International Civil Aviation Organization

World-wide CNS/ATM Systems

Implementation Conference

Rio de Janeiro, 11 – 15 May 1998

International Civil Aviation Organization

World-wide CNS/ATM Systems

Implementation Conference

Rio de Janeiro, 11 – 15 May 1998

WW/IMP–WP/28

11/5/98

REVISED

Item 4

Agenda Item 4:	Technical co-operation challenges

ICAO OBJECTIVES IMPLEMENTATION MECHANISM

AND TECHNICAL CO-OPERATION

(Presented by the Secretariat)

Information Paper

SUMMARY

This paper presents the ICAO Objectives Implementation Mechanism as established by the ICAO Assembly, its main operating procedures and the advantages for States and financing institutions in its utilization for ICAO technical co-operation in CNS/ATM planning and implementation.

1.	ICAO Objectives Implementation Mechanism and technical co-operation

1.1	Establishment of the Mechanism

The ICAO Objectives Implementation Mechanism was established by the 31st ICAO Assembly in 1995. The Assembly endorsed a new policy on ICAO technical co-operation, which includes the establishment of the Mechanism, emphasizing global implementation of SARPs and ANPs including, in particular, CNS/ATM. Resolution A31-14 encourages ICAO Contracting States:

"to make use of the Technical Co-operation Programme of ICAO and to contribute to this new funding mechanism, aimed at consolidating all other funding arrangements".

1.2	Recommendation of ALLPIRG/1 Meeting

The first meeting of the ALLPIRG/Advisory Group held in April 1997 concluded that ALLPIRG members, in accordance with its Terms of Reference and in order to ensure timely and coordinated implementation of the new ICAO CNS/ATM systems, support ICAO and States in mobilizing funds for the ICAO Objectives Implementation Mechanism of the ICAO Technical Co-operation Programme.

A brief description of the ICAO Objectives Implementation Mechanism and its relation to the ICAO Technical Co-operation Programme is provided below.

1.3	Aims of ICAO Objectives Implementation Mechanism

The Criteria Governing the Provision of Technical Co-operation, approved by the ICAO Council in 1984, define the objectives of ICAO Technical Co-operation as follows:

"ICAO will co-operate with Governments in providing assistance to civil aviation development in any sector, international or domestic, when such development will promote the economic and/or social growth of the country concerned, or will enhance the safety and efficiency of civil aviation and implementation of the Regional Air Navigation Plan."

The aims of the ICAO Objectives Implementation Mechanism are to mobilize additional resources for ICAO follow-up on its Regular Programme activities, applied to technical co-operation projects, as required to support the implementation of ICAO's overall mandate and objectives. The Mechanism's objectives define the role of the ICAO Technical Co-operation Programme in the global implementation of ANPs and SARPs, in order to complement the traditional emphasis on the development of civil aviation as an integral part of economic and social development. These objectives include the provision of assistance to States in the preparation of Civil Aviation Master Plans, considered a vital link between Regional Air Navigation Plans and national infrastructure development. The Mechanism is strategically linked to ICAO's plans for the implementation of CNS/ATM, in particular its CNS/ATM Global Plan.

The Mechanism is to give priority and support to States through technical co-operation activities for the purposes of SARPs and ANPs implementation, CNS/ATM, safety oversight, aviation security, civil aviation master planning, restructuring of civil aviation departments/authorities and human resource development.

1.4	Contributions to the Mechanism

The ICAO Objectives Implementation Mechanism includes a variety of funding modalities to suit the particular needs of States and financing institutions, thus providing a framework for flexible arrangements for the implementation of projects. Donations to the Mechanism are also welcome in the form of voluntary contributions in kind, such as scholarships, fellowships, training equipment and funds for training from States and other public or private sources.

Funding and operation of the Mechanism has been established, separately or in combination with each other, in accordance with the following methods:

For a general fund – States or donors may deposit funds in a special account established for the Mechanism. These funds would be used exclusively for the implementation of technical co-operation projects approved by ICAO. The funds would not be tied to projects for any special area or purpose nor would they have to be used for purchase of equipment in the donor country or employment of its nationals, etc.

For a specific ICAO project – States or donors may indicate their willingness to participate in the Mechanism and give an indication of the amount they might be expected to donate for the year. Periodically during the year, ICAO would circulate descriptions of projects requiring financing and States or donors could indicate their willingness to finance all or part of a particular project. On advice from ICAO of the intent to proceed with a project, the funds would be deposited in the account established for that project.

For a specific State project - States or donors may advise ICAO of their desire to see a particular improvement or development implemented and their willingness to finance the project under the Mechanism for technical co-operation. ICAO would then cost the project and submit a preliminary budget to the States or donors. On approval of the preliminary budget a full project document would be developed for signature by the recipient State, the donor and ICAO. The necessary funds would then be deposited with ICAO in an account established for that project.

For a general but identified issue – A variation of the method outlined in c) is for a State or donor to make funds available for a particular issue but to leave it to ICAO's judgement as to exactly how the funds are spent. For example, funds would be determined to be used for fellowships or for advancing some specific technical matter such as CNS/ATM.

1.5	ICAO Technical Co-operation Programme

The ICAO Technical Co-operation Programme is implemented through its Technical Co-operation Bureau (TCB) with the support of its Regional Offices and other ICAO Bureaux, i.e. Air Navigation Bureau, Air Transport Bureau and Legal Bureau. TCB carries out projects funded by developing countries themselves or by bi-lateral and multi-lateral funding institutions.

Virtually all civil aviation provisions in ICAO's 185 Contracting States have to be implemented within the framework of ICAO Standards and Recommended Practices and procedures (SARPs). Regional implementation plans for air navigation services are developed within this framework and maintained at the ICAO Regional Offices by specialists with specific knowledge in civil aviation disciplines and in the particular requirements and deficiencies of the States to whom they are accredited. ICAO technical co-operation objectives are therefore linked to the global implementation of ICAO's SARPs and Regional Air Navigation Plans (ANPs). Special attention is being given in this regard to CNS/ATM systems planning and implementation, in particular the CNS/ATM Global Plan.

The same ICAO specialists who assisted in developing the ICAO SARPs, regional ANPs and regional/global CNS/ATM plans provide technical support and quality control to the ICAO Technical Co- operation Programme. The ICAO TCB1 has immediate access to specialist staff of the Regional Offices, as well as those located in the Headquarters Bureaux for air navigation, air transport, finance, legal, training and procurement matters. The TCB therefore has a capability to exercise technical monitoring, evaluation and backstopping to ensure compliance of the project output with ICAO SARPs; a capability which is unique, bearing in mind ICAO's role as the world regulatory body for international civil aviation, and the ready availability of technical knowledge through the staff employed across a wide range of disciplines.

1.6	Technical co-operation as non-commercial service

Being a non-profit organization, ICAO offers its technical co-operation services under most favourable and cost-effective conditions and guarantees strict neutrality, objectivity and transparency, as it does not represent any particular national or commercial interest, nor the interest of any donor in general. Its advice is therefore governed solely by objective technical and financial considerations.

2.	Conclusion

States and funding organizations alike are responsible for the most cost-effective investments of the funds entrusted to them. It is suggested that it may be in the best interest of these entities to entrusting the implementation of CNS/ATM related civil aviation projects to ICAO, through the ICAO Objectives Implementation Mechanism, which will safeguard their interests, through which compatibility with ICAO Standards and Recommended Practices, the CNS/ATM Global Plan and Regional Air Navigation Plans and adequate return for the investment will be assured.

Specific features of the ICAO Objectives Implementation Mechanism, of interest to States and funds donors, are provided in Appendices A and B.

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WW/IMP–WP/28

REVISED

Appendix A

APPENDIX A

SPECIFIC FEATURES OF THE ICAO OBJECTIVES IMPLEMENTATION MECHANISM

OF INTEREST TO STATES

Assembly Resolution A27-18, in its Resolving Clause 4,

"urges Contracting States to give high priority to civil aviation development and, when seeking external assistance for this purpose, to stipulate to funding organizations, through an appropriate level of government, that they wish ICAO to be associated as the executing agency with civil aviation projects that may be funded".

Association of ICAO by States and donors in the planning and implementation of civil aviation projects will have the inherent advantage of ensuring that not only projects are in full compliance with SARPs and ANPs established but that, in particular with regards to CNS/ATM, the latest developments within ICAO will be taken into consideration in the planning process.

A variety of Trust Fund, Management Services and Civil Aviation Purchasing Services arrangements assure that the funding modalities are convenient for the recipient State and that funds dedicated to civil aviation remain on their ICAO-managed special accounts. It is important to note that the interests earned on these accounts is credited to the accounts and thus remain at the disposal of the State concerned. Funds uncommitted are returned to the government at the end of the project.

Governments with insufficient financial resources may be assisted by ICAO in identifying suitable donors for their projects and in the negotiations with these donors of convenient funding arrangements. That could include loans taken to finance technical co-operation inputs. This is consistent with the established ICAO policy that the costs for improvements in civil aviation services and facilities in developing countries, which benefit first the users of these facilities, could be included in the cost basis for charges after implementation has been completed. Consequently, user charges can be applied to service loans (i.e. repay capital and interest) which finance specific facilities and services provided for, and implemented under, the ICAO Regional Air Navigation Plans.

Technical co-operation recipient States, as ICAO Contracting States, already pay through their contributions to ICAO for support services which can be provided by the Regular Programme. When using ICAO's technical co-operation services, the States have therefore to provide funding only for those components of the project which are directly related to technical co-operation, but not for their technical backstopping2. Part of this support will be achieved through the ICAO Regional Offices which have longstanding, often personal, relationships with representatives of States to which they are accredited and which have the most complete and up-to-date knowledge of the history, culture, civil aviation development and current capabilities, and deficiencies, of any such State. This, in turn, greatly assists in achieving cost-effective and efficient implementation of such projects.

It is ICAO's policy that, when assisting States in the selection of experts, equipment and training establishments required for the implementation of a project, the final selection is left to the government. Civil aviation authorities thereby retain the freedom of choosing what they consider to be the best choice for achieving desired project results. As party of the contract, ICAO will defend the interests of the Government and ensure that all aspects of the contract are properly observed. Also, based on ICAO's status as a United Nations Specialized Agency, certain important privileges may be applicable to civil aviation authorities purchasing equipment through ICAO in accordance with the United Nations Standard Basic Assistance Agreement, in place in most recipient States and applicable to ICAO.

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WW/IMP–WP/28

REVISED

Appendix B

APPENDIX B

SPECIFIC FEATURES OF ICAO OBJECTIVES IMPLEMENTATION MECHANISM

OF INTEREST TO DONORS

Assembly Resolution A27-18, in its Resolving Clause 3,

"recommends Contracting States with bilateral or other government-sponsored aid programmes to consider the value of using the ICAO Technical Assistance organization in helping to implement their programmes of assistance to civil aviation". The same resolution draws the attention of funding organizations to the fact

"that ICAO is the Specialized Agency of the United Nations concerned with civil aviation and, as such, is accepted by the United Nations as the specialist authority for carrying out technical assistance to developing countries in civil aviation projects". It also

"recommends to these funding organizations, wherever appropriate, to give preference to ICAO for the identification, formulation, analysis, implementation and evaluation of civil aviation projects in the field of technical assistance".

ICAO will implement projects in close co-ordination with donors and funding organizations, and in accordance with the conditions defined by the donor/funding organization for the use of funds made available, such as limitations on the geographical area for equipment purchases, expert selection and utilization of training institutions. At the same time, ICAO will take the responsibilities for legally acceptable, technically satisfactory and cost-effective project implementation through comprehensive project monitoring, support, evaluation and reporting.

ICAO TCB can assist governments in the selection of equipment, equipment manufacturers (through international tender calls), individual consultants and consultancy companies as well as existing training establishments to meet project goals in the most cost-effective manner. In this respect, ICAO's neutrality allows for the selection of suppliers on a world-wide basis, where required.

It may also be interesting for donors and funding organizations to note that, unless they specifically ask ICAO not to do so, recipient countries will be informed about the funding sources in order to achieve visibility for the donor/funding organization. Furthermore, contributions received may in particular cases be published in the ICAO Journal for world-wide distribution. Funds are therefore not anonymous, unless the donor/funding organization chooses to make arrangements to that effect.

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