Doc 1

10001
SUPPLEMENT
Septemberr 2013

ASSE
EMBLY — THIR
RTY-EIGHTH SE
ESSION

SUPPLLEMENTAR RY REPORRT ON ACT

TIVITIES O
OF THE
ORGANNIZATIONN IN THE F
FIRST HALLF OF 2013
3 AND
REVIEW OF ACT TION TAKEEN ON RES
SOLUTION NS OF
THE 37
7th SESSIION OF TH
HE ASSEMBBLY

STRATE
EGIC OBJEC
CTIVE A: SA
AFETY

Air Naviga
ation

Updating th
he Global Air Navigation
N Plan
n

The develo opment of the Fourth

F Edition of the Global Air
A Navigation Plan (GANP)
was completed. The GA ANP contains, for the first tim
me, the conceppt of aviation
system bloock upgrades as
a part of the planning proces ss. The Counci l adopted the
fourth edition of the GANP in June.

Aviation fre
equency spectrrum

Aeronauticcal CNS functio ons are critical to the safety and efficiencyy of aircraft in
flight and require interference-free acc cess to a sizab ble portion of the available
radio frequency spectru um. International provisions s for frequen cy spectrum
manageme ent are updated during World W Radioco ommunication Conferences
(WRCs) he eld by the Intternational Telecommunicatio on Union (ITU U) every four
years. Thee ICAO Position n on the aviatio
on-relevant ageenda items to bbe addressed
at WRC-15 5 was approved d by Council onn 27 May 2013 3.

PIRG-RAS
SG Global Coorrdination Meetiing

A Global Coordination Meeting of Planning and Implementatiion Regional

Groups (P PIRGs) and Regional
R on Safety Groups (RASGs) was held in
Aviatio
Montréal ono 19 March 2013 under th he Chairmansh hip of the President of the
Council. It was attended by Chairs and Secretaries of PIRGs and RASGs, the
Secretary General,
G the Dire
ector and Deputty Directors of th
he Air Navigatio
on Bureau, as
well as the President and First Vice-President of the Air Navigation Commmission. The
main outcoomes of the me eeting include the establishment of regio onal priorities

1
2 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

and recognition of the need for air navigation and safety targets consistent with
the GANP and the Global Aviation Safety Plan (GASP). In addition, the regional
performance dashboard prototype was endorsed.

Safety Management

Development of Annex 19

A proposal for a new Annex on Safety Management, Annex 19, was delivered by
the Safety Management Panel as an outcome of its special meeting in February.
On 25 February 2013, the ICAO Council adopted Annex 19 to the Chicago
Convention dedicated to Safety Management. The creation of Annex 19 results
from a recommendation of the High-level Safety Conference held in Montréal
during 2010. This new Annex consolidates existing provisions related to State
safety programmes and safety management systems into a single Annex. The
development of this new Annex was accomplished over the past three years
through close collaboration between ICAO, its Member States and international
organizations.

The establishment of Annex 19 supports the continued evolution of a proactive

strategy to improve safety. The foundation of this proactive safety strategy is
based on the implementation of a State Safety Programme (SSP) that
systematically addresses safety risks. Factors that affect the time required to
establish an SSP include the complexity of the air transportation system as well
as the maturity of the aviation safety oversight capabilities of the State.

The publication of Annex 19 will be accompanied by a roll-out plan, including the

publication of the third edition of the Safety Management Manual (SMM)
(Doc 9859). This latest edition is restructured and updated to support Annex 19,
with one of the four chapters dedicated to guidance on State Safety Programmes.
The Safety Management website (http://www.icao.int/Safety/SafetyManagement)
has been updated and an update to the safety management training material is
also in progress.

Annex 19 will become applicable on 14 November 2013.

Updating the Global Aviation Safety Plan (GASP)

The update of the Global Aviation Safety Plan (GASP) was completed and
approved by the Council in July 2013. The changes that the GASP has
undergone were driven mainly by its strengthened role as a high-level policy,
planning and implementation document guiding complementary and sector-wide
air transport progress in conjunction with the ICAO Global Air Navigation Plan
(GANP). The GASP incorporates the progress in the implementation of proactive
safety management practices in both States and industry and is aligned with
ICAO’s strategic planning process.
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 3
Safety Information Protection

The collection, analysis and exchange of safety information are essential

components to attain the GASP objectives. The success of these information
sharing mechanisms depends, in part, on the existence of effective legal
safeguards that afford appropriate protection to the data and related sources
without impeding necessary and appropriate use, thereby encouraging
meaningful reporting and analysis processes that proactively address safety
issues.

The Safety Information Protection Task Force (SIP TF) has made
recommendations which will inform the related work of the Safety Management
Panel and other groups of experts.

Safety Oversight

Further to Resolution A37-5, the evolution of the Universal Safety Oversight Audit
Programme (USOAP) to a Continuous Monitoring Approach (CMA) continued in
line with the two-year transition plan approved by the Assembly. All activities
required for a full launch of CMA in January 2013 were completed.

During the reporting period, 89 participants from 12 States and 5 international

organizations received the USOAP auditor/ICVM training, and 92 participants
from 14 States and 5 international organizations received the familiarization
training.

In addition, ICAO conducted 7 seminar/workshops in all ICAO regions to assist

States in their preparation for CMA. The seminar/workshops were attended by
349 participants from 110 States and 7 international organizations.

ICVMs were conducted in 16 Member States to determine whether previously

identified safety deficiencies had been satisfactorily resolved. In addition, three
comprehensive system audits were conducted during this period.

Aerodrome Safety

Runway Safety

Under the Global Runway Safety Symposium 2011 framework, and with support
from ICAO’s runway safety programme partners, two regional runway safety
seminars were delivered in the first half of 2013 — in Agadir, Morocco and St.
John’s, Antigua and Barbuda.

First ICAO-ACI Aerodrome Certification Course Delivered

In line with the Memorandum of Cooperation between ICAO and ACI and the
Memorandum of Understanding between ICAO and ACI for Airport Management
4 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

Training, ICAO and ACI have collaboratively developed a training course on

aerodrome certification aimed at enhancing aerodrome safety and efficiency
globally. The first course was successfully delivered from 13 to 17 May 2013 at
the ICAO Headquarters in Montréal. This course will also be one of the electives
for the joint ACI-ICAO Airport Management Professional Accreditation
Programme (AMPAP).

Accident Investigation

Approval of ICAO Policy on Assistance to Aircraft Accident Victims and their

Families

Acknowledging that further action was necessary to promote assistance to

aircraft accident victims and their families, the Council approved in March 2013
an ICAO policy document on this subject. The ICAO Policy on Assistance to
Aircraft Accident Victims and their Families (Doc 9998) sets out policies
regarding the provision of assistance to accident victims and their families,
encouraging States to incorporate these policies when planning, developing and
implementing their relevant legislation, regulations and/or policies. Doc 9998
addresses States’ legislation, regulations and/or policies, structure of family
assistance plans, and also identifies the main groups of family assistance
providers.

E-Library of final accident and investigation reports

Work on the E-Library of final accident and investigation reports was concluded
in the first half of 2013. The E-Library will be located on the AIG website,
accessible through the ICAO public website. In this way, safety lessons learned
during investigations and information captured in Final Reports received by ICAO
will be available to a wide audience, including air operators, airport operators, air
traffic service providers, accident/incident investigators and other interested
parties.

Dangerous goods — State oversight responsibilities

Annex 18 — The Safe Transport of Dangerous Goods by Air was amended to

clarify that all entities performing dangerous goods functions, including shippers,
packers and freight forwarders, are subject to State oversight. The need for this
amendment was prompted by safety oversight audits which revealed that many
States were unaware of their oversight responsibilities beyond those of the
operator. Shippers play a critical role in ensuring dangerous goods are
transported safely as it is they who are responsible for correctly classifying,
packing and consigning such cargo. The need for effective oversight
programmes of everyone in the dangerous goods supply chain is therefore
essential.
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 5
Training

TRAINAIR PLUS Programme

The TRAINAIR PLUS Programme currently includes 55 members; 16 Full

Members that have developed Standardized Training Packages (STPs) and 39
Associate Members. The programme requires applicants to comply with
assessment criteria and to successfully complete an on-site assessment
addressing essential elements for the establishment and management of training
organizations. Seven assessments of new applicants were conducted during the
first quarter of 2013.

ICAO developed an electronic management system, the TRAINAIR PLUS

Electronic Management System (TPeMS), to support members with procedures,
processes and interactions. Also through the TPeMS, the STP virtual library is
managed. The library contains 22 STPs.

ICAO, in coordination with the TRAINAIR PLUS network, organized eight

Training Developers Courses in the first quarter of 2013.

Next Generation of Aviation Professionals (NGAP)

With the help of the Next Generation of Aviation Professionals Task Force (TF),
ICAO has developed a clear vision and mission for the NGAP Programme based
on tangible and achievable results with specific deliverables and timelines. The
programme objectives focus on: collaborative partnerships; human resources
planning; attracting and retaining the next generation of aviation professionals;
research; and harmonized implementation. ICAO organized three Regional
NGAP-TRAINAIR PLUS symposiums in the first semester 2013 with more than
800 participants from various regions.

Language Proficiency Requirements and

the Aviation English Language Test Service (AELTS)

ICAO hosted the Language Proficiency Requirements (LPRs) Technical Seminar

in Montréal, from 25 to 27 March 2013 to support States in complying with ICAO
language provisions. The event was attended by 142 participants from
37 Member States, 7 international organizations and 37 industry participants.

Technical cooperation projects and activities

During the 1 January to 30 June 2013 period, there were 70 national and
23 regional active technical cooperation projects contributing to further improving
aviation safety around the world. Major achievements over the period included:
6 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

Caribbean and South American (CAR/SAM) Region

— Extension of the MEVA II service contract for the provision of satellite-

based operational aeronautical telecommunications services as
required by the ICAO Member States and international organizations of
the Central Caribbean region and adjacent areas;

— Assistance with reviewing and resolving air traffic management (ATM)-

related deficiencies for one State;

— Signature of a contract for the procurement of primary and secondary

radars for one State;

— Provision of simulator pilot training to DGCA personnel of one State;

— Assistance in the revision of the Civil Aviation Regulations of one State;

— Assistance in the certification of Airline Transport Pilot Licenses (ATPL)

training programmes for one State;

— Assistance in the preparation of a compliance report related to

inspections of foreign aircraft;

— Update of the Aircraft Accident Investigation Manual for one State;

— Assistance to one State in the implementation of ICAO Standards and

Recommended Practices in the areas of airworthiness, personnel
licensing and flight operations;

— Assistance in the development and delivery of basic aeronautical

personnel licensing training courses for one State;

— Development and revision of personnel licensing, airworthiness and

flight operations manuals for one State;

— Assistance in the maintenance of airworthiness equipment for one State;

— Assistance in the preparation of documentation for national inspectors

of one State to attend the FAA IASA Programme Audit Team;

— Training in the area of flight operations for national personnel of one

State;

— Conduct of safety oversight inspections under the continuous monitoring

approach for one State;

— Continued assistance to seven States with the provision of expertise in

the areas of communication, navigation and surveillance (CNS), air
traffic management (ATM), flight operations, human factors, accident
investigation, institutional strengthening and airport planning;
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 7
— Procurement of state-of-the-art equipment to update CNS facilities and
systems in one State;

— Implementation of automated flight plan procedures in one State;

— Assistance in the continued implementation of the Caribbean and South

American (CAR/SAM) Regional Air Navigation Plan and Facilities and
Services Implementation Document (FASID) in one State;

— Acquisition, installation and maintenance of equipment for one State,

such as voice switching, very high frequency (VHF) communications
systems, including automatic terminal information services (ATIS) for
approach and aerodrome control, VHF communication equipment for
area control, aeronautical telecommunications network (ATN), radio
links, audio recording system associated with the ATC voice control
system (VCS), instrument landing systems (ILS), VHF omnidirectional
radio range (VOR), air traffic management (ATM) system, aerodrome
flight information service (AFIS), geographic information system (GIS)
and distance measuring equipment (DME); and

— Repair of a runway sweeper for one State.

Africa-Indian Ocean (AFI) Region

— Increased availability of air traffic services in one State;

— Assistance in the implementation of corrective action plan items in three

States;

— Delivery of training to aerodrome operators in one State and to

aerodrome inspectors in two States;

— Development of technical guidance material on aerodromes for one

State;

— Completion of a new Civil Aviation Bill for one State;

— Continued assistance in the operations of the Banjul Accord Group

Aviation Safety Oversight Organization (BAGASOO);

— Continued assistance in the establishment of the SADC Aviation Safety

Organization (SASO);

— Development of Aeromet regulations, guidance and training materials

for four States;

— Analysis of documentation supporting the certification of an aircraft

certification and related discussions with the manufacturer for one State;
8 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

— Conduct of a gap analysis on the aircraft accident investigation systems

of three States; and

— Assistance to one State for the readout of the flight recorders and
examination of the engine following an occurrence involving an aircraft.

Asia and Pacific (APAC) Region

— Continued assistance to 24 States and Special Administrative Regions

(SARs) in the fields of safety oversight through three regional
Cooperative Development of Operational Safety and Continuing
Airworthiness Programmes (COSCAP) towards resolution of significant
safety concerns, USOAP-identified deficiencies and other safety-related
findings, as well as in the transition to the USOAP continuous
monitoring approach (CMA), including inspector training and other
safety-related seminars; participation in the Asia-Pacific Regional
Aviation Safety Team (APRAST) including facilitation of the three ad
hoc working groups on controlled flight into terrain (CFIT), loss of control
(LOC) and runway safety (RS); and participation in the Regional
Aviation Safety Group (RASG);

— Continued assistance to 23 States and SARs with improvement of flight

procedures through preparation of documents and training courses
including the conduct of one PAN-OPS Procedure Design Initial Course,
one Procedure Design Instructor Course and the implementation of the
ICAO Council Decision, endorsed by the Flight Procedure Programme
(FPP) Steering Committee, to integrate the FPP into the newly
established Regional Sub-Office in Beijing, China;

— Continued assistance to 20 States and SARs through the Collaborative

Arrangement for the Prevention and Management of Public Health
Events in Civil Aviation – Asia Pacific (CAPSCA-AP) through seminars
and on-the-job training in pandemic preparedness planning and airport
evaluations including a two-day CAPSCA Assistance Visit (AV) in a
State which was attended by 40 participants;

— Enhancement of the safety oversight capability of one Civil Aviation

Authority in the areas of aerodromes, flight safety and air navigation
services, including, inter alia, proposed revisions to Civil Aviation Safety
Regulations, Staff Instructions and Advisory Circulars, and provision of
advice on initial certification of the new single air navigation service
provider (ANSP);

— Preparation of a modernization plan for a training institution which

included, among others, the conduct of a training needs analysis, review
of syllabi and of a plan for introduction of a quality management system
(QMS);
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 9
— Conduct of a gap analysis against ICAO Annex 14 — Aerodromes for a
new airport site in one State;

— Assistance to one State and its ANSP in the implementation and

operational application of automatic dependent surveillance (ADS-B)
technology;

— Assistance to an airport operator in the conduct of an internal safety

audit programme in preparation for the renewal of its regulatory
aerodrome certification;

— Delivery of a five-day air navigation services safety oversight course in

one State, which was attended by 27 personnel from various disciplines
within the Department of Civil Aviation; and

— Delivery of training courses in the areas of dangerous goods,

aerodrome certification, safety management system, safety oversight
managers, doppler VOR/distance measuring equipment (DVOR/DME)
maintenance, instrument landing system (ILS) maintenance, air
navigation policy, airport operations, electronic safety tools, and
performance-based navigation (PBN) under the Developing Countries
Training Programme to 236 national staff of 62 States.

Europe and Middle East (EUR/MID) Region

— Continued assistance to one State to enhance its capability in flight

operations, airworthiness, aviation accident and incident investigation,
communications, navigation and surveillance/air traffic management
(CNS/ATM), airports, air transport economy, fire fighting and rescue
(RFF) and human resources training;

— Continued assistance to one State in the areas of safety oversight (flight

operations), aviation medicine and personnel licensing;

— Continued assistance to three States to enhance their oversight

capability in flight operations;

— Support to one State regarding its corrective action plan and provision
of capacity building to rectify Significant Safety Concerns (SSCs);

— Continued assistance through three regional projects to enhance the

safety and efficiency of air transport in 27 participating States;

— Assistance to one State to carry out dangerous goods inspection/

audit/surveillance functions; and

— Continued assistance to the national accident investigation team of one

State.
10 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

STRATEGIC OBJECTIVE B: SECURITY

Aviation Security Panel

The Aviation Security Panel conducted its 24th meeting at ICAO Headquarters in
Montréal in April. Among key developments, the Panel updated the global Risk
Context Statement that was first developed in 2011, and agreed on proposed
new Standards and Recommended Practices (SARPs) for Annex 17 — Security.
These include provisions that will further strengthen cargo and mail security,
oversight requirements and international cooperation, as well as measures for
dealing with landside and cyber threats.

The Council approved the Panel’s recommendations, including the draft

Amendment 14 to Annex 17, and the proposed Amendment was circulated to
States for comment by 2 October 2014. Amendment 14 is expected to become
applicable in late 2014.

Revised guidance material on air cargo and mail security was made available to
States in the form of an amendment to the Aviation Security Manual
(Doc 8973/8), and is accessible (in English) at ICAO’s secure website. The
updated material is being translated into all ICAO languages.

Annex 9 — Facilitation

Amendment 23 to Annex 9 — Facilitation became applicable in February 2013.

The Amendment focuses on Appendix 13 to Annex 9 and is intended to enhance
passenger data sharing and efficient responses to a pandemic or large-scale
epidemic.

Universal Security Audit Programme (USAP)

The second cycle of audits was launched in January 2008 and was completed at
the end of June 2013. It focused on identifying aviation security concerns in
ICAO Member States, making recommendations for their resolution and
providing on-site assistance.

Fifteen ICAO USAP audits were carried out in 2013, bringing the total number of
second-cycle audits conducted to 178, including 177 Member States and one
Special Administrative Region of China (SAR). Figure 1 shows global audit
results as they relate to the implementation of the critical elements of an aviation
security oversight system.

In 2013, a USAP auditor participated in two joint missions with the

Implementation Support and Development — Security (ISD-SEC) Section, one
each to Chad and Djibouti. In addition, two ICAO Coordinated Validation
Missions took place in 2013, validating actions taken by two States to resolve
their Significant Security Concerns (SSeCs). Over the course of 2013, two new
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 11
SSeCs involving one State were posted to the USAP secure website. As at
30 June there remained seven unresolved SSeCs in four States.

In 2012, the 197th Session of the Council formally approved the evolution of the
USAP to a Continuous Monitoring Approach (USAP-CMA) and the associated
transition plan. The work necessary to transition to the USAP-CMA is currently
underway and will continue through the end of 2014, with full-scale
implementation beginning in early 2015.

Aviation Aviation State Personnel Provision of Certification, Quality Resolution

security security appropriate qualifications technical and approval control of security
legislation programmes authority for and training guidance, obligations obligations concerns
and aviation tools and
regulations security security-critical
information

Figure 1. Global audit results —

level of implementation of the critical elements of a security oversight system

International Assistance and Cooperation

ICAO has endorsed two additional Aviation Security Training Centres (ASTCs) in
order to address the continuing need for global and regional AVSEC training.

ICAO also supports the Singapore Aviation Security Leadership and

Management Seminar (LAMs) with the Singapore Aviation Academy. This
seminar provides Directors-General and CEOs from States with strategic
knowledge and insights to meet security challenges and priorities in today’s
aviation environment.
12 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

In April 2013, ICAO and The International Air Cargo Association (TIACA) signed
a Declaration of intent to strengthen their cooperation on technical matters.
Under the terms of the agreement, ICAO and TIACA will work more closely on air
cargo and mail security and facilitation, accelerating the evolution from paper-
based to electronic practices.

ICAO Traveller Identification Programme (TRIP)

The Council approved a new strategy, known as the ICAO Traveller Identification
Programme (TRIP), in order to establish a strategic orientation and key outcomes
for ICAO’s and States’ activities in traveller identification management. The TRIP
Strategy emphasizes a holistic approach to identification management in order to
maximize security and facilitation benefits.

In 2013 a workshop on travel document security and identity management was

held in Colombia in April for the Andean States government officials from diverse
agencies. Gap assessment missions also took place in Saint Lucia and Trinidad
and Tobago.

The ICAO Public Key Directory, a service that enables secure verification of
ePassports by border control authorities, had grown to 38 members by the end of
June.

Technical cooperation projects and activities

During the 1 January to 30 June 2013 period, there were ten national and one
regional active technical cooperation projects which assisted civil aviation
administrations and international airports to improve their security systems. Major
achievements over the period included:

Caribbean and South American (CAR/SAM) Region

— Assistance with the installation, maintenance, support and training in the

use of software related to SMART systems (information, passive and
active equipment) for the international airport of one State;

— Continued software support for check-in and boarding systems in one

State;

— Provision of training in crisis management to DGCA personnel of one

State; and

— Assistance in the preparation of the National Aviation Security Training

Programme for one State.
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 13
Africa-Indian Ocean (AFI) Region

— Conduct of airport security inspections in two States;

— Update and development of aviation security regulations for two States;

— Development of aviation security guidance material for two States; and

— Provision of aviation security training to DGCA personnel of one State.

Asia and Pacific (APAC) Region

— Continued assistance to 24 States and Special Administrative Regions

(SARs) in the field of aviation security through the regional Co-operative
Aviation Security Programme (CASP), including technical assistance to
Member States and administrations with rectification of USAP-identified
deficiencies and other aviation security-related findings, as well as
provision of inspector and other security-related training, including the
First CASP-AP Annual Technical and Operational Meeting, an Aviation
Security Legal Seminar, an Air Traffic Services Provider Security
Provisions Workshop and a Specialized Aviation Security Quality
Control Workshop; and

— Delivery of two training courses, entitled AVSEC National Inspector and

Legal Aspects of Aviation Security, respectively, under the Developing
Countries Training Programme to 32 national personnel of 26 States.

Europe and Middle East (EUR/MID) Region

— Procurement of AVSEC equipment for one State.

STRATEGIC OBJECTIVE C: ENVIRONMENTAL PROTECTION

AND SUSTAINABLE DEVELOPMENT OF AIR TRANSPORT

CAEP/9

The ninth meeting of the Committee on Aviation Environmental Protection

(CAEP/9) was held from 4 to 15 February 2013. The meeting was attended by
nearly 200 participants, including 23 Members, 16 observers, and their advisors.

Regarding the aircraft noise Standard, the meeting agreed to the increase in
noise stringency of 7 EPNdB relative to the current Chapter 4 cumulative levels.
This will have an applicability to new aircraft types submitted for certification on
or after 31 December 2017, and 31 December 2020 for aircraft less than
55 tonnes. The CAEP/9 meeting also recommended a new noise Standard for
tilt-rotor aircraft. The proposed new noise Standards are currently under review
14 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

by ICAO Member States and will be considered for adoption by the Council in
2014.

The Science Focal Points appointed to report on research on acceptability of

sonic booms presented the latest research developments to the CAEP/9 meeting.

States’ action plans on CO2 emissions reduction activities and assistance

to States

By the end of June 2013, 61 Member States, representing 78.89 per cent of
global international air traffic prepared and submitted action plans to ICAO.

ICAO organized another workshop on States’ action plans in May 2013 on the
development of an action plan, review of data and the implementation of
measures selected by States in the action plan. The workshop was attended by
76 participants, including national action plan focal points. In addition, ICAO
worked directly with individual States and national focal points to provide tailored,
individual assistance to facilitate the preparation of action plans; since February
2012, this work has included over 200 conference calls with national focal points.

Sustainable alternative fuels for aviation (SUSTAF)

The SUSTAF Experts Group focused its work on the identification of the major
challenges for the deployment of sustainable alternative fuels for aviation and on
the solutions to overcome them. In particular, the issue of the sustainability of
such fuels was addressed, and the Group aimed to identify possible options
States might use to address this issue. The outcome and recommendations of
the Group were considered by the Council and were made available on the
GFAAF website.

ICAO was invited to participate in the Alternative Fuels Pavilion organized in

conjunction with Le Bourget at the June 2013 Paris Air Show. ICAO showcased
the initiatives being undertaken by the Organization on sustainable alternative
fuels for aviation. In addition, ICAO commemorated the first anniversary of the
“Flightpath to a Sustainable Future” initiative, the Secretary General’s landmark
flight from Montréal to Rio de Janeiro, on which he travelled on four connecting
flights all powered by aviation biofuels.

Market-based Measures (MBMs)

The High-level Group on International Aviation and Climate Change (HGCC) met
three times from December 2012 to March 2013 and considered various issues
related to a global MBM scheme, including: participants in a scheme; means to
accommodate special circumstances and respective capabilities; and generation
of revenue from a scheme.
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 15
Environmental Symposium

The fourth ICAO Symposium on Aviation and Climate Change, “Destination

Green” (http://www.icao.int/Meetings/Green), was held at Headquarters from
14 to 16 May, and was attended by 233 participants from 62 Member States and
23 international organizations. The Symposium was organized to facilitate well-
informed decision-making at the 38th ICAO Assembly.

The Symposium aimed at fostering a dialogue among participants on

environment and aviation matters, including noise, operations and technology,
market-based measures, States’ action plans, sustainable alternative fuels for
aviation, and financing and assistance, leading to the 38th Session of the ICAO
Assembly in September 2013.

In addition, ICAO in coordination with the Air Transport Action Group (ATAG),
developed the ICAO-ATAG joint statement, signed on 13 May 2013, to
“cooperate on the promotion of sustainable approaches to global aviation
emissions reduction”.

Work on the ICAO Environmental Report progressed on schedule.

Sixth Worldwide Air Transport Conference

The Sixth Worldwide Air Transport Conference (ATConf/6) was held in

Montréal at Headquarters from 18 to 22 March 2013. It was attended by over
1 000 delegates and observers from 131 ICAO Member States and
39 international organizations. The Conference addressed many key issues in
international air transport including taxation on air transport, the harmonization
and compatibility of regulatory approaches in respect of competition laws and
rules on air transport, as well as consumer protection matters. It also produced a
wide-ranging and comprehensive package of conclusions and recommendations
for action by States and ICAO. The Council reviewed and approved the ATConf/6
recommendations in June.

The ATConf/6 also considered the issue of night curfews and recommended that
States should respect and follow the ICAO Balanced Approach principle in
regulatory action on aircraft noise management at airports.

On 17 March, a one-day pre-ATConf/6 symposium was held for the conference

participants, who heard thought-provoking views and insightful discussions from
key aviation players and panelists regarding the major challenges and policy
options facing the aviation community for the development of air transport.

Economic analysis

The Secretariat continued its annual studies on regional differences in

international airline operating economics and provided its analysis to the IATA
16 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

Prorate Agency in January 2013 as the basis for its work in prorating passenger
revenues from interline journeys.

Based on an agreement between ICAO and the Universal Postal Union (UPU),
the Secretariat carried out an analysis of airline traffic and financial data and
delivered the results to the UPU in February 2013 for it to calculate the basic rate
applicable to the settlement of accounts between designated operators of UPU
member countries with respect to air mail conveyance.

Detailed analyses, methodologies and results of long-term passenger and freight

forecasts were published in March 2013 in Circular 333 Global Air Transport
Outlook to 2030 and trends to 2040.

The third edition of the Airport Economics Manual (Doc 9562) was published in
March 2013.

Cooperation with UNWTO

On 18 March 2013, on the occasion of the official opening of the ICAO Sixth
Worldwide Air Transport Conference, ICAO and the World Tourism Organization
(UNWTO) signed a special Joint Statement on Aviation and Tourism. The
statement acknowledged the intention of the two UN agencies to cooperate more
closely on issues of common priority. Visa facilitation, taxation, the modernization
of aviation regulations and the development of convergent rules for consumer
protection were identified as key areas for improved collaboration between the
two organizations.

Technical cooperation projects and activities

During the 1 January to 30 June 2013 period, there were four national active
technical cooperation projects related to environmental protection. Major
achievements over the period included:

Caribbean and South American (CAR/SAM) Region

— Conduct of an environmental impact study for one State related to the

construction of a new international airport;

— Conduct of a social and economic impact study related to the

international airport of one State; and

— Assistance to one State in the preparation of an action plan for the

reduction of carbon dioxide emissions in the air transport industry.
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 17
Asia and Pacific (APAC) Region

— Delivery of an Aviation Internal Auditor course under the Developing

Countries Training Programme to 12 national staff of 11 States.

Europe and Middle East (EUR/MID) Region

— Continued assistance to one State in the planning, development and

coordination of civil aviation regulatory activities.

SUPPORTING IMPLEMENTATION STRATEGIES

LEGAL SERVICES AND EXTERNAL RELATIONS

Legal issues relating to unruly passengers

The Legal Committee held its 35th Session in May and decided to transmit to the
Council a draft text of the Protocol to the Tokyo Convention of 1963 as a final
draft for presentation to States and, ultimately, to a Diplomatic Conference.
Based on the report of the Legal Committee, the Council decided to convene a
Diplomatic Conference to amend the Tokyo Convention in March 2014.

Promotion of Beijing Instruments

As of 30 June 2013, the Beijing Convention has been signed by 27 States and
ratified by or acceded to by Saint Lucia, Mali, the Dominican Republic, Guyana,
Myanmar, Cuba and Angola. The Beijing Protocol has been signed by 29 States
and ratified by or acceded to by Saint Lucia, Mali, Cuba, Guyana, Myanmar and
the Dominican Republic.

International interests in mobile equipment (aircraft equipment)

On behalf of the Council in its capacity as the Supervisory Authority of the

International Registry, the Secretariat continued to monitor the operation of the
Registry to ensure that it functions efficiently in accordance with Article 17 of the
Cape Town Convention. The sixth meeting of CESAIR took place in April 2013 at
ICAO Headquarters. The purpose of the meeting was to finalize consideration of
the changes proposed by the Registrar to the Regulations and Procedures for
the International Registry (Doc 9864) which were the subject of preliminary
discussion at the fifth meeting of CESAIR in December 2012, and to make
recommendations thereon to the Council. The Council subsequently
approved the recommended changes during its 199th Session. Pursuant to
18 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

Article 62 (2) (c) of the Cape Town Convention and Article XXXVII (2) (c) of the
Cape Town Protocol, the Council regularly receives information from the
Depositary on ratifications, declarations, denunciations and designations of entry
points. As of 30 June 2013, the Cape Town Convention and Protocol has been
ratified by or acceded to by 51 States.

Supplementary Agreement between the International Civil Aviation

Organization and the Government of Canada regarding the Headquarters of
the International Civil Aviation Organization

At the tenth meeting of its 198th Session, the Council endorsed the Draft
Supplementary Agreement between the International Civil Aviation Organization
and the Government of Canada regarding the Headquarters of the International
Civil Aviation Organization and authorized the Secretary General to sign the
Supplementary Agreement on behalf of ICAO. On 29 May 2013, ICAO and
Canada signed the new Supplementary Agreement which will come into force at
the end of 2016.

Host State Agreement for ICAO Regional Sub-Office

A Host State Agreement (HSA) with the Government of the People’s Republic of
China for the ICAO Asia and Pacific Regional Sub-Office was signed on
27 June 2013. The HSA sets out arrangements for the premises and facilities
that are provided by the Host State and the privileges and immunities of ICAO.

Working Group on Governance and Efficiency (WGGE)

The WGGE considered a mechanism for consultation with the Host Country on
privileges and immunities and courtesy services to Representatives accredited to
ICAO and its recommendation to establish a Committee on Relations with the
Host Country (RHCC) was adopted by the Council during its 199th session in
May 2013.

Tripartite Consultative Committee to discuss issues related to privileges

and immunities

The fourth meeting of the ICAO Tripartite Consultative Committee was held in
February 2013. In addition to officials from Protocol Ottawa and Protocol Quebec
as well as Representatives on the Council of ICAO, the City of Montréal was also
represented.

The meeting reviewed the issues on its agenda regarding the achievements to
date and consideration of a way forward for the outstanding issues and the form
of future consultations. A brief presentation of the revised edition of the
Information for Members of National Delegations regarding their arrival and
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 19
residence in Canada (“Yellow Book”) was provided. The revised edition of the
Yellow Book was uploaded to the ICAO Secure site in February 2013.

Human Resources

At the end of June 2013, there were 601 established posts within the
Organization, of which 290 posts were in the Professional and higher categories
and 311 were in the General Service category. The overall representation of
women in the Secretariat in the Professional and higher categories stood at
30 per cent. At the senior level, the representation of women was at 50 per cent
for D-2 posts, and at 10 per cent for D-1 posts.

During the first six months of 2013, the Council approved amendments to The
ICAO Service Code resulting from the ongoing comprehensive review of ICAO’s
Staff Regulations and Staff Rules with the view to further harmonizing these rules
with those of other United Nations common system organizations, and with the
overall objective of improving organizational efficiency. Among the amendments
approved by the Council was an increase in the mandatory age of separation to
age 65 for new staff joining ICAO on or after 1 January 2014, as reflected in
revised Staff Regulation 9.15. The Council also took note of the report on the
implementation of the Policy on Contracts of Individual Consultants/Contractors
and endorsed actions identified to strengthen the policy and to further improve
the efficiency of related administrative processes.

As part of the Organization’s outreach efforts, the Council welcomed the various
outreach strategies and actions taken by the Secretariat to assist in identifying
and attracting qualified candidates of a high calibre from all Member States for
the future work of ICAO. These initiatives included the Young Aviation
Professionals Programme, which for the three positions announced attracted
over three hundred applications.

Revenue Generating Activities

In the first half of 2013, the results from the ARGF Fund exceeded budgeted
expectations mainly in the areas of publications and events. This is an
improvement from 2012, although there are always more activities concluded in
an Assembly Year. The new ICAO E-Commerce site was launched in December
2012 to provide a useful platform to promote and sell ICAO’s products. The
present focus is on establishing Digital Rights Management to protect ICAO’s
copyright whilst at the same time eliminating the distribution of hard copy material
to the extent possible. A cost-reduction exercise is also underway in this area
during 2013.
20 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

Records and Distribution Management

The Electronic Document and Records Management System entered its

operational phase on 1 January 2013, and currently all Bureaus at Headquarters
are benefitting from this system by maintaining their records in electronic format
so as to operate more efficiently.

The implementation of the project also started at the Regional Offices. The
transition to paperless record-keeping is in progress at the Lima and Cairo
Regional Offices. This project of standardizing the system and the administrative
procedures represents one of the initiatives towards the creation of “One ICAO”.

Conference Services

The Commissariat facilities were expanded and renovated, including a widening

assortment of products, substantially improving the quality of services to
Delegates of Meetings, Members of National Delegations and other customers.

With additional funding provided by the Government of Canada, improvements to

the Conference facilities continued; delegates to the 38th Session of the
Assembly will benefit from the implementation of the improved connection of the
Conference Rooms 1, 2 and 3 and the rearrangement of the Registration area.

Information and Communication Technology (ICT)

Web management

Significant progress been made in the Web management space. For the purpose
of business continuity planning, an up-to-date copy of ICAO’s public website is
now available. Aside from Web content in English and French, the public website
now also supports Chinese with further languages to come. In addition,
substantial effort has gone into the migration of Web content from outdated
servers onto ICAO’s centralized Web platform as well as the integration of the
Regional Office websites under the “One ICAO” initiative.
Support and infrastructure

One ICAO: ICT has executed the necessary requirements to grant the same
level of access to all ICAO users at both Headquarters and Regional Offices, with
the exception of the Paris Office. The six Regional Offices have completed their
migration to ICAO’s corporate firewall solution and global IP addressing plan.
The Asia-Pacific Regional Sub-Office in China, launched on 27 June 2013, has
been smoothly transitioned and incorporated into the “One ICAO” infrastructure
plan.

Implementation of the Service Desk: Service Desk documentation (including the

Service Level Agreement) has been prepared for the Conference, Security and
General Services Section (CSG).
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 21
Knowledge management

ICT has resumed the management of the e-commerce system as per the plan of
concentrating all system maintenance within the technical body. A mid-term plan
for digital rights management implementation and air cargo replacement has
been initiated. A customer relationship management system has been identified.
Data loading and final delivery of the start-up system is under way. Training for
end-users has been scheduled. An event management system that meets
ICAO’s requirements has been procured. The internal Learning Management
System (LMS), launched in 2012 continues to improve with the addition of the
UN SkillSoft online course library in May 2013. Through the iLearn system, ICAO
staff now have seamless access to over 10 000 online courses and eBooks
which should lead to increased staff knowledge and career development. The
external LMS has a growing list of online courses now available for potential
revenue generation. Other ADB projects launched in 2013 include: TRAINAIR
Plus Management system; Aviation English Language Test Service System;
iCAN – Negotiation Event Management System; GIS – ATM Mapping Solution;
MRTD (now TRAVid) Collaboration System; Runway Safety Collaboration
System; Mobile Annexes; eCourse Development; and iKit Development.

Internal courses developed in the first half of 2013 include the ICAO Ethics online
course (mandatory for all staff). Courses are currently being created to be used
in new workshops and symposiums and to be sold as Standardized Training
Packages as well. Several electronic information kits (iKits) have been launched
in 2013 and continue to be developed for various conferences and symposiums,
including the upcoming 38th Session of the Assembly.

Enterprise data management

A new Data Mart server is now in place and the SSIS package, which refreshed
the Data Mart, is already running from the server. The action plan on emission
reduction and a new business intelligence analysis sample for CO2 emission and
fuel comparison between baseline and expected result, by State, are now
available.

TECHNICAL COOPERATION PROGRAMME

As at 30 June 2013, the total Technical Cooperation Programme implemented by

ICAO is estimated at USD 42.9 million. Under various Trust Fund arrangements,
the Technical Co-operation Bureau is currently executing 108 projects in 146
countries. It is estimated that a total Programme of USD 126.6 million will be
implemented in 2013.
22 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

The Technical Cooperation Programme implementation by region

(in millions of USD)

Region 2012 As at 30 June 2013

Africa 47.3 4.2

Americas 68.4 29.7
Asia and Pacific 4.2 1.7
Europe and Middle East 11.0 7.3

Total 130.9 42.9

Large-scale technical cooperation projects

Large-scale technical cooperation projects and large-scale revisions to ongoing

projects, which have been approved during the first semester of 2013, include:

— Mexico (Assistance in the capacity building of personnel of the General

Directorate of Civil Aviation of the Ministry of Communications and
Transportation);

— Chad (Assistance to the Civil Aviation Authority of Chad (ADAC) –

Certification of Aircraft Operators);

— Congo (Assistance to the National Civil Aviation Agency of Congo

(ANAC) – Certification of Aircraft Operators);

— Somalia (Civil Aviation Caretaker Authority for Somalia);

— Kuwait (Assistance in Airport Development and Certification).

Recruitment of experts

The total number of international field experts and consultants recruited as at

30 June 2013 was 161, in addition to 792 national project personnel for a total of
1 040 serving officials, including 87 international field experts and consultants
who were already in the field serving in ongoing projects.

Civil aviation training

In this period, 371 fellowships were awarded for a total duration of

193.3 work/months, including 236 awards within the framework of Memoranda of
Understanding signed by ICAO with Indonesia, the Republic of Korea and
Singapore for the provision of training to be funded by these countries and
administered by ICAO.
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 23
In addition, in-country training programmes, undertaken by instructors under
technical cooperation projects, trained 351 civil aviation administration personnel,
and 247 staff received training by suppliers through the procurement component
of the technical cooperation projects.

Equipment and subcontracts

A total of 150 purchase orders and subcontracts were issued, and total field
procurement implementation amounted to approximately USD 22 million.

The Administrative and Operational Services Cost (AOSC) budget

As at 30 June 2013, the estimated Administrative and Operational Services Cost

(AOSC) Fund income amounted to USD 3.5 million and expenditures to
USD 4.2 million, for an estimated shortfall of income over expenditure of
USD 0.7 million.

FINANCIAL STATEMENT

The Council considered in detail the Secretary General’s Budget Estimates for
2014, 2015 and 2016 and the Finance Committee’s report thereon. The Council
submitted, for the consideration of the Assembly, a draft Budget of the
Organization for the triennium totalling CAD 286.5 million (A38-WP/57, AD/8) as
follows:

2014: CAD 92 752 000

2015: CAD 94 737 000
2016: CAD 99 049 000

The Council approved the report on the Working Capital Fund contained in A38-
WP/42, AD/3 which recommends increasing the level of the Working Capital
Fund from USD 6.0 million to USD 8.0 million.

The Secretary General prepared draft scales of assessment for 2014, 2015 and
2016 in accordance with Assembly Resolution A36-31. These draft scales are
submitted to the Assembly in A38-WP/93, AD/13.

As at 30 June 2013, the voting power of 18 Member States is deemed to be

suspended in accordance with Assembly Resolution A37-32. The outstanding
contributions for these States, excluding 2013 assessments, totalled
CAD 6.7 million.

The Secretary General informed high-level officials of these Member States of

the amounts that would be necessary for them to pay, prior to the 38th Session
of the Assembly, in order to permit restoration of their voting power. The
24 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

possibility of concluding agreements with the Council to liquidate their arrears in

annual installments was also brought to the attention of those States with long-
outstanding arrears who have not yet entered into such agreements.

The position with respect to States in arrears is described in A38-WP/43, EX/30,

AD/4. Some schedules will be brought up to date immediately prior to the
opening of the Assembly.

Assessments for 2013 total CAD 87.4 million. Current year contributions received
as of 30 June 2013 amounted to CAD 57.8 million or 66.1 per cent of the total
amount due as at 1 January 2013.

The External Auditor (Cour des comptes of France) completed the audit of the
Organization’s accounts for 2012. The 2012 Financial Statements are submitted
to the Assembly in A38-WP/46, AD 7 and Doc 10015.

___________________
 REVIEW OF ACTION TAKEN ON RESOLUTIONS
OF THE 37TH SESSION OF THE ASSEMBLY

Resolution Subject and action taken

A37-1 Principles for a code of conduct on the sharing and use of safety information

Pursuant to Resolution A37-1, on 15 June 2011, the ICAO Council approved a Code of Conduct on
the Sharing and Use of Safety Information based on a set of high-level principles agreed by the
ICAO Assembly. The principles contained therein facilitate the transparency and exchange of
various types of safety-related information while ensuring that such information is used solely to
improve safety and not for inappropriate purposes, including for the purpose of gaining economic
advantage. The Code of Conduct also emphasizes that one of the objectives of sharing information
is to ensure a consistent, fact-based and transparent response to safety concerns at the State and
global levels. Being an ICAO policy that States are encouraged to follow, the Code of Conduct was
disseminated to States and international organizations via Electronic Bulletin on 1 September 2011
as instructed by the Council.

A37-2 Non-disclosure of certain accident and incident records

The ICAO Safety Information Protection Task Force (SIP TF) concluded its work in February 2013
and made recommendations related to the protection of certain accidents and incident records and
to Attachment E to Annex 13 — Aircraft Accident and Incident Investigation.

A37-3 Protecting information from safety data collection and processing systems in order to
improve aviation safety

To progress the enhancement of provisions on the protection of safety information, the Air
Navigation Commission (ANC) approved the establishment of a multidisciplinary group, the Safety
Information Protection Task Force (SIP TF), to review provisions on the protection of information
gathered from safety data collection and processing systems with a view to ensure the appropriate
protection and use of information generated through accident and incident investigations.

Consistent with its mandate, the SIP TF’s recommendations considered the need to strike a
balance between actions taken by competent authorities to maintain or improve aviation safety and
the proper administration of justice. Specific recommendations for new provisions will be
considered by the SMP and other relevant groups of experts. The foundations established by the
SIP TF will provide the basis to further develop a balanced approach for the protection and use of
safety information consistent with the Global Aviation Safety Plan (GASP).

25
26 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

A37-4 ICAO global planning for safety

The update of the Global Aviation Safety Plan (GASP) was completed and approved by the Council
in July 2013. The changes that the GASP has undergone were driven mainly by its strengthened
role as a high-level policy, planning and implementation document guiding complementary and
sector-wide air transport progress in conjunction with the ICAO Global Air Navigation Plan (GANP).

The document builds on the previous GASP and establishes targeted safety objectives and
initiatives while ensuring the efficient and effective coordination of complementary safety activities
between all stakeholders. The update provides a flexible framework for the prioritization of safety
initiatives appropriate to the contexts of States’ air transport systems while maintaining a
harmonized methodology for all Member States.

A37-5 The Universal Safety Oversight Audit Programme (USOAP) continuous monitoring
approach

The USOAP continuous monitoring approach (CMA) was introduced over a two-year transition
period, from 2011 to 2012, leading to the successful full-scale implementation of USOAP CMA in
January 2013. The Council considered a mechanism for the sharing of unresolved significant safety
concerns (SSCs) with the public and approved in principle that SSCs be made available on the
ICAO public website commencing in January 2014, with the States concerned given the opportunity
to comment and update their progress on the resolution of identified deficiencies. All USOAP-
related information continues to be made available to all States through ICAO restricted websites.
ICAO continues to develop and expand agreements with relevant international entities in order to
foster coordination and cooperation in sharing safety information.

From May 2013, the ICAO USOAP included protocol questions on public health preparedness
planning reflecting amendments in Annex 6 — Operation of Aircraft, Annex 9 — Facilitation,
Annex 11 — Air Traffic Services, Annex 14 — Aerodromes, and the Procedures for Air Navigation
Services — Air Traffic Management (PANS-ATM).

A37-6 Runway safety

ICAO convened the Global Runway Safety Symposium (GRSS) at its Headquarters in May 2011.
The themes of the GRSS included the assessment of risks and consideration of mitigation
measures, increased standardization, collaboration across all relevant operational disciplines, the
sharing of safety information and the implementation of technical solutions to address runway
safety issues.

From this symposium, ICAO received a commitment from partnering organizations to establish a
Runway Safety Programme and coordinate a series of regional runway safety workshops following
the themes of the GRSS. Nine regional runway safety seminars have been delivered thus far in
Miami, Amsterdam, Amman, Bali, Quito, Cape Town, Moscow, Agadir and St. John’s. The primary
objective of the seminars is to promote and support the establishment of multidisciplinary runway
safety teams (RSTs) at individual airports.

A survey to monitor progress on the establishment of RSTs was distributed to the aviation
community, and a RST Handbook was developed in close collaboration with ICAO’s runway safety
partners and is in the process of being finalized.
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 27
Amendment 11 to Annex 14 — Aerodromes, Volume I — Aerodrome Design and Operations,
introduced new and amended provisions to enhance runway safety from aerodrome perspectives.
These mainly included runway end safety areas and arresting systems to mitigate consequences of
runway overruns, runway surface condition assessment to prevent runway excursions, and visual
aids, including enhanced taxiway centre line markings and simple touchdown zone lighting to
prevent runway incursions and excursions, respectively.

A37-7 Comprehensive Regional Implementation Plan for Aviation Safety in Africa

The Secretary General established the Comprehensive Regional Implementation Plan for Aviation
Safety in Africa (AFI Plan) and appointed a Steering Committee in January 2008 to address civil
aviation safety deficiencies in the region. Pursuant to Resolution A37-7 and under the lead of the
ICAO Regional Offices in Dakar and Nairobi, the AFI Plan has been working with States and
aviation safety partners to assist African States in addressing serious safety deficiencies through
the development of ICAO Plans of Action, in meeting regional safety targets and addressing
emerging safety issues, in establishing and strengthening regional safety oversight organizations
and accident investigation agencies (RSOOs and RAIAs) and enhancing aviation safety through
the provision of seminars, workshops and training courses in various safety-related subjects.

A37-8 Regional cooperation and assistance to resolve safety-related deficiencies

ICAO convened the Symposium on Regional Safety Oversight Organizations (RSOOs) in October
2011. The objective was to bring together all parties, including RSOOs and the Cooperative
Development of Operational Safety and Continuing Airworthiness Programmes (COSCAPs), in
order to promote the concept of regional cooperation for enhancing safety oversight activities in the
regions.

ICAO has developed new funding options guidance for RSOOs including, among others, a
passenger safety levy. The new guidance will be published as an amendment to the Safety
Oversight Manual — The Establishment and Management of a Regional Safety Oversight
Organization (Doc 9734, Part B).

The Safety Collaborative Assistance Network (SCAN) was established in 2011 to facilitate and
coordinate the sharing of information amongst safety partners and assistance providers, aimed at
supporting ongoing and future assistance projects in the States.

ICAO convened a Safety Partnership Meeting in November 2012.

ICAO has been actively engaged with many international organizations and/or States in sharing
safety-critical information, for the purpose of determining effective means of providing assistance to
States and sub-regional and regional safety and safety oversight bodies, including RSOOs.

Since 2010, the Global Safety Information Exchange (GSIE), created by ICAO, the United States
Department of Transportation, the European Union and the International Air Transport Association,
has helped to reduce the risk of accidents and improve the overall level of aviation safety worldwide.

The Monitoring and Assistance Review Board (MARB), established in 2011, focuses on, inter alia,
coordinating ICAO monitoring and assistance activities and on States with Significant Safety
Concerns (SSCs).
28 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

A study was carried out by an ICAO expert for the Civil Aviation Safety and Security Oversight
Agency (CASSOA) to review the legal, organizational and financial frameworks of the Agency, as
well as to provide recommendations aimed at enhancing the Agency’s implementation.

ICAO provided assistance in the implementation of the World Bank Pacific Aviation Investment
Program (PAIP), aimed at the aviation infrastructure improvement of the three States in the Pacific
Island region (Kiribati, Tonga and Tuvalu). An ICAO expert conducted a safety audit on the five
airports in the States to determine the level of their compliance with the international standards as
stipulated in ICAO Annex 14 — Aerodromes.

ICAO organized the Seminar/Workshop on Regional Safety Oversight Programmes jointly with the
Arab Civil Aviation Commission (ACAC), held in December 2012. ICAO contributed to drafting a
strategy for the establishment of an RSOO and Regional Accident Investigation Organization
(RAIO) in the Middle East region.

ICAO has been actively involved in the cooperative inspectorate scheme in the AFI region (AFI-CIS)
since December 2010. Its purpose is to share qualified inspectors within the region in a cost-
effective way. The scheme is implemented by African Civil Aviation Commission (AFCAC) with the
support of ICAO.

ICAO has actively collaborated on work with AFCAC to develop new aviation safety targets
addressing various safety issues such as the SSCs, the accident frequency reduction, the
implementation of ICAO Plans of Action, the effective establishment of safety oversight systems,
etc. The safety targets were unanimously approved by the African Ministerial meeting on Aviation
Safety in Africa held in Abuja, Nigeria in July 2012.

As part of the effort to assist States in resolving safety deficiencies identified by the ICAO Universal
Safety Oversight Audit Programme (USOAP), ICAO has developed State-specific tailored plans of
action, proposing a series of remedial technical and political actions. As of June 2013, ICAO has
developed 25 Plans of Action that have been accepted by States for implementation.

A37-9 Halon replacement

Subsequent to Resolution A37-9, the Council of ICAO adopted new Standards on 13 June 2011 for
halon replacement in hand-held, lavatory, engine and APU fire extinguishers contained in
Annex 6 — Operation of Aircraft and Annex 8 — Airworthiness of Aircraft.

The Standards mandate the use of an alternative agent to halon for:

a) lavatory fire extinguishing systems used in aircraft produced on or after 31 December 2011;
b) hand-held fire extinguishers used in aircraft produced on or after 31 December 2016; and
c) engine and auxiliary power unit fire extinguishing systems used in aircraft for which application
for type certification will be submitted on or after 31 December 2014.

Between 2009 and 2012, a series of halon replacement coordinating meetings was held with
regulators, international organizations and industry to discuss the status of halon replacement,
reserves, contamination, and future activities related to halon replacement in cargo compartments.
The last of these meetings took place in November 2012 and focused its work on the timeframes
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 29
specified in the 37th Assembly Resolution on halon replacement and the viability of establishing a
replacement date for halon in cargo fire suppression systems.

The establishment of a timeframe for the replacement of halon in cargo compartment fire
suppression systems remains a challenge. During the last ICAO International Halon Replacement
Coordinating Meeting (IHRCM/3), the International Coordinating Council of Aerospace Industries
Associations (ICCAIA) agreed to coordinate a collaborative approach involving all stakeholders in
order to develop an industry recommendation for a halon replacement timeframe for cargo
compartment. A working group has been established to submit a comprehensive recommendation
with supporting documentation to ICAO by 31 December 2015 in order to introduce a
recommendation at the next ordinary session of the Assembly in 2016.

Until alternatives are available for all aircraft fire extinguishing systems, the aviation industry will
continue to depend on halon reserves. In support of Resolution A37-9, the Secretary General
issued a State letter requesting information on halon reserves accessible to the civil aviation
industry within each State to support future operations.

Fifty-three States replied to the State letter. Most States were unsure if their halon reserve would
suffice for the aviation needs of their State, while others responded that their aviation industry relies
on outside sources to provide the required halon. The limited number of replies gives evidence that
States do not know how much halon reserve is available to civil aviation. Although the United
Nations Environment Programme (UNEP) has a process to estimate global halon reserves, the
amount of halon available for civil aviation applications is unknown.

A37-10 Proficiency in the English language used for radiotelephony communications

In 2010, ICAO issued the second edition of the Manual on the Implementation of ICAO Language
Proficiency Requirements (Doc 9835). This second edition included additional guidance for civil
aviation authorities and test service providers on processes for testing candidates in accordance
with the ICAO language proficiency requirements (LPRs).

In January 2011, ICAO advised States that Assembly Resolution A37-10 called for two major
actions: a) Member States that would not comply with the language proficiency requirements by
5 March 2011 were to send to ICAO their implementation plans, which were to be updated on a
regular basis after March 2011 until full compliance was reached; and b) ICAO would verify that the
implementation plans submitted by States were complete and included timelines and identifiable
milestones to be used by ICAO’s Universal Safety Oversight Audit Programme (USOAP)
Continuous Monitoring Approach.

In June 2011, ICAO added an interactive map at http://legacy.icao.int/fsix/lp.cfm based on the

information provided by States. This map provides a world view of the status of implementation of
the language proficiency requirements and allows users to access implementation plans or
statements of compliance.

In October 2011, ICAO launched the Aviation English Language Test Service (AELTS). Through
AELTS, testing instruments are assessed against the language requirements in Annex 1 —
Personnel Licensing and in Doc 9835. This service is particularly important as language proficiency
testing is largely unregulated and has resulted in a great amount of variability in the approaches
used and outcomes achieved. AELTS provides a means for the aviation language testing
30 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

community to standardize and improve its practices. This ICAO service also provides information to
States, airspace users and service providers on available testing services that use procedures
consistent with ICAO criteria.

In 2012, the Organization launched a new edition of the training aid ICAO Language Proficiency
Requirements – Rated Speech Samples. The document, which was developed by the
International Civil Aviation English Association (ICAEA) for ICAO, can be accessed at
http://cfapp.icao.int/rssta/index.cfm and contains 52 speech samples that have undergone rigorous
rating and validation processes. It can be used as a reference to standardize rating processes and
as a basis for the initial and recurrent training of raters and examiners.

A37-11 Performance-based navigation global goals

The global implementation of performance-based navigation (PBN) has progressed significantly

since the 37th Assembly. Today, over 150 States or more than 60 per cent of the total have
published a PBN Implementation Plan and over half of the world’s international runways now have
PBN procedures.

ICAO and IATA continued to conduct combined Global PBN Task Force/GO Team Visits to help
States with the implementation of PBN. These visits focused on development of State PBN
Implementation Plans, implementation of PBN instrument procedures, airspace design and PBN
Ops approval. More than ten visits have been conducted.

Regional PBN Task Forces also continued to promote PBN implementation through regional
workshops and seminars. Following the example of the Global PBN Task Force/GO Team Visits,
regional Go-Teams are being established in various ICAO Regions.

ICAO has established a Regional Sub-Office in Beijing to promote PBN implementation as well as
a Flight Procedure Programme (FPP) Office in Dakar, Senegal. Both of these offices focus on PBN
implementation.

A PBN symposium and workshops were conducted in October 2012 and helped facilitate the
understanding of the issues affecting the global implementation of PBN. A PBN iKit was developed
as a means to educate stakeholders on the fundamentals of PBN, including the provision of new
ICAO PBN documents. The iKit was made available to all symposium attendees. At the symposium,
ICAO established an endorsement mechanism to help States to identify PBN instrument procedure
design organizations that can assist them with PBN implementation.

New on-line courses that provided a PBN overview as well as specific training in airspace design
and PBN Ops approval were developed and made available.

On the Standards and Recommended Practices (SARPs) level, the PANS-OPS was fully amended
to support the A37-11 Resolution. The Performance-based Navigation (PBN) Manual (Doc 9613)
was updated (Version 4) to include additional PBN specifications. In addition, the following new
documents were completed: the Continuous Climb Operations (CCO) Manual (Doc 9993), the
Continuous Descent Operations (CDO) Manual (Doc 9931), the Performance-based Navigation
(PBN) Operations Approval Manual (Doc 9997) and the Manual on the Use of Performance-based
Navigation (PBN) in Airspace Design (Doc 9992).
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 31
A37-12 ICAO global planning for sustainability

Following the adoption of Resolution A37-12, ICAO amended the Global Air Navigation Plan
(GANP) to include the Aviation System Block Upgrades in support of the CNS/ATM systems. The
amended GANP was approved by the Council in May 2013. Procedures to ensure the regular
update of the GANP in collaboration with States and Stakeholders were also included. Moreover,
the Twelfth Air Navigation Conference (AN-Conf/12) was held in Montréal from 19 to 30 November
2012.

A37-13 Prevention of spread of communicable disease through air travel

ICAO continued to expand the Collaborative Arrangement for the Prevention and Management of
Public Health Events in Civil Aviation (CAPSCA) programme, such that by the end of 2011 it was
active in all five global regions and by mid-2013, 93 Member States had joined a CAPSCA regional
project, and 54 States had received an Assistance Visit to one or more of their international airports.
The name of the programme was changed to encompass all types of public health events, not only
those related to communicable disease, whilst retaining the same acronym, “CAPSCA”.

ICAO continued to work closely with the World Health Organization, the International Air Transport
Association and Airports Council International to provide up-to-date guidance on the management
of public health events in aviation, including business continuity planning. Annual regional seminars
were held, bringing public health and aviation stakeholders together. Guidance was updated as
appropriate primarily on the websites of the four organizations and also on a newly developed
website hosted by the ICAO Regional Office in Mexico www.capsca.org.

In December 2012, the fund that has primarily sustained CAPSCA since its inception in 2006, the
Central Fund for Influenza Action, administered by the UN Development Programme, closed. Other
sources of funds are being sought.

A37-14 Non-chemical aircraft disinsection of the aircraft cabin and flight deck for international
flights

Since the last Assembly, progress has been made in standardizing the efficacy and safety testing
of chemical disinsectants, and in providing updated recommendations on their use. The results of
further research concerning the use of the “air curtain”, or other methods of non-chemical
disinsection, are awaited. Further information on chemical and non-chemical disinsection should
be available by the 39th Session of the Assembly, planned for 2016, and will be presented at that
time.

A37-15 Consolidated statement of continuing ICAO policies and associated practices related
specifically to air navigation

A proposed revision to the continuing policies will be presented to the 38th Session of the
Assembly.

A37-16 The Safety Fund (SAFE)

With a view to ensuring continued assistance to States in resolving safety-related deficiencies,

ICAO established the SAFE: The Safety Fund. Participation in the fund is voluntary and financially
32 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

independent of the ICAO Regular Programme Budget. It is expected that contributions are made by
ICAO Member States, international organizations, and public and private entities associated with
international civil aviation.

Two projects have been funded by SAFE and implemented by ICAO consultants: a study on the
aging aircraft in the African and Indian Ocean (AFI) Region; and the development of the Air
Operator Certification Handbook

A37-17 Consolidated statement on the continuing ICAO policies related to the safeguarding of
international civil aviation against acts of unlawful interference

Appendix A — General policy

ICAO made steady progress in implementing the ICAO Comprehensive Aviation Security Strategy
(ICASS) endorsed by the Assembly in 2010 for the 2011-2016 period. Efforts to implement the
ICASS benefited from the consolidation of aviation security programmes within the Aviation
Security Branch in the Air Transport Bureau.

Generous voluntary contributions, both financial and in-kind, allowed ICAO to undertake certain
ICASS projects and other aviation security activities in all regions, including global leadership and
coordination.

Appendix B — International legal instruments, enactment of national legislation and conclusion of

appropriate agreements for the suppression of acts of unlawful interference with civil aviation

No updates.

Appendix C — Implementation of technical security measures

In order to mitigate the risk associated with air cargo and mail as well as the threat posed by
industry and airport insiders, the Council in November 2012 approved a fast-track Amendment 13
to Annex 17. The revised and new provisions further the implementation of supply chain security
measures with special focus on high-risk cargo as well as common baseline security measures for
cargo transported on passenger and all-cargo aircraft. The Amendment, applicable on 15 July 2013,
includes a revised and comprehensive Standard for the screening and security control of persons
other than passengers.

To assist States in applying the provisions of Amendment 13 to Annex 17, guidance material was
developed and made available in all ICAO languages. In this respect, Amendment 1 to the ICAO
Aviation Security Manual (Doc 8973 – Restricted), published in July 2013, provided States with
comprehensive guidance on air cargo secure supply chain principles.

Progress was made in promoting the adoption of sustainable, risk-based security measures. The
development of SARPs was undertaken on the basis of sufficient and valid justification for new
measures, with flexibility to allow for alternative means to achieve security objectives.

To support a risk-based approach, ICAO produced the first edition of the global Risk Context
Statement (RCS) in 2012. The RCS includes a thorough analysis of threats to civil aviation and
provides Member States with a robust methodology for further developing national risk
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 33
assessments. It is expected to increase the number of States adopting and implementing risk-
based measures and assist States in the preparation of risk assessments. The second edition of
RCS was issued in July 2013 and is available on the ICAO-NET.

The network of endorsed Aviation Security Training Centres (ASTCs) continued to be expanded in
order to address the continued need for aviation security training. At mid-2013, there were
25 endorsed ASTCs.

The Secretariat also developed a Risk Management Overview workshop in order to assist States to
begin the implementation of risk- and threat-based measures.

Appendix D — Action of States concerned with an act of unlawful interference

The usefulness of ICAO’s acts of unlawful interference (AUI) database was enhanced with a full-
featured search function, including graphical representations of the search results. The Secretariat
continued to record all types of security-related incidents in order to stay well informed of the
various threats to civil aviation and to identify potential trends; while not all incidents listed are
considered AUIs, the information is made available in the AUI database under a separate list
accessible to Member States.

The Aviation Security Panel continued to analyse the risks to civil aviation security and reported on
current and emerging threats and vulnerabilities.

Appendix E — The ICAO Universal Security Audit Programme

With regard to Resolving Clause 3, a mechanism to validate the implementation of corrective

actions by States with one or more identified significant security concerns (SSeCs) through the use
of ICAO coordinated validation missions (ICVMs) has been introduced. Since October 2010, five
States have successfully resolved nine SSeCs. In the majority of these cases, confirmation that the
necessary corrective actions had been taken was obtained through the conduct of ICVMs.

With regard to Resolving Clause 7, a report on the overall implementation of the completed second
cycle of Universal Security Audit Programme (USAP) audits was prepared for presentation to the
38th Session of the Assembly. This includes background on the Council’s decision to adopt a
continuous monitoring approach for the USAP (USAP-CMA) beyond 2013 and details of the
transition plan endorsed by the Council.

Appendix F — Assistance to States in establishing aviation security oversight capacity for the
protection of international civil aviation

The Secretariat developed and implemented the ICAO Aviation Security Assistance and Capacity-
Building Strategy. This strategy established methods and procedures to ensure a more cohesive
and coordinated approach to assistance and capacity building in aviation security.

The Ad Hoc Group on Partnership in AVSEC Capacity Building was established by the Secretariat
to coordinate the provision of assistance globally. Group activity includes the exchange of
information regarding current assistance projects and assuring a collective approach to aviation
security assistance and capacity-building.
34 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

The Implementation Support and Development Assistance List (ISDAL) was developed. This list
serves as a tool to better coordinate assistance and identify potential partnerships among States
that are in a position to provide assistance. It is primarily used as the operational point of contact
between ICAO and/or members of the Ad Hoc Group on Partnership in AVSEC Capacity Building.

The Secretariat enhanced regional assistance through the expanded partnerships with Member
States, and Organizations, namely ACAC, AFCAC, ECAC, LACAC, Australia, Belgium, Canada,
France, United Kingdom and United States. Partnership activity included the provision of training,
guidance and the transfer of technology information.

Under the leadership of the Secretariat, the Asia/Pacific Regional Aviation Security Coordinated
Forum was established. This forum will provide a practical platform for strengthening regional
aviation security in a cooperative, coordinated and unified manner.

ICAO and the European Union (EU) signed the Annex on Aviation Security to the ICAO/EU MoC in
order to enhance cooperation. This Annex establishes, inter alia, a framework for information
exchange and joint activities.

Appendix G — Action by the Council with respect to multilateral and bilateral cooperation in
different regions of the world

A new version of the Aviation Security Point of Contact (PoC) Network was developed from the
ground up to better serve the needs of States. Its design and functionality was overhauled to
feature a built-in messaging system that allows for the secure and rapid exchange of critical
information while providing greater control over who can access such information. The Web-based
platform facilitates communication among aviation security contacts designated by more than
180 States for the purpose of sending and receiving information on imminent threats, as well as
requests for security-related information or for exchanging guidelines and advice on countering
imminent threats.

ICAO established a technological platform to facilitate the exchange of aviation security information
among Member States. Introduced in 2011 and regularly updated, the Web-based AVSECPaedia
was developed by ICAO and the Aviation Security Panel Working Group on Technology to provide
a one-stop source of information for Member States on best practices, guidance and new
approaches regarding screening methods, technologies and equipment that have been tested or
deployed around the world. It is a dynamic and collaborative tool that allows States to share their
own security information or practices by means of updating their dedicated page. States therefore
have full control over the information shared with other participating States and can modify it in real
time and as often as necessary.

Appendix H — International and regional cooperation in the field of aviation security

In the period since the 37th Session of the ICAO Assembly, ICAO has fostered cooperation among
Member States and with other stakeholders with the aim of improving aviation security and air
transport facilitation, both at the regional and global levels. The High-level Conference on Aviation
Security (HLCAS) of September 2012 — ICAO’s first global conference dedicated to security topics
in more than a decade — showcased this increased level of cooperation in all areas of aviation
security, notably endorsing principles of aviation security cooperation that now need to be
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 35
implemented. The meeting was attended by more than 700 participants representing 132 States
and 23 international and regional organizations.

A series of aviation security conferences was held in all regions during 2011 and 2012 to promote
the implementation of the 2010 ICAO Assembly Declaration on Aviation Security. These events, of
which five were hosted by States in collaboration with ICAO, encouraged closer cooperation among
all stakeholders in addressing security concerns. All six regional conferences adopted joint
statements reflecting the realities and concerns of their respective regions, and calling for concrete
actions to collectively and individually strengthen aviation security in accordance with the
Declaration.

ICAO and the World Customs Organization (WCO) in June 2011 signed a Memorandum of
Understanding (MoU) in order to strengthen cooperation on air cargo security while also improving
air cargo facilitation. The agreement has led to cooperation in a number of areas and resulted
notably in a joint conference on enhancing air cargo security and facilitation held in collaboration
with Singapore, in July 2012, as well as the preparation of a joint publication titled “Moving Air
Cargo Globally”.

ICAO and the Universal Postal Union (UPU) strengthened their efforts to jointly improve air mail
security in line with the MoU signed in 2009. In March 2012, the 25th UPU Congress instructed the
UPU Postal Operations Council to increase collaboration with the civil aviation sector, primarily by
establishing an ICAO-UPU contact committee to provide for structured interaction between the two
organizations.

A37-18 Consolidated statement of continuing ICAO policies and practices related to

environmental protection — General provisions, noise and local air quality

Appendix A — General

In order to further disseminate information on ICAO’s policies and guidance material, articles on
ICAO’s work on the environment were published in various editions of the ICAO Journal and other
publications; one workshop was held on Aviation Alternative Fuels (October 2011) as was a
seminar on Aviation and Climate Change (October 2012). The fourth ICAO Symposium on Aviation
and Climate Change, “Destination Green,” held at Headquarters in May 2013, aimed at fostering a
dialogue amongst participants on aviation and environment matters, including noise, operations
and technology, market-based measures, sustainable alternative fuels for aviation, States’ action
plans, and financing and assistance.

The ninth meeting of the Committee on Aviation Environmental Protection (CAEP/9) was held in
February 2013 and agreed on a comprehensive set of 18 recommendations that will help ICAO
fulfil its mandate on aviation environmental protection. These recommendations are related to the
updated traffic and fleet forecast, an increase in stringency of aircraft noise Standard, aircraft
operations, the development of a new aircraft CO2 Standard and work programme for the next
CAEP cycle.

ICAO organized side-events and exhibition booths during the United Nations Framework
Convention on Climate Change (UNFCCC) process. ICAO also participated in the United Nations
conference on Sustainable Development (June 2012) and in the Alternative Fuels Pavilion
36 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

organized in conjunction with Le Bourget at the June 2013 Paris Air Show to promote its work on
environmental sustainability and aviation alternative fuels.

Appendix B — Development of Standards, Recommended Practices and Procedures and/or

guidance material relating to the quality of the environment

Amendment 10 to Annex 16, Volume I and Amendment 7 to Annex 16, Volume II were finalized
and Adopted by the Council in March 2011.

With regard to the establishment of medium- and long-term technology and operational goals under
CAEP’s Independent Expert (IE) review processes, Noise technology, and operational and
technology fuel burn reviews were completed during the CAEP/9 cycle. A set of fuel burn
technology goals were agreed in 2010 and an updated set of mid-term and long-term technology
goals for aircraft noise and new operational goals for aircraft fuel burn reduction were considered at
the CAEP/9 meeting in 2013.

CAEP/9 approved, in addition to the CO2 metric system, the mature Annex 16, Volume III CO2
certification requirement and agreed that it should be published in an ICAO Circular. CAEP agreed
on a comprehensive CO2 standard setting work plan with a late-2015 deliverable date. All
recommendations from CAEP were approved by the Council and those related to amendments of
SARPs are presently under consultation with States.

A new manual entitled Operational Opportunities to Reduce Fuel Burn and Emissions that replaces
Circular 303 was developed containing information on current practices followed by States, aircraft
operators, aircraft manufacturers, airport operators, air navigation service providers (ANSPs) and
other industry organizations. Furthermore, Environmental Assessment Guidance for Proposed Air
Traffic Management Operational Changes was developed focusing on environmental impacts
assessment (including both engine emissions and noise) related to proposed operational
procedures changes, airspace redesigns, and other similar operational aspects.

Appendix C — Policies and programmes based on a “balanced approach” to aircraft noise

Management

No updates.

Appendix D — Phase-out of subsonic jet aircraft which exceed the noise levels in Volume I of
Annex 16

No updates.

Appendix E — Local noise-related operating restrictions at airports

In response to the decision of the last ICAO Assembly, and the subsequent action approved by the
ICAO Council, the Secretariat has developed a scope of work for a global analysis of the effects of
night curfews. This analysis would consider environmental and economic issues, in line with CAEP
recommendations, as well as among other factors, the impact of time zones, airline economics and
passenger demand in the context of the growth of the aviation sector. India has offered to support
this activity.
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 37
Appendix F — Land-use planning and management

Revision of the Airport Planning Manual, Part 2: Land Use and Environmental Control began
during the CAEP/9 cycle to include eco-friendly airport planning and best practices in land-use
planning and management.

Appendix G — Supersonic aircraft — The problem of sonic boom

CAEP continues to monitor the development of supersonic aircraft and their implications on the
development of future standards.

Appendix H — Aviation impact on local air quality

CAEP worked with SAE to prove the non-volatile PM (nvPM) sampling system to measure behind
aircraft engines, and a working draft Aerospace Recommended Practice (ARP) is nearly complete.
Measurement campaigns and finalization of the ARP continue as a prelude to the nvPM emissions
certification requirement and new Standard.

A37-19 Consolidated statement of continuing ICAO policies and practices related to

environmental protection — Climate change

Substantial progress was made in four key areas identified in Assembly Resolution A37-19:
1) global aspirational goals; 2) States’ action plans; 3) sustainable alternative fuels for aviation; and
4) market-based measures (MBMs).

The Secretariat cooperated with CAEP to further update the CO2 trends assessment, which was
finalized in April 2013 for presentation to the 38th Session of the Assembly. The methodology
involved estimating the potential impact of various categories of mitigation measures — aircraft-
related technology development, improved ATM and infrastructure use, more efficient operations
and sustainable alternative fuels — in order to measure current, and estimate future, progress
toward the achievement of global aspirational goals.

The Secretariat also worked on developing a capability, known as the ICAO CO2 Reporting and
Analysis System (ICORAS) that will allow the Organization to respond to the A37-19 Assembly
request to regularly report CO2 emissions from international aviation to the United Nations
Framework Convention on Climate Change (UNFCCC) as well as to measure progress being
achieved toward the global aspirational goals.

The A37-19 Assembly decision on the voluntary submission of action plans by States led the
Organization’s policy outlook to a more action-oriented implementation mode. ICAO undertook
intense capacity-building activities facilitating, within just a few years, the preparation and
submission of States’ action plans on CO2 emissions reduction activities that represent
approximately 80 per cent of global air traffic.

In order to support the preparation and submission of State action plans, the Secretariat developed
guidance material and an interactive Web-interface. In addition, hands-on training workshops
initiated in 2011 were continued throughout 2012 and 2013, with a total participation of 91 Member
States representing 93 per cent of global international air traffic.
38 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

The information contained in the action plans was analysed on an ongoing basis, and ICAO put
forward a robust capacity building strategy to assist States in further developing and implementing
their action plans. ICAO explored partnerships with other international organizations and
multilateral funding agencies (such as UNDP, GEF and the European Commission) that have funds
earmarked and dedicated for climate change mitigation activities, with a view to establishing
processes that can facilitate financing to Member States that need assistance.

In March 2013, ICAO announced the formalization of a new project with Indonesia, aimed at
improving the management and reduction of its aviation carbon emissions. This three-year large-
scale project will be undertaken between Indonesia’s Ministry of Transport and ICAO’s Technical
Co-operation Bureau.

The Secretariat intensified its efforts to promote and facilitate the development and deployment of
sustainable alternative fuels for aviation. All the initiatives being undertaken worldwide on aviation
sustainable alternative fuels were regularly mapped and updated at the ICAO Global Framework
for Aviation Alternative Fuels (GFAAF) Web-based platform. An ICAO group of experts (SUSTAF)
worked on developing a set of policy recommendations relating to sustainable alternative fuels,
based on existing policies and measures, as well as current initiatives and best practices by States
and organizations. Leading up to the United Nations Conference on Sustainable Development
(Rio+20 Conference) in June 2012 , ICAO cooperated with industry stakeholders on a series of four
connecting flights from Montréal to Rio de Janeiro, all powered by sustainable alternative fuels.
ICAO commemorated the first anniversary of this Rio+20 initiative at Le Bourget Paris Air Show in
June 2013.

With support provided by the experts nominated by Member States and international organizations,
the Secretariat undertook intensive work aimed at developing a global solution relating to MBMs. In
June 2012, the Council agreed to concentrate its efforts on three options for a global MBM scheme.
It also agreed that further work was required in the development of the framework for MBMs.

In November 2012, the Council agreed on the establishment of a High-level Group on International
Aviation and Climate Change (HGCC) to develop recommendations on a series of policy issues
related to international aviation and climate change, including those related to MBMs, and progress
of work by the HGCC was reported to the Council in March and June 2013.

The assessment on the feasibility of a global MBM scheme continued in 2013 on the most practical
and effective design features for a global scheme, taking into consideration the direction from the
HGCC, which met three times from December 2012 to March 2013 and considered various issues
related to a global MBM scheme, including: participants in a scheme; means to accommodate
special circumstances and respective capabilities; and generation of revenue from a scheme. The
quantitative analysis on the impacts of a global MBM scheme completed in 2012 was further
refined using updated forecasts on traffic, fleet and emissions that were completed by CAEP in
2013. This supplementary study confirmed the results of 2012 study regarding the technical
feasibility of the three options for a global MBM scheme.

Similar to the work on a global MBM scheme, progressing on the technical issues of a framework
for MBMs raised a number of policy considerations. Through the deliberations of the HGCC and the
technical work of the MBM experts, an outline of the framework was developed containing the
“purpose”, “guiding principles” and “key elements” of the framework, for consideration by the
Council.
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 39
A37-20 Consolidated statement of continuing ICAO policies in the air transport field

Appendix A — Economic regulation of international air transport

Section I. Agreements and arrangements

In April 2012, the Organization held an ICAO Air Transport Symposium (IATS), in partnership with
the Air Transport Research Society (ATRS) as a preparatory step for the Sixth Worldwide Air
Transport Conference (ATConf/6) to be held in 2013 around the theme of strategies and tools for a
sustainable air transport.

The eleventh session of the Air Transport Regulation Panel (ATRP/11) was held in June 2012 and
provided advice and recommendations for the preparation of ATConf/6.

ICAO conducted preparatory air transport seminars for ATConf/6 for the following regions: Rabat,
Morocco (July 2012), in close cooperation with ACAC; Buenos Aires, Argentina (July 2012), in
close cooperation with LACAC; Martinique, France (October 2012), for Caribbean States; Dakar,
Senegal (October 2012), in close cooperation with AFCAC; Paris, France (November 2012), for
European States, and Hong Kong SAR, China (January 2013), for States in the Asia and Pacific
Region.

ATConf/6 was held in March 2013 under the theme of sustainability of air transport. It addressed
key issues in international air transport and produced a comprehensive package of
recommendations, which were approved by the Council in June 2013. On 18 March 2013, during
ATConf/6, ICAO signed a Joint Statement with UNWTO on aviation and tourism to strengthen
cooperation on issues of common priority, such as protection of passengers and tourists, visa
facilitation and taxation.

ICAO updated its information on the quantitative indicators of liberalization.

The ICAO Air Services Negotiation Conference (ICAN) was held in Mumbai, India, in October 2011,
and in Jeddah, Saudi Arabia, in December 2012.

Section II. Cooperation in regulatory arrangements

ATConf/6 addressed the issues of harmonization and compatibility of regulatory approaches in

respect of competition laws and rules on air transport, as well as on consumer protection matters
and made recommendations for action by States and ICAO.

Section III. Airline product distribution

When reviewing A37-20 in June 2013 and taking into account the developments in the airline
industry and regulatory practices, it was recommended to review thoroughly this section in order to
assess the need to keep it under its current format.

Section IV. Trade in services

No updates.
40 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

Section V. Elaboration of policy guidance

ATConf/6 reviewed ICAO policies and guidance on the regulation of international air transport
(contained in Policy and Guidance Material on the Economic Regulation of International Air
Transport (Doc 9587)) and recommended that they be updated to keep up with the developments
and meet the needs of States.

Pursuant to A37-20, the Organization updated the database of the World´s Air Services
Agreements (WASA), increasing the coverage to 2 480 agreements involving 166 States and the
Template Air Services Agreement (TASA).

Appendix B — Statistics

A new edition of the Manual on the ICAO Statistics Programme (Doc 9060), now entitled Reference
Manual on the ICAO Statistics Programme, incorporating the new features of the ICAO Statistics
Programme, has been developed.

The implementation of the recommendations and conclusions of the Tenth Session of the Statistics
Division (STA/10), which was held in Montréal from 23 to 27 November 2009, was carried out.

Regarding the ten Recommendations and Conclusions of STA/10 specifically related to statistical
forms, the changes to the current forms have been implemented and new data forms, notably on
fuel consumption by air carriers (Form M), have been introduced.

The dissemination of data collected under the ICAO Statistics Programme has been enhanced with
the new online platform ICAOdata+ which is an innovative user-friendly tool enabling users to
adjust the graphical representation of the data according to their needs. It is a global comparative
aviation data tool that meets the requirements of both external and internal users and which is
available free of charge to Member States.

Four hands-on training sessions on statistics were conducted at ICAO Headquarters: African
States (November 2011 and June 2012); Member States of the Latin American Civil Aviation
Commission (LACAC, September 2012); and Member States of the Arab Civil Aviation Commission
(ACAC, November 2012). In parallel, in cooperation with CAE, a set of air transport e-learning
courses on forecasting was developed.

The Secretariat initiated the development of the ICAO CO2 Reporting and Analysis System
(ICORAS), used to integrate fuel burn and traffic data reported by Member States, which is further
supplemented by various sources of data in order to deliver accurate estimates of CO2.

Appendix C — Forecasting, planning and economic analyses

Long-term passenger and cargo forecasts with a 30-year horizon under a bottom-up econometric
methodology were developed.

Annual medium-term (a three-year horizon) forecasts were developed in 2011-2013 and posted on
the ICAO website.
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 41
In response to the outcome of the Next Generation Aviation Professionals Symposium held in
March 2010, a study providing information on the consequences of anticipated traffic and fleet
growth on the demand for qualified aviation personnel was developed and published in early 2011
in the Global and Regional 20-Year Forecasts for Pilots, Maintenance Personnel and Air Traffic
(Doc 9956).

Assistance was provided to the regions in the development of forecasts and other planning
parameters required by the respective Planning and Implementation Regional Groups (PIRGs).
Four Traffic Forecasting Group (TFG) meetings were held for the Asia/Pacific, Middle East, Africa-
Indian Ocean and Caribbean/South America regions. The reports of the meetings, containing the
forecasts and analyses, have been posted on the ICAO website.

Support was provided to the Forecast and Economic Analysis Support Group (FESG) of CAEP.
This support included provision of aviation data and information for the development of global long-
term traffic and fleet forecasts for environmental analyses and the review of a global constrained
forecasting model for potential use in support of environmental assessment of the potential impact
of constraints.

The revision of Manual on Air Traffic Forecasting (Doc 8991) has been undertaken.

Appendix D — Facilitation

The Council in 2011 adopted Amendment 22 to Annex 9 — Facilitation to assist States in preparing
for international outbreaks of communicable diseases and to enhance measures to facilitate
assistance to air travellers whose flights are disrupted as a result of force majeure. In 2012, the
Council adopted Amendment 23, revising Appendix 13 in order to enhance data sharing and
efficient response in the event of a pandemic or large-scale epidemic.

In October 2012, the Facilitation Panel agreed on recommendations concerning accessibility to air
transport for persons with disabilities, air cargo facilitation, and the security of the travel document
issuance process. The Panel also established a working group to develop new guidance material
on the content of a National Air Transport FAL Programme and to revise and improve existing
facilitation guidance material.

In accordance with Annex 9, Standard 3.10.1 requires that “[f]or passports issued after 24
November 2005 and which are not machine readable, Contracting States shall ensure the
expiration date falls before 24 November 2015.” This effectively means that all non-machine
readable passports should be out of circulation by this date. The TAG/MRTD/21 Meeting endorsed
a Communications Plan with regard to the 24 November 2015 deadline, to be implemented by the
Secretariat in coordination with the ICBWG. The purpose of the Communications Plan is twofold: to
encourage the compliance of States with the 24 November 2015 deadline for the expiration of
noncompliant passports; and to minimize possible inconvenience it may cause to the travelling
public. The Communications Plan encompasses intensified advocacy and communication efforts to
raise Member States’ awareness about the deadline requirements, as well as producing and
disseminating guidance materials on Standard 3.10.1 implementation challenges and practices.

According to the information presented at the TAG/MRTD/21 Meeting by the New Technologies
Working Group (NTWG), approximately 100 States issue ePassports, an estimated 484 million
ePassports are in circulation, 23 States currently use an Automated Border Control (ABC) system
42 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

with the ePassport as the required token, and 56 States use biometrics as part of border
management processes. To assist States in ePassport implementation initiatives, the development
of an ICAO model roadmap is anticipated.

ICAO continues to successfully organize annual MRTD Symposia and Exhibitions and regional
seminars. The Symposium is a premier global event that brings together the travel document,
border security and aviation community to exchange information on key developments related to
MRTD SARPs, best practices, and related security and facilitation challenges that Member States
face along with respective solutions. Since the last Assembly, the Secretariat, with the generous
support of host-State authorities, organized Regional seminars on MRTDs, Biometrics and Security
Standards in Brazil, Mozambique, Qatar, Singapore, Zimbabwe and Sint Maarten (The
Netherlands).

The Inter-American Committee against Terrorism of the Organization of American States

(OAS/CICTE) and ICAO project for capacity building in Travel Document Security and Identity
Management is a three-year technical assistance initiative that provides advocacy, technical
consultations and capacity-building activities for government authorities on MRTD SARPs and best
practices in border controls. Its activities commenced in December 2011 and are projected to end
in March 2014. Project workshops and gap assessment missions were conducted with a strong
problem-solving component, focused on the practical use of the ICAO Guide for Assessing Security
of Handling and Issuance of Travel Documents. Sub-regional workshops have been held in Mexico,
Panama, Antigua and Barbuda and Trinidad and Tobago, and gap assessment missions have
been conducted in Dominican Republic, Guatemala, El Salvador and Antigua and Barbuda.

The Secretariat, in coordination with the ICBWG, provided assistance to 70 Member States and
international organizations on matters related to MRTDs, ranging from clarifying MRTD
specifications and interpreting requirements, to full-scale assessments, consultations and training
sessions. A number of technical cooperation assistance missions and projects were organized and
implemented in coordination with the Technical Co-operation Bureau.

ICAO continues to publish the MRTD Report to serve the MRTD community interested in ICAO’s
work on MRTD specifications, biometrics, and related technology.

Five supplements to the Machine Readable Travel Documents (Doc 9303) containing updated
specifications were issued since the 37th Session of the Assembly. A major activity of the New
Technologies Working Group (NTWG) has been the development of evidence of identification
guidance material on securing the sources that generate and confirm identity. All MRTD guidance
material is available free of charge on the ICAO MRTD Programme website.

ICAO promoted membership in the Public Key Directory (PKD), an inspection tool enabling the
secure verification of ePassports by border control authorities, by conducting a number of
workshops at MRTD symposia and regional seminars. Member States are urged to join because of
the importance of enhancing cross-border security and air transport facilitation. Further, ICAO
Annex 9 recommends that ePassport issuance and PKD participation go hand-in-hand.
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 43
Appendix E —Taxation

ATConf/6 addressed the related issues of taxation on air transport and made recommendations for
action by States and ICAO.

The Supplement to ICAO’s Policies on Taxation in the Field of International Air Transport
(Doc 8632) has been updated.

Appendix F — Airports and air navigation services

Section I. Charging policy

The following policies and guidance were updated with the assistance of AEP/ANSEP.

The ninth edition of ICAO’s Policies on Charges for Airports and Air Navigation Services (Doc 9082)
was published in February 2012.

Work commenced on the fifth edition of the Manual on Air Navigation Services Economics
(Doc 9161).

Following the Regional Safety Oversight Organizations (RSOOs) held in Montréal in October 2011,
it was decided to develop additional guidance material on the sustainable funding of RSOOs in
consultation with States and the industry. Chapter 5 of the Safety Oversight Manual, Part B,
(Doc 9734) was revised accordingly.

Section II. Economics and management

ICAO published the Manual on Privatization in the Provision of Airports and Air Navigation Services
(Doc 9980) in August 2012.

ICAO continued to update specific information on airport and ANSP privatization, namely the Case
Studies on Commercialization, Privatization and Economic Oversight of Airports and ANSPs,
available online at
http://www.icao.int/sustainability/pages/Eap_ER_Databases_CaseStudies_ANSPs.aspx

Appendix G — Air carrier economics

Studies on regional differences in international airline operating economics for the years 2008,
2009 and 2010 were carried out and a study for the year 2011 is ongoing; their results are
published in circulars on a biennial basis. Based on the results of these studies, values of the
global and area weightings were provided, on an annual basis, to the IATA Prorate Agency to
establish prorate factors for passenger revenues from interline journeys.

Appendix H — Air mail

The Universal Postal Union (UPU) was provided annually with airline traffic and financial data and
analyses to be used for the calculation of the basic airmail conveyance rate according to Article 53
of the Universal Postal Convention.
44 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

A37-21 Cooperation with regional organizations and regional civil aviation bodies

The roles and responsibilities of ICAO and of each of the regional civil aviation bodies and regional
organizations were defined in arrangements of cooperation; collaborative work has avoided
duplication of efforts.

ICAO initiated the development of an established periodic and ongoing planning programme with
regional civil aviation bodies with regard to regional events and programmes.

ICAO also carried out reviews with the regional civil aviation bodies and regional organizations
concerning regional issues within their purview, covering safety, security, environmental protection
and the sustainability of air transport. Regional Offices use every opportunity in their regional
cooperation to leverage the resources of the regional civil aviation bodies based on priorities and
needs of regions and States.

A37-22 Consolidated statement of continuing ICAO policies in the legal field

The Consolidated Statement which contained editorial updates of Resolutions in the Legal Field
was published in the Assembly Resolutions in Force (as of 8 October 2010) (Doc 9958). In
addition to the editorial and consequential modifications, reference to two Montreal Conventions of
2 May 2009 and two Beijing instruments of 10 September 2010 was added. Doc 9958 has been put
on ICAO website.

A37-23 Promotion of the Beijing Convention and the Beijing Protocol of 2010

The Beijing Convention has been signed by 27 States and ratified by or acceded to by seven
States. The Beijing Protocol has been signed by 29 States and ratified by or acceded to by six
States.

A37-24 Promotion of the Montreal Convention of 1999

There is continued emphasis on ratification matters by the President of the Council and the
Secretary General and other ICAO officials during their visits to States. LEB promotes ratification at
legal seminars, during personal deposits by State officials, Assembly sessions and other ICAO
meetings. As of 31 December 2012, the Montreal Convention had been ratified by 103 States.

A37-25 ICAO Policy on the language services

In an effort to achieve parity of language services, all languages (except for English) now have the
same number of translators, and Chinese and Arabic interpretation services are now at par with the
other languages of the Organization. Publications that were not available in Chinese and Arabic are
being progressively translated, according to a prioritized list and subject to voluntary contributions.
Efforts have also been made to translate the ICAO public web site mainly through voluntary
contributions. The public web site is presently available in English, French and Chinese.

In order to maintain a high level of quality, mainly on mission-critical publications, Quality

Management has been implemented to outsourced documents. On 17 April 2012 the ICAO Policy
and Procedures on Outsourcing of Translation Services was introduced which aims to ensure that
all translation outsourcing activities are carried out in a rigorous and transparent manner. It
DOC 10001 — SUPPLEMENT (SEPTEMBER 2013) 45
establishes the scope and basic principles for the outsourcing of translation work taking into
account quality, speed of delivery and confidentiality as well as financial factors. It also describes
the criteria to be followed for the selection of translators and their classification as well as the
mechanism to be applied in relation to quality management of outsourced translations, to ensure
that the work has been carried out in full accordance with specific instructions and terms of
reference, and that it is complete and accurate.

Efforts are being made to align with UN productivity standards and document management
procedures. This includes the implementation of a slotting system for the production of
documentation, the methodology on waiver management and the strengthening of documentation
forecast. As well, workload benchmarking for translators, editors, text-processors and interpreters
and the reporting of productivity at both individual and service levels are presently being developed.

A computer-assisted translation solution was implemented at the end of 2011. All staff members in
the Language and Publications Branch were provided with customized training in 2012, and
training will continue in 2013. This solution will become the backbone system for in-house and
outsourced translation activities. An immediate benefit will be an increase in the quality and
consistency of translations by providing a greater control over the translation process. Productivity
gains could also be realized over time through improved efficiency in the processing of publications
workflow.

A37-26 Budgets for 2011, 2012 and 2013

Section A: No action required.

Section B: No action required.

Section C: No action required.

A37-27 Assessments to the General Fund for 2011, 2012 and 2013

The Secretary General notified Member States of their assessments for 2011 in State letter
A 1/8-10/76 dated 22 December 2010; for 2012 in State letter A 1/8-11/80 dated
21 December 2011; and for 2013 in State letter A 1/8-12/67 dated 29 November 2012.

A37-28 Working Capital Fund

The Council approved the recommendation that an increase to the Working Capital Fund would not
be considered necessary at that time.

A37-29 Amendment of the Financial Regulations

The fourteenth edition of the ICAO Financial Regulations (Doc 7515), incorporating all amendments
approved by the 37th Session of the Assembly, was published in 2011.

A37-30 Approval of the accounts of the Organization for the financial years 2007, 2008 and 2009 and
examination of the Audit Reports thereon

No action required.
46 DOC 10001 — SUPPLEMENT (SEPTEMBER 2013)

A37-31 Appointment of the External Auditor

No further action required as Mr. Didier Migaud, First President of the Cour des Comptes was
appointed for the financial years 2011, 2012 and 2013.

A37-32 Discharge by Contracting States of financial obligations to the Organization and action to be taken
in case of their failure to do so

During 2012, the Secretary General dispatched to all Member States four State letter schedules
showing the amounts due for the current year and up to 31 December of the previous year.

No new arrangements were proposed since the last Assembly. The Council continues to promote
its policy of inviting Member States in arrears to make settlement proposals for the liquidation of
long-outstanding arrears of contributions in accordance with ICAO Resolution A37-32.

As at 30 June 2013, the voting power in the Assembly and the Council of 18 Member States was
deemed to be suspended due to arrears of contributions equal to or in excess of the total
assessments for the three preceding financial years and of those Member States not in compliance
with agreements entered into in accordance with Assembly Resolution A37-32, Resolving
Clause 4 b).

The additional measures stipulated in A37-32, Resolving Clause 9, were also applied during the
period to those Member States which were deemed to have their voting power suspended under
Article 62 of the Convention. Only those States which have no outstanding annual assessed
contributions except for the current year’s assessment were eligible for election to the Council,
Committees, and bodies.

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