ICAO–AENA Seminar on Airport Management: Security and Quality Antigua, Guatemala, 14 - 18 October 2002 ICAO AVSEC Programme Michiel Vreedenburgh ICAO Regional Officer Aerodromes & Ground Aids North American, Central American and Caribbean Regional Office - Mexico

2001 Security Statistics 21 acts of unlawful interference 7 unlawful seizures 2 attempted seizures 4 facility attacks 4 attempted facility attacks 2 in-flight attacks 1 attempted in-flight attack 1 attempted sabotage 301 passenger & 44 crew fatalities

Launch Pads to Security New Dimensions Continuous strengthening 1970 Assembly Hijackings Annex 17 2002 Conference 2001 Assembly On September 11, 2001, aircraft were used as weapons of destruction, instigating a whole new dimension of threat The ICAO Assembly met just two weeks later and adopted Resolution A33-1, Declaration on misuse of civil aircraft as weapons of destruction and other terrorist acts involving civil aviation This Resolution calls on States to strengthen preventive measures,achieve full implementation of ICAO SARPs and the multilateral conventions on AVSEC, enhance cooperation, and ensure severe punishment for infringement The Resolution also called on ICAO to convene an AVSEC Conference at an early date and this High Level, Ministerial Conference on Aviation Security met in Montreal on 19 and 20 February 2002 to endorse a global strategy for strengthening AVSEC worldwide Aircraft as Weapons of Destruction

AVSEC Section Mission Mission statement: To develop aviation security principles, communicate and promote such principles worldwide and assist ICAO Contracting States in implementing them.

AVSEC Technical Programme Annex 17 adopted in 1974 (1st Edition) Recent edition: 7th Ed April 2002 (10 amendments)

AVSEC Technical Programme ICAO Security Manual (Doc 8973/5) Published 1971, revised 1983, 1987, 1992 and 1996 New update being finalised

ICAO AVSEC Programme Implementation Regional AVSEC Seminars (since 1973) Technical Assistance Projects (since 1977) Regional AVSEC Coordinators Mechanism for Financial, Technical and Material Assistance to States (since 1989) Short-Term Expert Programme

Aviation Security Activities 139 Mechanism States 120 States visited - Technical Reports 35 States received follow-up missions Average of 50 training events per year More than 210 training events since inception in 1989 More than 4,200 participants in total 10 Aviation Security Training Centres (ASTCs) Brussels/Moscow/Kiev/Casablanca/Dakar/ Nairobi/Amman/Penang/Port of Spain/Quito To date, assessment of States’ security posture, upon request, has been carried out under the Aviation Security Mechanism. One hundred and twenty States have been visited for comprehensive technical evaluations based on Annex 17 and 35 States have received follow-up missions. Furthermore, over 210 training events have been organized in all regions for more than 4,200 participants. There is no doubt that direct aviation security assistance provided to States under this programme was global and considered to be useful by all parties involved.

Sabotage of aircraft and airport facilities

Hijacking of Aircraft

Armed attacks on airports Attacks against air carrier premises & Attacks against air carrier premises

ICAO Countermeasures Philosophy Civil Aviation shall operate from a safe and secure environment free from unlawful interference

ICAO Countermeasures Philosophy States shall develop and implement such legislation and procedures as are necessary to ensure that there is a safe and secure environment

ICAO Countermeasures Philosophy The security standards put in place shall be consistent with Standards and Recommended Practices as promulgated by ICAO

ICAO Countermeasures Philosophy These standards shall be adequate to meet the threat

COMMON PROBLEMS Lack of national AVSEC programmes

COMMON PROBLEMS Lack of national legislation Lack of national AVSEC programmes Lack of national legislation

COMMON PROBLEMS Lack of national legislation Lack of national AVSEC programmes Lack of national legislation Lack of training programmes

COMMON PROBLEMS Lack of national legislation Lack of national AVSEC programmes Lack of national legislation Lack of training programmes Division of responsibility

COMMON PROBLEMS Lack of national legislation Lack of national AVSEC programmes Lack of national legislation Lack of training programmes Division of responsibility Lack of coordination

COMMON PROBLEMS Lack of national legislation Lack of national AVSEC programmes Lack of national legislation Lack of training programmes Division of responsibility Lack of coordination Lack of contingency planning

COMMON PROBLEMS Lack of national legislation Lack of national AVSEC programmes Lack of national legislation Lack of training programmes Division of responsibility Lack of coordination Lack of contingency planning Inadequate implementation of SARPs

Actions by ICAO since Events of 11 September 2001 Revision of Annex 17 was given greater urgency by the events of September 11.

ICAO Assembly 33rd ICAO General Assembly held in Montreal from 25 September to 5 October 2001 Passed Assembly Resolutions 33/1 and 33/2 33/1 Declaration on misuse of civil aircraft as weapons of destruction and other terrorist acts involving civil aviation 33/2 Consolidated statement of continuing policies related to the safeguarding of international civil aviation against acts of unlawful interference

ICAO Assembly (cont’d) The Assembly (and AVSECP/12) considered new security measures including: locking of cockpit doors application of Annex 17 to domestic flights background checks and security controls on staff The AVSEC Panel also met in emergency session during the Assembly These new measures are included in Amendment 10 to Annex 17

ICAO Assembly (cont’d) Further comprehensive review of Annex 17 to facilitate audit programme Review of AVSEC legal instruments Security Audit Programme Convening of High-level, Ministerial Conference on Aviation Security

Amendment 10 to Annex 17 Review of Annex 17 conducted by the ICAO Aviation Security Panel (AVSECP) 7th Edition of Annex 17 incorporating Amendment 10 was published in April 2002 and became applicable on 1 July 2002 During the next 30 minutes, we will review the recent changes with regard to Aviation Security, The review of Annex 17 was conducted by the ICAO Aviation Security Panel during the tenth and eleventh meetings held in Montreal from 11 to 14 April 2000 and from 2 to 6 April 2001 respectively

Amendment 10 New definitions: aircraft security check background check human factors and human performance security restricted area unidentified baggage aircraft security check (S. 4.2.1) background check (S. 3.4.2, 4.7.2) human factors and human performance (RP 2.4.2, S. 3.1.7) security restricted area (S. 4.7.1) unidentified baggage (RP 4.4.10)

Amendment 10 Seventeen new Standards Eight new Recommended Practices Seven Recommended Practices upgraded to Standards It is interesting to note that, prior to 11 September 2001, the AVSEC Panels Ten and Eleven recommended: Six new Standards Seven new Recommended Practices Three Recommended Practices upgraded to Standards

Amendment 10 application of Annex 17 measures to domestic flights Requirement for the application of Annex 17 measures to domestic flights to the extent practicable (S 2.1.3)

Amendment 10 national quality control Requirement for National, Airport and Airline security programmes to be WRITTEN and IMPLEMENTED (S 3.1.1, S 3.2.1 and 3.3.1) Requirement for national quality control programme to be implemented by State (S 3.4.4) Requirement for National AVSEC Committee - implying the need for greater coordination (S 3.1.6) Requirement for Contingency plans to be exercised on a regular basis - as with Annex 14 for emergency plans (S 3.2.4) Requirement for background checks, selection procedures, training and certification of security staff (S 3.4.1 upgraded from existing RP, S 3.4.2 and S 3.4.3) Recommendation that States accept the ICAO model operators security programme as internationally acceptable (RP 3.3.2)

Amendment 10 International cooperation Requirement for sharing of threat information and the treatment of such information (S 2.3.4 and S 2.3.5)

Amendment 10 measures relating to security of aircraft Requirement for the checking of aircraft to ensure that disembarking passengers do not leave items on board at transit stops (S 4.2.2) Requirement that adequate measures are taken to prevent unauthorized access to the cockpit (S 4.2.3)

Amendment 10 measures relating to passengers and their cabin baggage Requirement for the screening of passengers and their hand baggage (S 4.3.1) (Always implied before but never actually directly stated.)

Amendment 10 measures relating to checked baggage Requirement for additional security controls for hold baggage (S 4.4.1 and S 4.4.2) Requirement for screening of all originating checked baggage from 1 January 2006 (S 4.4.8) Requirement that transfer bags be subjected to appropriate security controls (S 4.4.6) and authorized for carriage (S 4.4.7)

Amendment 10 measures relating to access control Requirement for establishment of security restricted areas with procedures and ID systems for access (S 4.7.1) and for background checks and appropriate security controls for those entering (S 4.7.2, RP 4.7.4, RP 4.7.5 and RP 4.7.6)

Amendment 10 management of response to acts of unlawful interference Upgrading requirement for pilot in command to be notified of armed persons on board (S 4.6.4) Upgrading requirement for operators to have measures for dealing with deportees (S 4.6.5) recommendation that States should provide information during an act of unlawful interference to assist in its resolution (RP 5.2.7)

Amendment 10 code-sharing / collaborative arrangements Recommendation on collaborative arrangements requiring the notification of such to the appropriate authority (RP 3.3.3)

Amendment 10 human factors principles Recommendation 2.4.2 “Each Contracting State should ensure that the development of new security equipment takes into consideration Human Factors principles”. Standard 3.1.7 (formerly 3.1.16) has been strengthened to require training programmes to include training of AVSEC personnel in human performance. References made to the Human Factors Digest - Human Factors in Civil Aviation Security Operations, and to Part 1 Chapter 4 of the Human Factors Training Manual (Doc 9683) New section on Quality Control: S 3.4.2 performance standards, S 3.4.3 certification of security personnel, RP 3.4.7 States should look at the overall system performance of AVSEC systems HF Implied in RPs 2.3.6 and 2.4.1 with regard to promotion of research and development of security equipment.

Amendment 27 to Annex 6 Part I Chapter 13 Security – applicable 28 Nov. 2002 Strengthened flight crew compartment door (Recommendation – Standard 1 Nov. 2003) Locking of door during flight Monitoring of area outside door Communications with flight crew Aircraft search inspection Security training programme Applicable to domestic operations aircraft security check (S. 4.2.1) background check (S. 3.4.2, 4.7.2) human factors and human performance (RP 2.4.2, S. 3.1.7) security restricted area (S. 4.7.1) unidentified baggage (RP 4.4.10)

High-level, Ministerial Conference Montreal, 19 to 20 February 2002 Endorsed ICAO Aviation Security Plan of Action, including regular, mandatory, systematic and harmonized audits of aviation security

AVSEC Audit Programme Programme based on existing methodologies Aims to promote compliance with Annex 17 Aims to assist States to introduce good national quality control programmes

13th Meeting of AVSEC Panel April 2002 Security Strategic Objective No. 9 “To develop a detailed programme for the implementation of an ICAO Universal Security Audit” WP 13 proposed that “The efficiency and effectiveness of civil aviation security to counter terrorist threats is critically dependent on the people in the system. Bearing this in mind, Human Factors knowledge should be applied to maximize performance of the system” five priority areas were identified, with recommendations that appropriate training and guidance material be developed.

Further amendments to Annex 17 AVSECP/14 in September 2002 AVSECP/15 in March 2003 Revision to make SARPs more “auditable” AVSECP/13 will consider further changes to inputs from working groups on new and emerging threats to civil aviation, categorization of Standards into “critical”, “non-critical”, “administrative” and “organizational” with regard to the conduct of audits, and consider further guidelines for the conduct of the audit programme. AVSEC P/14 will focus on revision of Annex 17 to make SARPs more “auditable”.

ICAO Security Manual Revision in progress Sixth Edition to be finalised in 2002 Updated with regard to new SARPs Inclusion of more “job aids” Currently being revised by AVSEC Section in coordination with an AVSEC Panel Working Group Doc 8973/6 target date for draft is September 2002, in time for AVSECP/14, draft to be for approval later this year.

Where to from here?

Preventive Measures - Key Concepts Future ICAO AVSEC Developments Aviation Security Plan of Action Universal Security Audit Programme Aviation Security Regional Units GREPECAS AVSEC Committee

AVSEC Plan of Action AVSEC audit programme New and emerging threats Identification, analysis, assessment, risk management methodology and development of response Strengthened AVSEC SARPs Annex 17 Security Manual Annexes 1, 6, 8, 11, 14 & 18

AVSEC Plan of Action Review of legal instruments and air navigation procedures Expedited work on machine readable travel documents and biometrics ASTPs & ASTCs Seminars, exercises & workshops AVSEC Mechanism Technical Cooperation Projects

AVSEC Audit Programme Civil aviation security programmes Airport security arrangements References – ICAO USOAP, ECAC and US AVSEC audit programmes Baseline – Annex 17 Standards

AVSEC Audit Programme Programme documentation Security Audit Reference Manual (SARM) based on Annex 17 Standards Memorandum of Understanding Pre-audit questionnaire Auditor training programme based on SARM and Security Manual – basic/conversion Auditor certification documentation

AVSEC Audit Programme Audit Methodology Transparency and harmonization secondment of experts from States training & certification of auditors Confidentiality of reports Selection of States – regional balance, known concerns, State requests Selection of 1 – 3 (2%) International Sample Airports – pax, flights, ops types

AVSEC Audit Programme Programme Implementation Aviation Security Audit Unit Phase 1 began in Sept. 2002 with 1 course and 1 State audit in each region Audits to commence in Nov. 2002 3 year audit cycle/63 audits per year 5 year audit cycle/38 audits per year 7 – 10 professional staff Special Service Agreements (SSAs) & long-term secondments from States

AVSEC Audit Programme Audit follow-up assistance activities Technical Cooperation AVSEC Mechanism

AVSEC Regional Units ICAO Council recently approved the creation of ICAO Regional AVSEC Officer positions in ICAO Regional Offices

GREPECAS AVSEC Committee 1st Meeting – Lima, Peru – August 2002 Draft Conclusions & Decisions AVSEC/COMM Composition AVSEC/COMM Terms of Reference AVSEC/COMM Coordination with LACAC ICAO Regional AVSEC Officers AVSEC Survey Questionnaire AVSEC/COMM/2 Meeting

Final Thoughts Is priority Number 1 Has synergy with safety Must not significantly impede the flow of passengers, freight, mail or aircraft Must be at a cost which does not drive the consumer away or place an undue burden on civil aviation

Thank You www.icao.int mvreedenburgh@mexico.icao.int 1 1 1 1