION SECURITY POLICY AND REGULATORY SECTION Principles 3.2.1 States are required to establish an organization capable of providing a standardized level of security for operation of aircraft in normal operating conditions and which is capable of a rapid response to meet any increased security threat. To achieve this, States should establish a civil aviation security policy and regulatory section. 3.2.2 The security section should be responsible for the establishment, administration and promulgation of the State’s national civil aviation security programme and should provide advice, as required, on aviation security matters to airport administrations and aircraft operators.
  24. 24. Part I. Guidance material on ICAO Standards and Recommended Practices Chapter 3. Organization I-3-3 3.2.3 The security section neither shares nor diminishes airport administrations’ and aircraft operators’ direct responsibility for compliance with the security programme. It must, however, develop and implement regulations, practices and procedures to establish security standards and advise on the means and methods of compliance to ensure those standards are met by all parties involved in civil aviation. It must be fully informed and up to date on the current assessment of threats, security techniques, systems and devices and on national and international laws, security-related Standards, Recommended Practices and procedures. 3.2.4 The terms of reference of the civil aviation security policy and regulatory section on behalf of the appropriate authority for security should be to: a) be responsible for the establishment, production, promulgation and frequent review of the national civil aviation security programme to ensure it continues to meet the State’s obligations and is consistent with government policy; b) define and allocate tasks within government policy guidelines for implementation of the national civil aviation security programme as between agencies, airline operators, airports and others concerned; c) establish and promulgate operational criteria minima to be met by those responsible for implementing security measures under the national civil aviation security programme; d) constantly analyse the level of threat to civil aviation and initiate such action by airlines, airports, providers of security services and other organizations contributing to the programme, sufficient to effectively counter the perceived level of threat; e) conduct surveys, inspections, audits, tests and investigations of security standards and operating procedures of airports, airlines and providers of security services, reporting any lapses and weaknesses in security measures and recommending procedures for their correction; f) receive, collate, analyse and disseminate information on any threat or incident and information on the numbers and types of prohibited articles discovered or confiscated and provide a technical reference and information centre for the use of the civil aviation authority, airport administrations, operators and security services; g) foster and promote good working relationships, cooperation and the exchange of relevant information and experience among States, particularly with adjacent States and those with which a State has major air transport relationships. The same type of relationship should be maintained with ICAO and concerned international organizations and associations; h) review and ensure the adequacy of security programmes and associated documentation produced by airports, aircraft operators and cargo operations, monitoring their implementation to ensure continuing effectiveness and incorporation of amendments as required; i) enhance aviation security by the development and dissemination of progressive administrative and technical practices, promoting their use by security services, airport administrations and aircraft operators; j) be available to airport administrations and aircraft operators as a security consultant in respect of the prevention of unlawful interference with civil aviation and its facilities, and assist where required or requested;
  25. 25. I-3-4 Security Manual k) be available to airport administrations, designers and architects as a consultant in respect of the incorporation of security considerations when planning and designing new, or altering existing, airport facilities; l) process recommendations to government, specialist committees and working groups; m) provide a secretariat to the appropriate authority for security for meetings of appropriate groups and organizations; n) ensure that the State’s national civil aviation security programme is current, effective and upgraded from time to time as required by changing circumstances; o) based on collected and correlated data, advise airport administrations and operators on the most effective use which can be made of human resources, methods, procedures, security devices and systems; p) develop, promote, produce and disseminate suitable training materials that can be used in the training of any person with a role to play in the implementation of the national civil aviation security programme; q) develop national standards and recommendations relating to the specifications and evaluation methodology of security equipment and systems and to airport design in order to adapt airports to security requirements; keep informed of current expertise, operational modes and deployment of human resources, security systems and devices required for the maintenance of an adequate national civil aviation security programme; and r) coordinate security measures and procedures with appropriate organizations and agencies. Organization and staff 3.2.5 In order to carry out its responsibilities for efficiently establishing and maintaining the State’s civil aviation security programme, the civil aviation security policy and regulatory section will need to be in close working liaison with the various branches of the State’s civil aviation authority. The civil aviation security policy and regulatory section will also require authority to establish and maintain close liaison at the operating levels with those other government departments and agencies concerned with aspects affecting and complementing the overall national civil aviation security programme. It will function most efficiently if it is an independent unit within the administration having direct access to the designated appropriate authority for security so the latter may be informed immediately of developments requiring personal decision or direction. 3.2.6 The size of the civil aviation security policy and regulatory section will be determined by the scale of operations within the State concerned. In some administrations, it may even be possible for the work of the civil aviation security policy and regulatory section to be carried out by officers employed for other duties within the civil aviation authority, such as safety, which is an allied function. In this case there will be a division of functions without a division of units. However, care must be taken to ensure that the personnel carrying out the security function are suitably trained and aware of the subtle differences between the two specializations which can often have conflicting requirements. The feasibility of such an arrangement depends primarily upon local conditions and the size and scope of the State’s aviation industry.
  26. 26. Part I. Guidance material on ICAO Standards and Recommended Practices Chapter 3. Organization I-3-5 3.3 THE NATIONAL CIVIL AVIATION SECURITY PROGRAMME National organization and appropriate authority 3.3.1 The responsibility of the State for the security of civil aviation and its facilities arises from the State’s wider responsibility for maintaining law and order within its territory and discharging its international obligations under the international legal instruments on the subject of aviation security. Although there are varying methods for discharging this responsibility, no particular method can in any way relieve the State of these basic responsibilities. These responsibilities are best vested in the framework of national legislation as it relates specifically to unlawful interference with civil aviation and its facilities. Basic responsibility for aviation security policy and planning will therefore be a matter for States to set. 3.3.2 Each Contracting State is required to establish and implement a written national civil aviation security programme and make the appropriate parts of it available to all airport, aircraft operators and other entities with a role to play in the implementation of the programme. The objective of the national civil aviation security programme shall be to protect the safety, regularity and efficiency of international civil aviation by providing, through regulations, practices and procedures, safeguards against acts of unlawful interference. A model programme is included in this manual (Appendix 1). 3.3.3 The appropriate authority for security shall assign responsibilities for the implementation of the various aspects of the national civil aviation security programme among the departments, agencies, operators, airports and other organizations of the State concerned and shall establish the means of coordinating activities among those organizations. 3.3.4 The development, application and implementation of a national civil aviation security programme constitutes the basis of civil aviation security. Therefore the State will need to ensure that, as far as practicable, adequate resources are provided for the national civil aviation security programme in order to assure its optimum operation as a major component of overall aviation safety, particularly with regard to airport security equipment and systems and airport design and layout. Responsibilities 3.3.5 Differing laws, customs and organizational structures of government departments and agencies having responsibility for the various aspects of civil aviation security make it difficult to provide a precise guide for the division of responsibilities between the State, airport administrations and operators as they relate to the security and safe conduct of air transport. It is therefore essential that these responsibilities be clearly defined in each State, within the context of a national civil aviation security programme. 3.3.6 Because of the inevitable divisions of responsibility for security between the various aviation activities, a security programme, if it is to be effective, should have clearly defined responsibilities assigned to each organization. There should be no ambiguity or there will be confusion that may result in tragic consequences. 3.3.7 When a State has a plan to coordinate measures for the safeguarding of information and facilities that are considered to be of national importance, information concerning the safeguarding of international civil aviation and its facilities against acts of unlawful interference may usefully be included in that plan. However, it is necessary, because of civil aviation’s unique nature and infrastructure, for the national civil aviation security programme to be maintained as a separate document. 3.3.8 National regulations should identify, in the development of the aviation security programme, those organizations or entities which will be responsible for the various functions prescribed. This will include the roles of airport administrations and airline operators in the implementation and maintenance of the programme.
  27. 27. I-3-6 Security Manual 3.3.9 The national or corporate headquarters of the respective organizations or entities will need to assign responsibility within their organizations for the development and implementation of security programmes required by national regulations. These programmes should be approved by the appropriate authority for security to assure they meet the provisions and intent of the regulations and are coordinated between the organizations involved. 3.3.10 Aircraft operators have a responsibility to the travelling public for the security of their operations. This normally includes the protection of aircraft and the security of areas where baggage, cargo and mail are handled or stored. The operators must also comply with such security regulations as the State may promulgate. Since regulations usually will not provide operators with a comprehensive and detailed set of instructions, it will be necessary for aircraft operators to develop their own security instructions and ensure their operations manuals are consistent with the laws and regulations of their States of registry and of the other States in which their operations are conducted. 3.3.11 Similarly, airport administrations shall assign responsibilities to elements under their jurisdiction to develop security programmes designed to assure a secure operating environment. The airport security programme should be approved by the appropriate authority for security. 3.3.12 The authority responsible for police functions having jurisdiction at airports should be assigned responsibilities for support of the national civil aviation security programme in addition to normal policing authority activities. 3.3.13 Intelligence agencies and the authority responsible for police functions who collect and disseminate information related to threats of criminal acts, including terrorism, should assist with the dissemination of the assessment of such threat information as related to the State’s civil air transportation system. However, analysis of the impact of the threat on the air transport system should be the responsibility of the civil aviation security policy and regulatory section which is normally better placed to assess the local situation and arrange appropriate countermeasures within the air transport system. National civil aviation security programme guidance material 3.3.14 The model national civil aviation security programme found in Appendix 1 may be used by States as guidance when developing their own national programme. It was designed to permit a State to describe its methods of compliance with the Standards and Recommended Practices of Annex 17 and relevant portions of other Annexes. 3.3.15 The model national programme presents an example of a national programme that is simple in structure and content, containing national policy directives rather than specific operational details. Details on how national policy is carried out are contained in other documents, such as airport security programmes and contingency plans, which can be attached to the national programme as appendices. The benefit of this approach is that it allows the national programme, without its more sensitive appendices, to be disseminated to a larger number of organizations both within and outside the State. 3.3.16 The national civil aviation security programme established by a State should, as a minimum: a) adopt appropriate enabling legislation and publish mandatory regulations that authorize the State to assume responsibility for aviation security policy and planning. This will include provisions for the State to oversee screening of passengers and carry-on baggage, other ground and in-flight security safeguards and any special or additional security measures or procedures initiated by an operator or airport administration to confirm the proper discharge of the State’s responsibilities;
  28. 28. Part I. Guidance material on ICAO Standards and Recommended Practices Chapter 3. Organization I-3-7 b) establish close cooperation between the many different organizations concerned with the successful implementation of the civil aviation security programme. Among the organizations that must be included are: the civil aviation authority, police, customs, immigration and postal services, security forces, airport administrations, operators, private industry and businesses operating on airport property; c) clearly state responsibility for each segment of the programme at the national level and at each aviation facility so that it is readily understood by all concerned; d) provide advice to government and the civil aviation industry regarding the level of security measures, based upon the current threat, to protect civil aviation and its facilities against acts of unlawful interference; e) provide for the exchange of threat information and cooperation between States; evaluate intelligence information and develop threat assessments; and exchange and disseminate information related to occurrences of unlawful interference and the technical aspects related thereto with appropriate international organizations and States so as to ensure common standards of protection between States; f) ensure resources and training of personnel; g) supervise programme implementation and enforce regulations; h) provide response to threats and occurrences; i) review and evaluate programme effectiveness; j) ensure preparation of reports on occurrences and related information for transmission to ICAO; k) endeavour to take into account the model agreement on aviation security for bilateral or regional cooperation and to include in all bilateral agreements on air transport a clause related to aviation security; and l) require that security features be incorporated into the design of new airports or the expansion of existing facilities. 3.3.17 There may be wide variations in the means of implementing aviation security programmes between States which will arise primarily from the need to take into account local laws, customs and practices. 3.3.18 In developing and maintaining its aviation security programme, each State should bear in mind the necessity for the programme to: a) be capable of implementation within the resources of the State, airport administrations and operators; b) enable the civil aviation authority to maintain continuing supervision without unduly inhibiting direction or control at the local level, and, in so doing, avoid a situation in which the system is determined so precisely and implemented so rigidly as to seriously compromise the efficient operation of civil air transport, or to remove from airport administrations and operators those matters in respect of the security and safe conduct of their operations which are a recognized part of their respective responsibilities;
  29. 29. I-3-8 Security Manual c) provide for a coordinated approach to the establishment, maintenance and upgrading of security standards, practices, measures, procedures, systems and devices; d) ensure that the best use is made of all available resources; e) maintain harmonious relationships between operators, airport administrations, the civil aviation authority and the security services; and f) provide for monitoring intelligence and information and providing the facility to analyse it for its impact on civil aviation as a basis for adjusting elements of the national programme to counter such impact. Programme effectiveness 3.3.19 The following activities are essential to maintaining an effective programme: a) Threat assessment. The continuous collection and evaluation of intelligence, data, information, etc., is essential to identifying changing trends, existing and potential threats and other significant developments. This procedure is necessary in order to determine current security requirements. b) Surveys, inspections, audits, tests and investigations. Surveys, inspections, audits, tests and investigations of security standards, operating procedures, equipment, facilities and personnel need to be conducted to determine deficiencies and identify new requirements in a timely manner. c) Programme adjustment. The programme of a State, an airport, an operator or a regulated agent will normally require minor adjustments from time to time and occasional major modifications. Changes will usually be dictated by information developed as a result of threat assessment, surveys or inspections. New construction, changes in aircraft and airport operations and other activities may also require programme adjustments in order to maintain effectiveness. Modifications may also arise out of investigation and review of an occurrence. As foreign States may have specific and ongoing requirements for flights to that State and as these may impact upon the State developing or amending a national programme, it is sometimes necessary to facilitate the implementation of those requirements with adjustments to the programme where these are not inconsistent with State policy. d) Evaluation, installation and maintenance of security systems and devices. Security systems and devices should be designed, installed and maintained in such a way as to ensure maximum efficiency. A schedule of preventive maintenance should be established and carried out in the interest of maintaining a high degree of operational effectiveness at minimum cost. Maintenance requirements noted during security surveys, inspections and testing should be attended to immediately. e) The production of the national civil aviation security programme as a single document provided to those organizations involved in the implementation of the programme, including agencies of the government, operators, airport administrations and organizations providing security services, is important to the effectiveness of the programme and is a good method of promulgating requirements and advisory information to those organizations.
  30. 30. Part I. Guidance material on ICAO Standards and Recommended Practices Chapter 3. Organization I-3-9 The security planning cycle 3.3.20 The conduct of various functions and assignment of responsibilities that need to be considered in planning for the development of the national civil aviation security programme and the respective programmes for each airport and operator are a continuous process. Therefore, civil aviation security planning should be regarded as a cyclical procedure. The security planning cycle is illustrated in Figure I-3-1. 3.3.21 The planning cycle of the State’s aviation security programme and, in particular, the security measures and procedures required at each airport and for each operator should be based upon the following: a) ICAO Annex 17; b) legislation and regulations; c) revision of the programme as dictated by changed conditions or experiences; d) recognition of the need for adequate resources and training; e) an accurate assessment of the vulnerability of each airport and each operator as determined by security surveys and inspections; and the threat, based on currently available intelligence; f) an individual written security programme for each airport and operator that takes into account environmental and operating characteristics, staff, equipment, education and training (the use of available resources not only reduces security costs but emphasizes the fact that effective security is a responsibility of each person involved in airport/operator activities); g) planning of the design and installation of security equipment and systems at airports; and h) constant review and testing of the programme to ensure that effectiveness is maintained. Financing of the aviation security programme 3.3.22 It is essential that, because of anticipated or actual costs, States do not default on their responsibility for ensuring implementation of the aviation security programme required by SARPs published in Annexes to the Chicago Convention. 3.3.23 Part II of Doc 9082/6 — ICAO’s Policies on Charges for Airports and Air Navigation Services provides guidance on the subject. The following verbatim text appears in Part II of Doc 9082/6 (Sixth Edition — 2001): “Security charges 29. The Council notes that States are responsible for ensuring the implementation of adequate security measures at airports pursuant to the provisions of ICAO Annex 17 to the Convention on International Civil Aviation — Security and that they may delegate the task of providing individual security functions to such agencies as airport authorities, air carriers and local police. The Council also notes that States may determine in which circumstances and the extent to which the costs involved in providing security facilities and services should be borne by the State, the airport authorities or other responsible agencies. With reference to the recovery of security costs from the users, the Council recommends that the following general principles be applied:
  31. 31. I-3-10 Security Manual NATIONAL AVIATION SECURITY PROGRAMME A blueprint for the national aviation security system SECURITY POLICY Appropriate authority for security: Sets policy Allocates responsibilities — Airports — Operators — Security services — Authority for policing — Others SITUATION ASSESSMENT Security system survey Assess threat against vulnerability — establish risk factor EVALUATION Civil aviation security policy and regulatory section (appropriate authority for security) IMPLEMENTATION Develop standards Staffing; training; equipment; procedure; implementation SYSTEM TESTING Security surveys and inspection; partial or complete tests; penetration exercises; system audits REVISE REVIEW REVISEORINCREASE REPEAT REVISE Figure I-3-1. The security planning cycle.

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