ICAO - 10047
Aviation Security Oversight Manual
|Publication Date:||1 January 2015|
This manual outlines the duties and responsibilities of ICAO Member States with respect to the establishment and management of a national civil aviation security oversight system. It is directed at high-level government decision makers, as it highlights States' obligations as signatories to the Convention on International Civil Aviation (Chicago Convention) signed at Chicago on 7 December 1944, and provides information and guidance on the establishment and management of a State's national civil aviation security oversight system, which may be required to fulfil those obligations.
This manual confines itself to the parameters of a Member State's overall aviation security oversight responsibilities, emphasizing the State's commitment to aviation security with respect to the State's aviation activity. Several critical elements (CEs) have been identified as essential components of a civil aviation security oversight system and should be considered for the effective implementation of a security-related policy and associated procedures. The CEs of a civil aviation security oversight system presented in this manual include:
- primary aviation security legislation;
- aviation security programmes and regulations;
- State appropriate authority for aviation security and its responsibilities;
- personnel qualifications and training;
- provision of technical guidance, tools and security-critical information;
- certification and approval obligations;
- quality control obligations; and
- resolution of security concerns.
On becoming parties to the Chicago Convention, States agree to certain principles and arrangements in order that international civil aviation may be developed in a safe, secure and orderly manner. The safe and orderly development of international civil aviation requires that all civil aviation operations be conducted under internationally accepted standards, procedures and practices. Article 37 of the Chicago Convention provides that each Contracting State undertakes to collaborate in securing the highest practicable degree of uniformity in regulations, standards, procedures and organization in relation to aircraft, personnel, airways and auxiliary services in all matters in which such uniformity will facilitate and improve air navigation. It also follows that a Contracting State should establish and implement a system that enables it to satisfactorily discharge its international obligations and responsibilities to develop and conduct civil aviation in a safe and orderly manner.
With respect to aviation security, it is particularly important to maintain uniformity in the effectiveness of worldwide standards, since the level of protection against acts of unlawful interference deriving from the implementation of security measures as stipulated in the international Standards and Recommended Practices (SARPs) is only as strong as the weakest link in the global aviation network. The implementation of security-related SARPs by a Member State should be effected under the rule of law promulgated in that State. Thus, as a first step towards discharging its obligations and responsibilities, a State will require an enactment of a legislative framework, hereafter referred to as the State's primary aviation security legislation.
The primary aviation security legislation should entail the development and promulgation of civil aviation security regulations and the establishment of a National Civil Aviation Security Programme (NCASP) (essentially the blueprint for the State's national civil aviation security system) consistent with the State's acceptance of the provisions of the Annexes to the Chicago Convention (primarily Annex 17 - Security - Safeguarding International Civil Aviation Against Acts of Unlawful Interference), as well as the establishment and designation of a State organization as the appropriate authority responsible for national civil aviation security. The primary aviation security legislation should also address the necessary legal authority and powers to ensure compliance by all stakeholders with these provisions.
As the primary source of SARPs for the establishment and management of a State's national civil aviation security system, Annex 17 addresses preventive and responsive security measures for which the State's appropriate authority for aviation security is responsible, as well as responsibilities for oversight and quality control measures over all aspects of a State's national civil aviation security system, including responsibilities related to security measures for airports, aircraft, passengers and their cabin and hold baggage, cargo and mail, standards for the training and qualification of security personnel and measures relating to effective response to acts of unlawful interference. Other Annexes to the Chicago Convention have a bearing on a State's national civil aviation security system, most notably Annex 9 - Facilitation, which addresses the facilitation of customs and immigration procedures, passenger and crew identification and management and other border-crossing formalities. Annex 9 impacts the management of a State's national civil aviation security system through the control procedures used by government agencies that are responsible for the security of national borders, for example, through the specification of verification measures pertaining to travel documents used by passengers and crew.
The fundamental challenge in the establishment and management of a national civil aviation security oversight system is to create a security regime that is highly effective in preventing acts of unlawful interference, but does not unduly inhibit the growth of civil aviation, interfere with its efficiency and productivity, impose excessive costs, create unwarranted operational inconveniences, or intrude unnecessarily into private rights or civil liberties.
The manual entitled Oversight Manual, Part C - The Establishment and Management of a State's Aviation Security Oversight System (Doc 9734) was developed by the ICAO Secretariat as a result of Assembly Resolution A36-20 of the 36th Session of the ICAO Assembly (18 to 28 September 2007) and the decision of the ICAO Council to ensure the continuation of the Universal Security Audit Programme (USAP) following the initial cycle of audits at the end of 2007 focusing, wherever possible, on a State's capability to provide appropriate national oversight of its aviation security activities through the effective implementation of the CEs of an aviation security oversight system. This manual was developed by the ICAO Secretariat for the transition of the USAP to a continuous monitoring approach as directed under Assembly Resolution A38-15 - Consolidated statement of continuing ICAO policies related to aviation security, and is published under the authority of the Secretary General.
In order to keep this manual relevant and accurate, suggestions for improving it in terms of format, content or presentation are welcome. Any such recommendation or suggestion will be examined and, if found suitable, will be included in the next edition of this manual. Regular revision will ensure that this manual remains both pertinent and accurate.