AFRICAN UNION

UNION AFRICAINE

UNIÃO AFRICANA

THIRD SESSION OF THE AFRICAN UNION CONFERENCE OF AFRICAN MINISTERS OF TRANSPORT MALABO, EQUATORIAL GUINEA 25 – 29 NOVEMBER 2013

Definition of specifications of a database and related indicators allowing a dynamic analysis

of the implementation of the Yamoussoukro

Decision to be conducted

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Definition of specifications of a database and related indicators allowing a dynamic analysis of

the implementation of the Yamoussoukro Decision to be conducted

Table of Contents

Resume 5 1.0 Project Purpose 7

1.1 The YD 7 1.2 AFCAC 7 1.3 Need for a Database 7

2.0 Data Study Purpose and Expected Results 9

2.1 TOR Requirement 9 2.2 Purpose of the Data Component 9 2.3 Expected Results/Indicators of Achievement 10 2.4 Study Limitations 10

3.0 Methodology 11 4.0 Diagnostic of Client Work Environment 13

4.1 AFCAC Organisation and Work Method 13 4.2 Assessment of AFCAC IT Environment 15 4.3 Recommendations 16

5.0 Defining Related Indicators Allowing a Dynamic Analysis of

the Implementation of the YD 17

5.1 Introduction 17 5.2 Defining Indicators 17 5.3 EA Evaluation Criteria and Defined Indicators 17 5.4 Conclusion 27

6.0 Defining the Specification of a Database 29

6.1 Database Implementation Project life Cycle 29 6.2 Specification of Client Requirement 29 6.3 Defining the Data Requirement 35

7.0 Determining Data to Collect, Data Collection Plan, Their Sources and an Appropriate Updating Frequency

36

7.1 Introduction 36 7.2 Data Sources 37

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7.3 Data Collection Plan 38 7.4 Enhancing Data Reporting from States 41

8.0 Proposing an Operational Plan for the Setting Up and Use of

the Database 42

8.1 Steps in Database System Development 42 8.2 Action Plan for Database Project Deployment 42 8.3 Resource requirement/ budget estimate based on EU fees 43 8.4 Use of the Database 44 8.5 Publication and Commercialisation of database 45 8.6 Database Security and Protection 45

9.0 Drafting Technical and Operational TOR 46

9.1 Draft TOR for the Recruitment of a Database Consultant 52 9.2 Draft TOR for the Recruitment of an Air Transport Knowledge

Expert 59

9.3 Hardware and Software Requirement 63 10.0 Assessing the Database Flexibility in Case of Changes,

Making Adjustment if Needed 47

10.1 Database flexibility 47 10.2 Problems of Database flexibility 47 10.3 Designing for flexibility 47 10.4 Recommendation 47 10.5 Assess system security and data recovery strategy 48

11.0 Conclusion and Recommendations 49 11.1 Working with the Client 49 11.2 Constrains in carrying out study 49 11.3 Outcomes and recommendation 49

Appendices

12.0 Appendices 51 12.1 Draft ToR for the Database Procurement 52 12.2 Draft ToR for Knowledge Expert 59 12.3 Hardware and software Requirement 63 12.4 Database Uses – Dash Board 65 12.5 Indicators Questionnaire Analysis 68 12.6 Indicators Questionnaire 76 12.7 References 84 12.8 List of Persons Contacted 87

List of Tables

Table 1.0: Functions of the Department of Air Transport 14 Table 2.0: Diagnostic of Existing IT and Data Collection System – AFCAC 15

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H/Q Table 3.1: EA IYD Evaluation Criteria and Defined Indicators 19 Table 3.2: Empirically Determined Indicators 24 Table 4.1: Database Input Requirement Specification 31 Table 4.2: Database Output Requirement Specification 32 Table 5.0: Defined Data Requirement for the Database 35 Table 6.0: Defined Data Tables and Possible Sources and Updating

frequency 36

Table 7.1: EA YD Database Data Collection Plan Tool 1 40 Table 7.2: EA YD Database Data Collection Plan Tool 2 40 Table 8.0: Resources Requirement and Budget 43 Table A1: Hardware and Software Requirement 63

List of Figures

Figure 1.0: Project Life Cycle – Database Implementation 29 Figure 2.0: Input/Output Holistic System Analysis 30 Figure 3.0: Database Operationalisation Steps 42 Figure 4(a) Annual Traffic Trend 44 Figure 4(b) Change in Trend Plot 44 Figure 5(a) Hub-Spoke Network System 45 Figure 5(b) Need for New Hub Locations 45

Acronyms

Acronyms Definition

ACI Airport Council International

AFCAC African Civil Aviation Commission

AFRAA African Airline Association

ARC Airline Reporting Corporation

ASA Air Service Agreement

ASECNA (English) Agency for Aerial Navigation Safety in Africa and Madagascar (English) / Agence pour la Sécurité de la Navigation aérienne en Afrique et à Madagascar (French)

ATC Air Traffic Control

ATM Air Traffic Management

AU African Union

AUC African Union Commission

AVSEC Civil Aviation Security

BASA Bilateral Air Service Agreement

CAA Civil Aviation Authority

CEDEAO/ECOWAS Economic Community of West and Central African States (CEDEAO in French)

CNS/ATM Communication, Navigation and Satellite system and Air Traffic Management

DBMS Database Management System

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Acronyms Definition

DFD Database Flow Diagrams

Doc. Document

EA Executing Agency

EASA European Aviation Safety Agency

EAYD Executing Agency of the Yamoussoukro Decision

e-bulletin Electronic news letter

ECA or UNECA United National Economic Commission for Africa

e-filing Electronic reporting or uploading of files/documents for filing

ERD Entity-Relationship Diagram

EU European Union

FAA Federal Aviation Administration

GHC Ground Handling Company

H/Q Headquarter

IATA International Air Transporters Association

ICAO International Civil Aviation Association

IT Information Technology

IYD Implementation of the Yamoussoukro Decision

KE1/KE2/KE3 Key Expert 1/2/3

MASA Multilateral Air Service Agreement

MIDT Marketing Information Data Transfer

OAG Official Airline Guide

OAU Organisation of African Unity

RECs Regional Economic Communities

SADC Southern African Development Community

SC1/SC2 Steering Committee meeting 1/2

SG Secretary General

SPSS Statistical Package for the Social Scientist

TOR Terms of Reference

TSA USA Transportation Security Agency

WASA World Air Service Agreements

YD Yamoussoukro Decision

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Resume In 1999, the Yamoussoukro Decision concerning the liberalisation of access to Air Transport Markets in Africa was signed during a meeting of the African Ministers responsible for Air Transport. The Yamoussoukro Decision (YD) deals with the liberalisation of air transport markets in Africa. Its main objectives are to: (1) facilitate inter-African connectivity; and (2) develop an inter-African network. It was approved on the 12th of July 2000 by the Meeting of Heads of African States in Lomé. One provision of the YD, (Article 9.4) is the creation of an Executing Agency. The Third AU Conference of Ministers responsible for Air Transport in 2007, adopted a Resolution entrusting the functions of the EA of the YD to the African Civil Aviation Commission (AFCAC). AFCAC’s constitution was modified accordingly (Article 4.j), provisionally into effect in May 2011. Within the framework of strengthening the capacity of AFCAC, as the Executing Agency for the management and supervision of the implementation of the YD, the AU through EU funding, contracted studies including a study on the Operationalisation of the Yamoussoukro Decision, with a component on the definition of the specification of a database and related indicators. The aim of the study is to define the specifications of a database and related indicators allowing a dynamic analysis of the implementation of the Yamoussoukro Decision to be conducted. It will determine the data to be collected, their sources and an appropriate updating frequency. The database will facilitate AFCAC’s ability to monitor the IYD, monitor the impact of air transport liberalisation in Africa, and support AFCAC’s efforts in enforcement of competition rules and monitoring the protection of consumers within the African air transport industry. This report presents the results of the study, covering (a) the definition of legal, economic and statistical indicators, (b) defined database requirement and drafted terms of references for the acquisition of the database system. The main conclusions and recommendations of the study include:

(a) The need for a data collection strategy and a harmonised method of

collecting data in order to measure the impact of YD and IYD; (b) ICAO reference documents and definition is main standard recommended

in the definitions of data for the database. (c) Due to the complexity of the database required, it is recommended that

two services should be procured, (i) Database Developer and (ii) Air Transport Knowledge Expert.

(d) The Monitoring and AFCAC should have a set of agreed Indicators. All

RECs should also have the same set of evaluation criteria and related

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indicators. RECs should establish similar indicators for State use and reporting.

(e) The EA needs to initially focus on carrying out a detailed analysis of the

current IYD for each of the 55 Party States. This entails a strategy on data collection. Analysis by RECs distorts the results on the status of IYD. The YD has no provisions for RECs to either designate an airline or negotiate ASA with other States or RECs.

(f) Completion of the capacity building of the EA of the YD – by the recruitment

of an IT staff, data analysis and acquisition of other resources to enhance its functioning and effectiveness.

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1.0 Project purpose 1.1 The Yamoussoukro Decision (YD): In 1999, the Yamoussoukro Decision concerning the liberalisation of access to Air Transport Markets in Africa was signed during a meeting of the African Ministers responsible for Air Transport. The Yamoussoukro Decision (YD) deals with the liberalisation of air transport markets in Africa. Its main objectives are to: (1) facilitate inter-African connectivity; and (2) develop an inter-African network. Liberalisation includes removal of obstacles, such as restrictions on traffic rights including 5th freedom, restrictions and limitations on capacity and frequency between city pairs, non-transparent manner of approval/disapproval from states’ CAAs, imbalance in the tariffs and lack of multiple designation possibilities for competent airlines. Instead of the current state of mostly bi-lateral agreements, the YD gives eligible airlines of all African States the opportunity of a harmonised and equal basis governed by a common body of aviation rules, which are being developed by AFCAC with technical assistance from the project. In 2000 the Organization of African Unity’s (OAU) Assembly of Heads of State endorsed the Yamoussoukro Decision (YD). The OAU’s successor, the African Union (AU), gave the YD the necessary legal dimension which came into force in July 2002. Unfortunately, the operationalisation and execution has been unduly delayed. 1.2 AFCAC – The Executive Agency: Within the framework of strengthening the capacity of AFCAC, as the Executing Agency for the management and supervision of the implementation of the Yamoussoukro Decision, Yamoussoukro Declaration on the liberalization of access to air transport markets in Africa, the AU through EU funding, contracted studies on the Operationalisation of the Yamoussoukro Decision, including a study on the specification of a database and related indicators. The added functions of AFCAC as EA includes: (a) monitoring the current status quo of the African aviation industry, harmonisation of applicable regulations related to air transport liberalisation, investigation of compliance of the various stake holders, in particular airlines, airport and other service providers to competition rules and ensuring the protection of the rights of air transport users (consumers). 1.3 Need for a Database: AFCAC currently carries out its EA supervisory and management duties through the use of conventional methods of information gathering such as writing to entities concerned to request for data and information. Information received is assessed on paper, to enable the generation of reports. Given its powers as the EA for the management and supervision of YD, the diverse nature of its partners and associated stakeholders, AFCAC needs to implement innovative technologies including management information systems tools in order to perform its duties. A database system to be hosted at its Head Office in Dakar, with replications at the Regional Economic Committee Head offices (RECs), is such an essential tool to assist AFCAC in its decision making regarding the management and supervision of the Yamoussoukro Decision. The database will

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facilitate AFCAC’s ability to monitor the implementation of YD, monitor the impact of air transport liberalisation in Africa, and support AFCAC’s efforts in enforcement of competition rules and monitoring the protection of consumers within the African air transport industry.

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2.0 Data Study Purpose and Expected Results

2.1 TOR Requirement:

The monitoring and achievement of the implementation of the YD requires the Executing Agency to have a legal and economic database allowing the situation regarding the theoretical and practical application of the Decision’s provisions to be known. This involves, in particular, traffic rights and the designation of foreign carriers. The latter refers to requirements in terms of safety and security (Article 6 of the Decision). Moreover, environmental requirements can also have an influence on liberalisation. Lastly, implementation obstacles perpetuate from the lack of knowledge of the advantages resulting from market liberalisation.

The Consultant will define the specifications of a database and related indicators allowing a dynamic analysis of the implementation of the Yamoussoukro Decision to be conducted. It will determine the data to be collected, their sources and an appropriate updating frequency.

It will propose an operational plan for the setting up and use of the database. It will draft technical and operational terms of reference in order to acquire the equipment and software necessary for the implementation of this database.

The design of the database should easily allow new data and indicators to be taken into account, in the case of a change in the environment or in the air transport stakes, for example. 2.2 Purpose of the Data Component:

The tasks under Component 2.4 entail:

(a) Defining the specifications of a database; (b) Defining related indicators; (c) Determining data to be collected, their sources and an appropriate updating

frequency; (d) Proposing an operational plan for the setting up and use of the database; (e) Drafting technical and operational terms of reference in order to acquire the

equipment and software necessary for the implementation of the database; and

(f) Assessing the database flexibility in case of changes, making adjustment if needed.

The defined database specification and related indicators should allow a dynamic analysis of the implementation of the Yamoussoukro Decision (IYD).

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2.3 Expected Results/Indicators of Achievement:

Report on the results of the study covering the tasks indicated in 2.2. The main deliverable is this Study on Database and related indicators. The following outputs would be achieved in completing this study:

Database requirement document elaborated

Legal and economic indicators defined – data dictionary document/report

Technical/Operational ToR for system acquisition elaborated

Draft/Final Report completed and approved (Component 2.4)

2.4 Study limitations:

2.4.1 The study is limited to the requirement as in the terms of reference. Any change in scope without the appropriate change in allocated resources has been neglected. For instance, the Clients expressed the desire to have the specification of an air transport database. To accomplish such an assignment would require an extra man-month. ICAO has recently defined what it considers as the air transport industry. It includes general aviation, agriculture aviation, manufacturing activities, aviation training institution, CNS/ATM, etc. These air transport related activities which fall outside the scope for a database required to dynamically assess the implementation of the Yamoussoukro Decision.

2.4.2 The Client has also indicated the need to have an operational database

including the need to have the database populated with the required data. Obtaining an operational database involves several steps: (a) investigation/analysis/diagnostic of existing system and requirement, (b) conceptual specification of the database (determining required tables, inputs, outputs, system needs, etc), (c) logical and functional design – actual design of the database with codes and mechanism for ensuring that the metadata structure is optimal, design of forms for data collection, etc, (d) physical design – writing codes, selection and use of a database management system such as oracle, (e) Operationalisation of the database and testing, (e) installation and maintenance, (f) provide documentation and training, (g) post installation evaluation, and (h) maintenance and data updating. This study is limited to steps (a) and (b). It is necessary to recall that 33 working days are allocated to the entire data study including travel days. Hence the study is limited to the definition of a database as required in the TOR. The output should be sufficient in writing the terms of reference for the acquisition of the required database including software licenses and hardware.

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3.0 Methodology 3.1 The detailed study methodology is defined in the Inception Report. The

consultant applied a range of research methods including desktop literature research and analysis of previous reports and studies on the issues of IYD indicators, interviews and meetings with Client/stakeholders, survey using a questionnaire and analysis of questionnaire responses in order to define indicators for IYD monitoring.

3.2 The Consultant carried out a diagnosis of the existing IT facilities, staffing and current work methods in order to scope out the requirements for the database, identification of likely users and required IT architecture. Using input/output system analysis, the Consultant was able to define specification requirements for the database including system needs in terms of hardware and software. The report also provides various tools for relevance evaluation of the specified requirement and data collection work plan tools.

3.3 The only major change to the methodology given in the Inception Report is the fact that the Contracting Authority recommended not to carry out visits to the RECs or States as initially requested. The Consultant used questionnaire and discussion with relevant stakeholders on-line in accomplishing the assigned tasks in this study. Several short comings were identified with the use of this data gathering approach such as non-responses. Hence there are gaps in the results. These gaps in the study results can be filled in whenever a visit to the States/RECs is made. The Consultant is inferring specifically to the identification of data sources and method of collection for the operationalisation of database.

3.4 Relevant references related to data analysis

Djankov, S (2002) and WB/IFC report (2010) describe a methodology for the assessment of state regulation of doing business. Similar methodology and data collection method can be applied to the aviation sector. Secondly, the methodology allows the ranking of states. A similar method can be used to rank states on the degree of YD compliance. Doing business reports have been a good tool for lobbing states to make changes to their start-up business regulations.

ICAO (2005) provide data sources for Party States ASA and the WTO (2006) describe a model for assessing the impact of ASA openness vis-à-vis traffic between two states. The methodology defined by the WTO is the model the EA needs to adopt in assessing the impact of YD

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implementation in Africa. So far none of the studies reviewed have made any attempt to provide a rigorous analysis of this subject.

A paper by Ndoh, N. N et al (1995), the authors presents a study on the impact of excessive air transport supply via hubbing at selected airports in the US and models the effects of such excessive supply on local demand. Evaluating the impact of YD needs the application of similar modelling method based on time series data. Causality was established using cross-correlation-function analysis based on time-series transfer function modelling.

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4.0 Diagnostic of Client Work Environment 4.1 AFCAC organisation and work method 4.1.1 AFCAC – Function as an EA of YD:

The detailed diagnostic of AFCAC and its functions are covered in Component 1 of this project. In summary, AFCAC is a special agency of the AU, the regional commission of ICAO in Africa with co-ordination and assistance function. AFCAC is also the Executing Agency of the YD, in accordance with Article 9.4 of the YD1, AFCAC’s primary role as the EA of YD is to supervise (in economic terms) and manage the liberalised air transport industry in Africa. In this capacity, AFCAC is to ensure the effective implementation of the Yamoussoukro Decision, within enforcement capabilities. It should also take into consideration important issues such as safety and security which form an inseparable part of liberalisation. 4.1.2 AFCAC – Current and future organisation:

AFCAC currently has the following functional organisation:

(a) An SG reporting to a Bureau, under a Plenary. The SG has a Technical advisor on General/Safety matters. Under the SG, are seven other structures or Posts (the Secretarial Services, Office of the SG, the Legal Counsellor, Permanent Committees, Director of Safety and Technical Services, Director of Air Transport and Ad-hoc Working Groups.

(b) The Director of Safety and Technical Services covers safety norms, air

navigation services and infrastructure and training. (c) The Director Air Transport covers security, Yamoussoukro Decision and

air transport and the environment. (d) There is an Administration and Finance officer not indicated in the current

chart. The YD provides for the EA to report to the YD monitoring body, which is not reflected in the current chart. Neither is the inter-relationship between the EA and the RECs defined. Future modification to the current structure would certainly impact on future IT needs and scalability of the database. This information should come from Component 1.

1 Article 9.4: To ensure successful implementation of the Decision, an African Air Transport Executing

Agency will be established as soon as possible. The principal responsibility will include inter alia the

supervision and management of Africa’s liberalized air transport industry.

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4.1.3 Manpower resources and attributions:

The AFCAC Headquarters has 13 staff and three supporting workers. Each of staff identified, occupies an office with access to the internet, using either desktops or laptops. An assessment done in March, 15th 2012 identified 7 desktops in use of different marks and three laptops.

More recently, laptops have been provided to all the key staff personnel. The department directly assigned responsibility for the YD implementation is the Director of Air Transport. Its 2012 action plan indicates the following objectives and strategies.

Table 1.0 – Functions of the Department of Air Transport

The above task list covers the provisions in the YD including Article 7 on competition rules and Article 9.5, Article 8 on dispute settlement and Article 9.6. Also covered are AVSEC and environmental protection. The qualification and IT skills of the current staff was not assessed, as this forms part of the output in Component 1. The Client needs to provide further clarification on the meaning of the phrase: “implementation of the YD”. It is an overused phrase, which also covers a vast list of activities. Similarly the phrase “the liberalisation of the airline industry in Africa” needs to be clarified.

Responsibilities of AFCAC’s Department of Air Transport The Air Transport Department of AFCAC aims to promote sustainable development of air transport in Africa, by:

Facilitating, coordinating and ensuring the successful implementation of the

Yamoussoukro Decision through the supervision and management of the liberalization of

the airline industry in Africa.

Continuing to facilitate the full liberalization of air transport in Africa.

Promoting and encouraging the development of a production system of air transport

development in Africa.

Coordinating, promoting and supporting sustainable development of air transport within

the African Civil Aviation to facilitate and accelerate the integration and free movement of

persons and property.

Promoting and encouraging the development of a Common African?? in terms of civil

aviation.

Supporting fairness for consumers in the field of civil aviation without imposing

unnecessary costs, providing consumers with adequate protection without affecting the

normal functioning of the manufacturing industry.

Developing and harmonizing common rules and regulations to ensure fair competition

A comprehensive approach in the context of reducing emissions of greenhouse gas

emissions and environmental impact management of aviation (noise and emissions).

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4.1.4 Current work method and data use:

The consultant observed that AFCAC is currently involved in several co-ordination activities, in particular participation in continent-wide meetings and seminars. The use of paper system is prevalent. The client however expects the database to assist with future AFCAC activities related to the implementation of the YD. Internet is extensively used for communication. No specific database was identified, even in flat files. Two staff members are directly involved with the implementation of the YD, though the Air Transport Director has three other staff, one legal, one AVSEC and an air transport officer. Other staff complement duties related to the implementation of YD such as the Technical Adviser and the Legal counsellor. 4.2 Assessment of AFCAC IT environment 4.2.1 Current IT system and identified constraints:

One of the major challenges the consultant had to deal with was the absence of an IT staff at the Client site. Hence technical information was difficult to determine and relevant document not accessible. The internet services and its maintenance is outsourced including routine maintenance of AFCAC IT pack. The management has already taken action to recruit an IT staff (May, 12th, 2012). By the time of the validation workshop in September 2012, an IT staff was on post. A diagnostic of the existing IT infrastructure at AFCAC H/Q was made in May 2012 and is reported below:

Table 2.0: Diagnostic of Existing IT and Data Collection Systems – AFCAC H/Q

Servers/Peripheral Architecture - Current Installation

Component Installation/type/model Quantities Remarks

Servers

Server Operating systems Windows server 2003 R2 1

Switches TP LINK TL-SF1024 2

Printers / Scanners HP LaserJet 1030 – 3 in 1 1

Anti-virus/server version McAfee antivirus 2009 1

Other IT Infrastructure

Component Description

CAN Architecture

- Topology

Client/server

Printer and scan machine

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Component Description

Standard workstations

- Quantities

- Connections

- Operating system

8 desk-tops (mostly Dell )

2 laptops

By end of April, all staff were given Dell laptops

Windows

Application software/ Office system Office 2003 Professional, Windows XP SP3

Internet/Intranet System ADSL 2Mbs/s

IT System Maintenance Outsourced

IT Budget (last two years) Not provided

4.2.2 Hardware and software:

Available hardware is shown above. Most desktop and laptop also have the full suite of Microsoft office software. 4.2.3 Timing and cost constraints:

The Consultant held a consultation meeting with the Client on April, 16th, 2012. The Client indicated that the need for the database is long overdue but there was no budget allocated to acquire the database. Best practice demands the specification of a database or systems that fits the available budget allocated. 4.2.4 Current IT at RECs:

A diagnostic of the IT resources at the RECs was not performed, given the lack of visit to the RECs. It is however important to have an appreciation of the systems existing at the RECs, in case the database has to interface with users and systems at the level of the RECs. 4.3 Recommendations:

(a) Completion of the capacity building of the EA of the YD – by the recruitment of an IT staff, data analysis and acquisition of other resources to enhance its functioning;

(b) Completion of diagnostic of the EA of YD staff for competence, particularly in use of IT, and database relevant to this component;

(c) Undertake an assessment of IT infrastructure at the level of the RECs; (d) AFCAC needs to have a YD champion within its Senior Staff to encourage

others to buy-in.

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5.0 Defining Related Indicators Allowing a Dynamic Analysis of the Implementation of the YD

5.1 Introduction:

An indicator is considered here as any piece of data or information that can be used to verify the implementation and the effectiveness of the YD implementation. The indicator should have a measure that allows comparison between the past, present and future, in order to permit a dynamic assessment of the IYD. Defined indicators need to be relevant to the assessment of the IYD analysis and also resource efficient in its determination and collection. Indicators to be defined would be used at several levels by the different stakeholders to the YD implementation, indicators relevant to states, the RECs at a regional level, to the Executing Agency of the YD, the Monitoring Body, the AUC, and African Ministers in charge of Civil Aviation as well as to the Union of Heads of State. What may differ is the level of details or aggregation. 5.2 Defining indicators:

Several means can be used to determine relevant indicators for the dynamic analysis of the YD implementation. The most direct method is to review article by article of the YD, pose the right question to determine how it provision would be applied and generate indicators for monitoring the actual implementation of each article. Such indicators would act as means of verification. The same approach can be applied to the competition rules to be harmonised and consumer protection regulations to be elaborated. Alternatively, we can (a) borrow from previous reports and studies defined indicators related to air transport liberation and (b) undertake a survey of experts and stakeholders to find out the opinion on different indicators and their relevance. The Consultants used the above three methods in defining indicators. 5.3 EA evaluation criteria and defined indicators:

The AU defined the IYD evaluation criteria are combined with criteria found in the literature to produce an EA set of evaluation criteria. Indicators were then defined for each of the evaluation criteria. Whilst it may seem to generate a large set of indicators, the EA needs to refine them for each purpose and/or envisaged application, in particularly the available data would dictate the number of indicators to be retained. Priority has to be given to those indicators that measure the impact of YD such as (a) capacity, (b) traffic, (c) tariffs, (d) route structure measures, (f) granted 5th freedom rights and (e) number of eligible airlines. The AU Air Transport Policy document requires AFCAC to define targets for some of the indicators. This is very important for monitoring and evaluation. Establishing targets of the YD monitoring indicators would require further work, including data collection, which is beyond the scope of this assignement.

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Table 3.1: EA IYD Evaluation Criteria and Prioritised Defined Indicators

Related Area No./Evaluation Criteria Indicators/mean of verification Global Objectives Global: Existence of a conducive

environment for the development and provision of safe, reliable and affordable air transport services necessary for the free movement of persons, goods and services in Africa (preamble to YD)

- degree of successful IYD (e.g. level of connectivity) - Level of African States compliant with ICAO SARPS - number of African airlines competing globally - Fare levels - increase in intra-African trade (movement of people and goods) - Level of civil aviation accidents - number of physical barriers to the movement of Africans in Africa

Institutional Architecture The completion of national, regional and continental institutional mechanisms to support IYD.

- names of national/regional/Continental institutions involve with the IYD - EA effectiveness - Monitoring Body effectiveness - sub-committee on air transport effectiveness (effectiveness measured by reports, meetings, powers to the EA and resources available to each entity compared to needs in order to function) - institutions of consumer protection/competition rules enforcement

Sub-Committee on air transport responsible for supervision, follow-up and implementation of YD (art. 9.1

- number of communication events - number of reports every two years - number of participating Ministers

Monitoring Body effectiveness (Art. 9.1 and Annex 3).

- Existence of guideline at State level; - no of studies/seminars/workshops carried out - no. of technical documents/guidance material produced; - no. of dispute cases resolved; - no of anti-competitive practises resolved or dealt with - no. of communication events organised.

ECA Effectiveness (art. 9. 3)

- no. of reports produced - no. of communication events organised

EA Effectiveness (art 9.4)

- reporting on evaluation criteria - budget allocated - capacity of YD related staff - industry opinion of IYD success - no. of communication events

RECs effectiveness (art 12.2)

- protocols with the EA - harmonisation of regulations

Legal Framework

The completion of constitutional requirements for implementation, where applicable;

- names of national/ regional /Continental institutions involve with the IYD - EA/MB/ECA/ sub-committee on air transport effectiveness (effectiveness measured by reports, meetings, powers to the EA and resources available to each entity compared to needs in order to function)

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Related Area No./Evaluation Criteria Indicators/mean of verification (Continental/RECs/States) - institutions of consumer protection rules /competition rules

enforcement/dispute resolution - EA protocols with RECs and their application

the harmonisation of national and/or regional air transport policies (Article 2);

- Implementation of YD; - Number of non physical barriers removed (immigration, customs, etc) - fares and tariff liberalisations - liberalised BASA as in YD - Existence in State laws, provisions indicating adherence to YD. - does the state have a more liberalized air transport policy compared to YD? - licensing based on the eligibility criteria

Harmonised Competition rules - Adoption of harmonised competition rules at AU/RECs/State levels.

Consumer protection regulations - Adoption of consumer protection regulations at AU/RECs/State levels.

Dispute resolution mechanisms - Adoption of a dispute resolution mechanism at AU/RECs/State levels.

State compliance / ratification of the eight and any other international conventions (Rule of Law)

- Ensuring state signatory, accession and/or ratification of the following conventions:

- (i) AFCAC new constitution, -(ii) Chicago convention (1944) – (iii) Vienna Convention, - (iv) Tokyo Convention (1963), - (v) Hague convention (1970), (vi) Montreal Convention (1971) (vii) Montreal Protocol (1988): (viii) Convention on the marking of explosives for the purpose of detection (1991), (ix) The Beijing Protocol (2010), (xi) Cape Town instruments (2001), (xii) Modernized Rome Convention done at Montreal

Guidance Material and Capacity building (Continental/RECs/States)

Guidance Material

- Existence of guideline at RECs/ State level; - Guideline material addresses conditionality listed in the YD

Capacity building

- number of trained persons on the implementation of YD

Operationalisation and Oversight of Right exchange mechanism

the multiple designation of airlines between all city pairs in Africa – Article 6(a)

-City pairs and number of airlines designated as in ASA. - Actual number of airlines operating on given city pair. - number of multi-national African airlines and number designated in ASA - number of non national AU designated in ASA between Party States

conformity with the eligibility criteria in the YD – article 6.9 and Article 6.11 (document approval or recognition by other states)

- no of AU states eligible airlines based on the YD criteria - number of airlines refused access based on YD eligibility criteria - number of eligible AU airlines endorsed by the EA (endorsement based on check of conformity with criteria)

YD Compliant ASA model between Party

- number of ASA non comparable with model

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Related Area No./Evaluation Criteria Indicators/mean of verification states (Article 2)

2e (ix) exchange of fifth freedom traffic rights (FTR) – Article 3

- no of city pairs on which FTR are granted in ASA - actual number of routes operated as FTRs - table indicating routes eligible airlines would want to operate as 5FTR - actual number of FTR granted to airline - actual number operated.

2e (x) non-approval of tariffs by governments, taking into consideration applicable competition rules – article 4

- Does ASA comply with YD provision on tariffs - airline complaints on non approval of fairs - fare per km (benchmark) - Fuel prices - number of competing airlines - evaluation benchmark of fares per km - fare capping on certain routes - airline compliances on lowering of fares (article 4.2)

Procedures required implementing open skies between two States

- RECs harmonised BASAs to MASAs - Removal of physical barriers such as visa requirement within RECs

2e (viii) frequencies between any two States Parties – article 5

- quantify the no. of flights on each sector between Party States , a/c type and seats, the fare on each sector per week - viability of sector frequencies vis-à-vis load factor - evaluation benchmark

SARP Compliance and Risk Assessment

Compliance with International Civil Aviation Organisation Standards and Recommended Practices – Article 6.12

- Degree of compliance based on ICAO audits (safety and security- eight critical elements) - Conventions signed by each state - Oversight capabilities of State CAAs – results to be extracted from the ICAO audit program (index) - number of eligible airlines approved by state and endorsed by the EA

Surveillance of Operated Services (performance monitoring)

Impact of Liberalization in terms of traffic volume, flight connectivity, fares/rates, reliability of services and licensing of new carriers. – with emphasis on intra-africa traffic

Trend and causality analysis of - traffic volume changes - flight connectivity (number of direct flights/delays) - fare levels benchmarked across all routes - delays /weekly frequencies for reliability of services - number of new start-up airlines - Aircraft movement – arrivals and departures

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Related Area No./Evaluation Criteria Indicators/mean of verification - Passenger and cargo traffic - International market share - Average load factor for the AU air carriers - African city pairs

Cooperation among airlines to facilitate code sharing and interlining Agreements –article 11

- number of code share flights between African eligible airlines - number of interline arrangement between airlines

Non-AU Airlines performance

- Aircraft MVT – arrivals and departures - Passenger and cargo traffic - International market share -Average load factor for the AU air carriers - African city points served

Regulation enforcement

Competition rules enforcements - complaints from the various parties on various anti-competitive practice including abuse on dominant positions, subsidies and discriminations - reports on the handling of the following anti-competitive behaviour including abuse on dominant positions, subsidies and discriminations - measures related to anti-competitive practices - non price fixing - abuse of dominant positions - non-discriminatory regulations - restrictions on subsidies -reports on investigations

- Compliance of airlines with existing norms against anti-competitive practices – Article 7

Consumer protection rules enforcement - complaints (several issues – denied boarding, compensation, misleading adverts, etc) -reports on consumers protection investigation

Ensure YD Compliant ASA

- no. of ASA compatible with the YD (article 2) - no of ASA more flexible than the YD between member States (Art 10.5)

Conflict Resolution Difficulties being encountered and impediments to implementation

- number of existing constraints resolved at the level of EA/MB/MICAT/AU - enforcement of competition roles - enforcement of consumer protection rules

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Related Area No./Evaluation Criteria Indicators/mean of verification - implementation of a dispute resolution mechanism - capacity enhancement of the EA

Dispute Resolution Mechanism Disputes handled - no. of cases resolved by negotiation and/or arbitration - no. of court cases

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Table 3.2: Empirical Determined Indicators

Surveyed Issues and Indicators Ranking (1- indicates most important factor) Section 1: Identification of High Level Concerns (Reporting Requirements,

Expected Benfits and Envisaged Constrains) Q1: Identification of high level issues for YD monitoring 1: Member States that have granted traffic and operational rights on the basis of YD,

and how often 5th freedom rights have expressly been included; 2: Member States that have refused to authorise airlines on grounds of the eligibility or

other criteria, how and whether the issues have been resolved; 3: The extent to which YD has contributed to fare levels in Africa and benefits to pax; 4: Whether current traffic increases on certain routes can be ascribed in part, to the YD; 5: How often the Monitoring Body or the RECS have been called on to handle

complaints from eligible airlines or disputes between Member States; 6: Member States that submitted any form of Declaration of Commitment, and, in the

case of Annex 1 (b) and 1(c) when the limitation expired; 7: The impact of YD on any national airline and in particular any resulting bankruptcies. Q2: How would you like to receive any reports on the implementation of YD from AFCAC? 1: Yearly implementation reports covering all AU state; 2: Bi-annual implementation reports covering all AU state; 3: A Report every two years covering all the states.

Q3: The merit of full implementation of YD within my region or country 1: Easy connectivity to other African countries; 2: Enable the availability of low fares; 3: Increased competition on more routes; 4: Opening of new routes; 5: Increased traffic growth (passenger and/or cargo; 6: Growth in tourism; 7: Employment generation; 8: Aircraft fleet renewal; 9: More African carriers; 10: Services to more airports; 11: Growth of hub locations; 12: Emergence of low cost airlines; 13: Stronger national carrier and/or big multinational carrier competing on a global

market. Q4: Identification of perceived YD implementation constraints

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Surveyed Issues and Indicators Ranking (1- indicates most important factor) Section 1: Identification of High Level Concerns (Reporting Requirements,

Expected Benfits and Envisaged Constrains) 1: Lobbying effects of national airlines including national pride and fear of loss of

sovereignty; 2: Lack of essential regulations (competition, consumer, dispute); 3: Non- effective YD implementation monitoring mechanism; 4: Non-liberalised national air transport regulations; 5: Under-capitalised African airlines; 6: Use of ownership clauses in BASA to restrict designation; 7: Non-liberalised market access on the ground: airport facilities, ground handling

services, monopoly in air traffic service provision; 8: High level of non-compliance with ICAO safety and security standards; 9: Lack of competent manpower; 10: Existence of few autonomous civil aviation authorities; 11: Influence of foreign airline on market shares; 12: Infrastructure airport capacity limitation; 13: Environmental compliance requirements; 14: YD more restrictive as compared to more liberalised ASA available to African

countries (e.g. US open skies, EU open skies ASA). Section 2: Identification of relevant performance indicators to permit a dynamic

analysis of the implementation of YD. Q5. Legal compliance related indicators: 1: AFCAC assessment of percentage compliance of State’s ASA with YD provision

based on comparison with each article; 2: Annual State report of YD routes initiated or terminating; 3: Report of complaints made against other states and received from other states; 4: Applications for grant of rights. Q6: Level of industry competition indicators: 1: Re-distribution of market share and capacity shares in particular markets where a

dominant airline exist; 2: Number of routes operated by two or more eligible African airlines; 3: Table of price changes on YD routes; 4: Airlines and consumer competition perception index in each State including

perception concerning airport services established every other two years 5: Annual/Bi-annual table of eligible airlines operating YD routes; 6: Number of state implementing competition regulation compliant with YD and

evidence of number of competition related complains resolved; 7: Supervision of competition at the level of AFCAC is effective; Q7: Indicators related to the impact on airline operators: 1: Annual growth in traffic carried by African carriers- passenger revenue seat kilometre

and cargo revenue tonne kilometre; 2: Number of non national airlines designated in accordance to provision in line with YD

Article 6.2; 3: Number of low cost carriers operating from each State assessed each year; 4: Changes in market share of national airlines; 5: Reported bankruptcies, merges and new airline start-ups; 6: Investment and ownership of airlines operating from a given State every two years; 7: Consumer airline quality of service perception index in each State established every

other two years;

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Surveyed Issues and Indicators Ranking (1- indicates most important factor) Section 1: Identification of High Level Concerns (Reporting Requirements,

Expected Benfits and Envisaged Constrains) 8: Annual benchmark of African airline website information contents and use of smart technology to effect sales.

Q8: Indicators related to the impact on airport operators: 1: Annual growth in traffic at each airport- total commercial passenger, number of

connecting passengers, cargo tonnage, number of commercial aircraft movement; 2: Number of new destination/points available from each airport; 3: Airport terminal capacity –existing in last 5 years and projection in next 5 years; 4: Change in market share of airline traffic at an airport assessed every two years; 5: Number of low cost carriers operating from airport; 6: Annual changes in ACI-Africa airport traffic ranking and hub status; 7: Change in number of airport employees established every other two years; 8: Annual number of International State airports certificated in compliant with ICAO

standards and YD Article 6.12 (c); 9: Annual number of privatised airports in a State; 10: Annual number of competition related complaints regarding airport services; 11: Survey results of Airlines and Consumer on the quality of service at airport

established every other two years; 12: Number of international State airports compliant with ICAO standards in Annex 17

and YD Article 6.12 9(b), based on ICAO USOAP; 13: Annual number of ground handling companies at airport relative to traffic levels. Q9: Indicators related to the impact on Ground Handling Companies (GHC)

operators at airports: 1: Annual number of ground handling companies competing at airport relative to traffic

levels; 2: Annual number of ground handling services related complaints recorded and

resolved based on competition/consumer protection rules); 3: Ranking of cost of handling a given aircraft type established every two years; 4: Annual number of privatised ground handling companies at airport; 5: Airline quality of service perception index of airport ground handling services

established every other two years; 6: Annual number of privatised airports in a State; 7: IATA benchmark of ground handling charges established every two years. Q10: Indicators related to the impact on air traffic service (ATC) providers: 1: Annual changes in ATM charges vis-à-vis changes in traffic volumes; 2: Annual changes in movement commercial ATM handled; 3: Airline quality of service perception index of ATC services established every other 2

years; 4: Changes in ATC infrastructure investment in the last 5 years and/or planned

investment in the next 5 years by State; 5: Annual changes in ATC related aircraft delays vis-à-vis traffic growth; 6: Change in number of ATC related employees assessed after every two years; 7: IATA benchmark of ATC charges established every two years. Q11: Indicators related to the impact on passengers:

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Surveyed Issues and Indicators Ranking (1- indicates most important factor) Section 1: Identification of High Level Concerns (Reporting Requirements,

Expected Benfits and Envisaged Constrains) 1: Reduction in fare levels per seat kilometre; 2: Annual increases in available flights in each route; 3: Greater choice of airlines and products in several routes; 4: Passenger quality of service index perception in each state assessed every two

years; 5: Existence of consumer protection regulations and a functional consumer protection

commissioner at State, REC and AFCAC levels; 6: Annual percentage of number of passengers complaints resolved under the

consumer protection rules and compensation mechanism); 7: AFCAC ability to find free and easy to access information on fares, flights, consumer

rights and compliant redress mechanism over the internet for each State. Q12: Indicators related to the impact on the cargo industry: 1: Annual changes in cargo traffic volumes; 2: Annual changes in commercial freight aircraft movement; 3: Reduction in freight charges per tonne. Q13: Indicators related to the DIRECT impact on State and African Tourism

industry 1: Growth in tourism; 2: Growth in tourism related jobs. Q14: Indicators related to the impact on African integration: 1: Free movement of people and goods; 2: Removal of physical barriers such as VISA requirement. Q15: State socio-economic condition for YD impact effectiveness: 1: GDP growth; 2: Political stability; 3: Employment growth/jobs creation. Q16: State infrastructure condition for YD impact effectiveness 1: Number of certified airports; 2: Development of hubs and modern airport terminal facilities. Q17: Other State/Regional /Africa wide condition for YD impact effectiveness: 1: Maintaining an African perspective in decision making. 5.4 Recommendations:

(a) The EA needs to initially focus on carrying out a detailed analysis or diagnostic of the current implementation of YD by the 55 Party States. This entails a strategy on data collection.

(b) The degree of compliance of Party States with the provision of YD is a potential and useful indicator for the EA to establish. This can be done based on the WTO elaborated methodology.

(c) The number of cases dealt with by the dispute resolution mechanism is also an important issue to monitor.

(d) Champions of the YD should endeavour at each level (within AFCAC, states, RECS, Continental level/AU) to defend the benefits of YD in order to

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counter the lobbing effects of weak national airlines. AFRAA and its members should play an active role in any such positive lobbying.

(e) All RECs should have the same set of evaluation criteria and related indicators. RECs should establish similar indicators for State use.

(f) Future evaluation of the implementation should be based on a common approach and methodology. The EA needs to study ways of collecting data from the States in a more efficient way for IYD monitoring. It is recommended that the Client explores the World Bank’s method of data collection as applied to the study on Doing business in 183 economies.

(e) Educational institutions within states, such as a department of law or economics, should be involved in the evaluation of the status of YD implementation within each States. This will also help the selected university department build up capacity in air transport related research.

(f) Reporting is an important task for the Executing Agency. Hence a database is urgently required, preferably a centralised web-based database system. Such a database needs to be compactable with the ICAO database, in particular data related to reference aviation tables.

(g) The use of the database is to enable the dynamic analysis of the IYD. This is a major difference compared to how ICAO uses its STA database. Therefore data to be collected most target this specific purpose without the need to duplicate data collection efforts with what ICAO is doing. Therefore a comparison between the data collected by ICAO, ACI-Africa and IATA needs to be made in order to derive AFCAC IYD database data needs. The reference ICAO document for aviation statistics is Doc. 9060 whilst ACI has recently published its manual of aviation statistics available on line.

(h) The validation workshop in September 2012 recommended that the number of indicators should be kept to a minimum and made relevant to the evaluation of the implementation of YD. This directive needs to taken into consideration during the realisation of the database and its data collection. Retained indicators need to simple, measurable, available, relevant and timely.

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6.0 Defining the specifications of a database allowing a dynamic analysis of the implementation of the YD

6.1 Project life cycle for a database implementation:

Figure 1 below indicates the project life cycle and steps involved in the implementation of a database project from system identification to system operationalisation and upgrading. The following steps are to be considered: requirement identification, database definition, design, installation, evaluation, operationalisation and maintenance. The current study can be considered as scoping for the needs for the acquisition of a database system.

Figure 1: Project Life Cycle in the Implementation of a Database System

Definition of the specification of the database involves: (a) Identification of the Clients requirements, and (b) identification of the data and data tables to enable the conceptual models to be defined. Completing steps (a) and (b), leads to the design aspects of the database. 6.2 Specification of client requirement:

6.2.1 In order to determine the needs for the database system a holistic approach was adopted looking at all inputs, outputs at different levels, users needs, system requirement and relevant interfaces. The key question is what outputs are desired from the database and therefore what inputs should enter the database. Data represent what needs to be stored and outputs the information to be retrieved. Different users of the database base will have different requirements in terms of desired output and how the database is utilised. Means represent resources required by AFCAC to accomplish its mission of IYD.

Feasibility study/Concept

Exploration

Environmental assessment

Requirement Specification

Conceptual design

Functional

design Hardware/software

development/DBMS

selection

Physical design and

implementation

Beta system testing

System verification/

deployment

System validation

Operation/Maintenance

Change over or upgrade

Retirement/Replacement

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Figure 2.0: Input/Output Holistic System Analysis

6.2.2 Identification of users and users’ classification: The different classes of

the database users would have different requirement, in particular access requirement, navigational and interface needs and the desired outputs from the system. How the database is to be used defines its purpose, in particular how each user expects to use the database. Use of records in the database would include: searching, sorting data, cross-referencing, use of visualisation tools to create report, generating information to be embedded into reports, importing/exporting data from the database to other applications.

User Class: The following user classes were identified: (a) AFCAC (Client) Staff, (b) Client IT Administrator/System Operator, (c) Data Operator Manager, (d) RECs and States, (e) Monitoring Body, AUC and other AU entities associated with the IYD, (f) Operators: Airlines, Airports and other industry partners, (g) Air transport users/consumers and (h) the Public users.

6.2.3 Requirement specification: The requirement specification is assessed

under the following topics, output, inputs, system needs and applicable business rules. The determined and proposed requirements are shown in Tables 4.1, Table 4.2 and Table 4.3.

(a) Output requirement by the different user types, in particular desired

reports;

(b) Input requirement to enable the generation of the desired outputs and reports. One such input requirement is the need for reference data, i.e. data that does not require regular updating;

(c) System requirement for hosting of the database and its architecture

to meet the needs of the different users, including system security, functionality, navigation tools, e-learning facilities, e-library; and

(d) Applicable business rules (based on ICAO aviation data definition,

formatting and classification).

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The tables below depict the proposed requirement specification. A tool is also included for the evaluation of the proposed requirement in terms of relevance. The evaluation scales 1 to 5 are: (1) Must content this data – very important; (2) Should have this data – important; (3) May content this data – desirable; (4) This data is not important; (5) Must not content this data – irrelevant.

Table 4.1: Database Input Requirement Specification

YDRS000 Input : reference data requirement

Please Mark/Cross one box

only

YDRS101

Must contain information on the type of aircraft type operated between any city pairs between two state parties (international flights by stage) 5 4 3 2 1

YDRS102 Must contain information on REC of the AU 5 4 3 2 1

YDRS103 Must contain information on Party States of the AU 5 4 3 2 1

YDRS104 Must contain reference data on all commercial aircraft type (model/seats/class) with IATA and ICAO codes 5 4 3 2 1

YDRS105 Must contain information to generate city pairs or flight stages between African state parties 5 4 3 2 1

YDRS106

Must contain information on the names and address of ground Handling Companies (GHC) operating at each designated airport and type of ownership 5 4 3 2 1

YDRS107

Contain information on the different types of computer reservation system used by African airlines and non African carriers 5 4 3 2 1

YDRS108 Contain information on linguistic relationship between State parties in a BASA 5 4 3 2 1

YDRS109 Contain information on entities at the state level responsible for consumer protection 5 4 3 2 1

YDRS110 Contain information on entities at the state level responsible for competition regulations/fair trading 5 4 3 2 1

YDRS111 Contain information on entities at the RECs responsible for consumer protection 5 4 3 2 1

YDRS112

Contain information on entities at the RECs responsible for competition regulations/fair trading 5 4 3 2 1

YDRS114 Contain information on designated airports within each Party state including airport terminal capacity 5 4 3 2 1

YDRS115

Contain information on all entities in AU party states responsibility for implementation of the YD including information on the type of entity (autonomous CAA, ministerial department, with address, etc) 5 4 3 2 1

Table 4.2: Database Output Requirement Specification

(Evaluation scales 1 to 5: (1) Must content this data – very important; (2) Should have

this data – important; (3) May content this data – desirable; (4) This data is not

important; (5) Must not content this data – irrelevant)

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YDRS200 Identified Database Output Requirement

Relevance Evaluation (select/mark a box

only)

YDRS201

Must be able to generate a report on each state, the status on the exchange of 5th Freedom rights between Party States and cases of refusal 5 4 3 2 1

YDRS202 Must be able to generate a report on routes where 5th freedom is operated within the African network 5 4 3 2 1

YDRS203 Generate a table of potential fifth freedom routes 5 4 3 2 1

YDRS204 Must contain information on routes on which 5th freedom is granted between any two State Parties 5 4 3 2 1

YDRS205 Enable assessment of fifth freedom routes operated from each state by airline 5 4 3 2 1

YDRS206

Enable the assessment of any justification by states to refuse frequency/capacity increase on a route (Article 5.2) 5 4 3 2 1

YDRS207

Be able to provide data to support assessment of the impact of any proposed airline frequency changes, flyer programs and code sharing agreements 5 4 3 2 1

YDRS208

Contain information to assess the budget of State entities responsible for the supervision of aviation safety and security (budget per passenger or per aircraft movement) 5 4 3 2 1

YDRS209

Must be able to generate a report on each state, the status on whether a party state applies the eligibility criteria for designating an airline in accordance with the provisions of the YD, Article 6 5 4 3 2 1

YDRS210 Able to provide data in order to establish whether an African airline is eligible 5 4 3 2 1

YDRS211

Must enable the assessment of current restrictions on eligible airlines and Party states in the effective implementation of the YD 5 4 3 2 1

YDRS212

Must be able to generate the capacity (seats) offered between any African city pairs between two State parties 5 4 3 2 1

YDRS213

Enable an assessment of the degree of connectivity of a party state within the African Air network as influenced by YD 5 4 3 2 1

YDRS214 Able to graphically display the network connectivity of each party State and connectivity of the continent 5 4 3 2 1

YDRS215 Enable assessment of number of African cities and capitals connected by direct flights 5 4 3 2 1

YDRS216

Contain information to enable an assessment of the fare levels on different routes within the African network 5 4 3 2 1

YDRS217

Must be able to generate a report on each state, the status regarding a party state’s compliance with ICAO SARPs 5 4 3 2 1

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YDRS200 Identified Database Output Requirement

Relevance Evaluation (select/mark a box

only)

YDRS218

Must be able to generate a report on each state, the status on whether a party state restricts frequency between itself and any other Party state. 5 4 3 2 1

YDRS219

Must enable the assessment of state parties compliance status with the SARPs (AU/EXP/AU/RES.2 (II)) 5 4 3 2 1

YDRS220 Enable the analysis of airline market share by airport to determine dominant airlines 5 4 3 2 1

YDRS221 Enable the analysis of equitable distribution of airport slots 5 4 3 2 1

YDRS222

Be able to provide data to support assessment of mergers among airlines (see economic based merger analysis by the US Dept. of Justice) 5 4 3 2 1

YDRS223

Must be able to provide information to assess whether an airline is in a dominant position in a given market or assessment of monopoly behaviour 5 4 3 2 1

YDRS224

Must contain information on any complains relating to the delay by Party State(s) in the application of the proposed fares, where such complain is made by an eligible African airline, concerning any route within the African air transport network. 5 4 3 2 1

YDRS225

Enable the assessment of the constraints affecting full implementation of YD by Party State pairs (see CEDEAO study, page 31 ) 5 4 3 2 1

YDRS226

Must enable the assessment of the YD implementation in each party state (AU/EXP/AT/5 (III)) 5 4 3 2 1

YDRS227 Be able to provide information to produce summary state reports on the implementation of YD 5 4 3 2 1

YDRS228

Must contain information on BASA which require non-approval of tariffs by a government or governments, taking into consideration applicable rules 5 4 3 2 1

YDRS229 Able to report Party State pair ASA that are not YD compliant 5 4 3 2 1

YDRS230 Able to calculate the network connectivity for each Party State 5 4 3 2 1

YDRS231

Enable the possibility to do a cluster analysis of state groups (or provide the data to do a cluster analysis) in other to identify any regional differences in YD implementation 5 4 3 2 1

YDRS232

Be able to provide information to support an assessment of the economic fitness test of an African airline 5 4 3 2 1

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YDRS200 Identified Database Output Requirement

Relevance Evaluation (select/mark a box

only)

YDRS233 Able to generate statistical reports of complains by type 5 4 3 2 1

YDRS234

Must be able to generate a report on each state, the status on whether a party state has any necessary mechanism to support the implementation of YD 5 4 3 2 1

YDRS235

Must be able to generate a report on each state/REC, the status on whether a party state or REC have a harmonised aviation policy relation to the AU position, to support of the implementation of YD 5 4 3 2 1

YDRS236

Must be able to generate a report on each state, the status on whether a party state’s passenger and cargo services are liberalised in support of the implementation of YD 5 4 3 2 1

YDRS237

Must be able to generate a report on each state, the status on whether a party state has the necessary constitution provisions to support the IYD 5 4 3 2 1

YDRS238

Queries for the production of various reports and assessments to be pre-designed and saved within the system 5 4 3 2 1

YDRS234 Must enable assessment of the degree of YD implementation at RECs 5 4 3 2 1

YDRS235

Must be able to generate information in order to prepare a report for the African Peer Review Mechanism of NEPAD (dashboard or some form of state classification) 5 4 3 2 1

YDRS236 Must be able to generate yearly reports on the status of YD implementation between states 5 4 3 2 1

YDRS237 Must provide names and address of the major YD partners 5 4 3 2 1

6.3 Defining the Data Requirement:

The tables below define the likely data contain of the database. Some tables may have more than one table embedded. Tables name have been given by the purpose, making it evident to understand what each table represents.

Table 5.0: Defined Data Requirement for the Database

Data_Tables Description AU_STATE The names of AU States including relevant

attributes AU_RECS_MEMBERSHIP African Party state membership in each

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Data_Tables Description REC.

IYD_STAKEHOLDER Contact address for all relevant stakeholders

AU_STATE_SOCIO_ECONOMIC_INDICATOR

Self-explanatory by name

AU_AIR NETWORK_OD Self-explanatory by name AIRCRAFT_FLEET Self-explanatory by name AIRCRAFT_MANUFACTURE Self-explanatory by name STATE_DESIGNATED_AIRPORT AU_OPERATING_AIRLINE AIRLINE_FLEET AIRLINE _FLIGHT AIRLINE _FLIGHT_FARES PARTY_STATE_ PAIR_ASA_AGREEMENT

Bilateral air service agreement table

PARTY_STATE_PAIR_ROUTES reference LEGAL_COMPLIANCE reference COMPLIANT_MONITORING dynamic SARP_COMPLIANCE reference AU_AIRTRANSPORT_CHARGE supply TRAFFIC Demand International_Market_Share Demand African_City_Pairs _Flight reference Table of Competition cases for e-learning

reference

E-library of the YD related documentation/knowledge bank

Knowledge bank

E-learning Modules including aviation related and training on use of database

reference

E-filing system System input need E-bulletin – IYD Monitor Reporting output

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7.0 Determining Data to be Collected, Data Collection Plan, Their Sources and an Appropriate Updating Frequency2

7.1 Introduction:

In order to get the database functional and useful, data need to be collected in order to populate the defined tables above. Based on the YD model discussed earlier, the required data can be classified into: (a) Input data for dynamic assessment of YD, (b) Supply data related to the African air transport at any given period, and (c) Output or performance data at any given period correlated to the supply data. The following updating frequency codes are proposed: (0 – dynamic data that changes very regularly or can be obtained by performing a query of the database; 1 – Updated at least once a year, needs verification at least once a year and when notice is given of changes to data (e.g. reference data) 2 – Updated every six months, 3 – Updated quarterly and 4 – frequently (daily or weekly)). Given that States have data reporting obligations to ICAO and other regional bodies, it is recommended that data collection for the database should be aligned with data request from other agencies.

Table 6.0: Defined Data Tables and Possible Sources Data Tables Data Type Possible sources Updating

AU-STATES-TABLE reference State, AU, ICAO 1 AU-RECS-MEMBERSHIP TABLE reference State, RECs 1 STAKEHOLDER-TABLE reference AFCAC/AUC 1 STATE-SOCIO-ECONOMIC-DATA-TABLES

reference STATE/IMF/AfDB 1

AU AIR NETWORK TABL (O-D Tables)

reference AFRAA, ICAO, AOG, IATA

1

AIRCRAFT FLEET TABLE reference AFRAA, AU-Airlines, JP 2 AIRCRAFT-MANUFACTURE-TABLE

reference ICAO STA database 1

STATE-DESIGNATED-AIRPORT-TABLE

reference STATE 1

AU-OPERATING-AIRLINE TABLE

supply STATES, RECs 2

AIRLINE-FLEET TABLES supply Airlines, JP publication 2 AIRLINE FLIGHT TABLES supply Airline, AFRAA, OAG 3 AIRLINE –FLIGHT-FARES-TABLE

supply Airlines, AFRAA, IATA, Travel Agents, Computer

3

2 To get information for this section, KE3 needs to discuss with beneficiaries data collection tools/establish

data collection schedule, distribution/implementation of data collection tools (including web-based

questionnaires, forms and interviews). Collection of secondary data such as traffic statistics, Visit relevant

RECs/states to collect data.

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reservation system PARTY-STATE PAIR ASA AGREEMENT TABLES

reference Party States, RECS, ECA, ICAO

1

PARTY-STATE-PAIR-ROUTES-TABLES

Reference ASA 1

LEGAL Compliance Tables Reference STATES, RECs, ICAO 1 Compliant monitoring TABLES Dynamic Consumers, airlines,

states 0

SARP Compliance Table Reference ICAO, STATES 1 AU-AIRTRANSPORT-CHARGES-TABLES

Supply AIRPORTS, ACI, Airlines, IATA

2

Aircraft movement TABLES Demand Airlines, STATES, AFRAA, IATA

3

TRAFFIC TABLES Demand Airlines, STATES, AFRAA, IATA

3

International Market share TABLES

Demand Airlines, STATES, AFRAA, IATA

3

African City Pairs with flight services

Reference Airlines, STATES, AFRAA, IATA

2

Table of Competition cases for e-learning

Reference EU/AUC/ECA/AFCAC/RECs

1

E-library of the YD related documentation/knowledge bank

Reference AUC/ECA/AFCAC/RECs 2

E-learning Modules including aviation related and training on use of database

Reference AFCAC 2

E-filing system E-bulletin – YD Monitor

7.2 Data Sources:

Data for the database would be collected from several sources including primary data directly from the airline (weekly operations) to secondary data contained in published documents. ICAO, for instance, collects its data directly from the States but reports from the statistical panel indicate that several African carriers do not regularly report their statistics. As part of overall project plan, visits were planned to the RECs and some States for data gathering. The data gathering task was not performed in Component 1, at the time of writing this report. Hence, precise availability of data at the RECs and States could not be determined by the Data Expert. AFCAC has, however, written to the States and RECs for some specific information. 7.2.1 Existing data sources and assessment of data availability: As part of the

data collection plan, AFCAC needs to establish the data availability and its format at the various sources, listed below. Given its AU status, there is the possibility via a MOU for AFCAC to get the data free. This is the case with ICAO at the moment. To investigate data availability at the following sources:

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(a) Each REC, States and Authorities in charge of aviation; (b) AFRAA, other airline association (AASA, AACO) and the individual

airlines; (c) ICAO (WASA database, reference data)3, WTO, FAA/TSA (has data

on security audits of some African states)4. Airline cost data from WATS and the airlines;

(e) AUC/ECA in particular all documentations and reports relevant to the YD;

(f) ACI5, IATA, ASECNA (ASECNA publishes a statistical bulletin); (g) Individual Airports, GHC, ATC service providers; (h) EASA, third country airlines; (i) Commercial data sources: OAG publication, other databases6, MDI7

data.

It is also essential to verify the reliability of data obtained from several sources. It is not uncommon to find that some reported data are guestimates which may not tally with the actual data. Another common source of error is using data based on similar but different definitions. It is recommended that use should be made of ICAO data definitions as it relates aviation. For economic data, use of IMF definition of data is recommended.

7.3 Data Collection Plan:

7.3.1 Data Collection is quite a complex task and requires the same level of planning like any major project. The importance of the AFCAC EA YD Database as tool for the supervision and management of a liberalised air transport industry means the need for a clear and well documented data collection strategy. Component 1 included a data gather task. The data collection plan should have been derived from the experience gained within that component. The general strategies for data collection and elaboration of a data collection plan are:

(a) Definition of project outcomes which need to be evaluated or measured. We have identified various criteria for YD analysis (Table 3.1) as well as accompanying indicators.

3 See http://www.wto.org/english/tratop_e/serv_e/transport_e/quasar_partd_e.pdf ICAO methodology on

ASA analysis 4 NSTB accident database : http://www.ntsb.gov/aviationquery/index.aspx

5 http://www.aci.aero/aci/aci/file/Publications/2011/ACI%20Statistics%20Manual%202011.pdf manual

6 http://www.airframes.org/fleet/mdi example web based database,

7 see comparison of MDi to US ARC, see http://74.209.241.69/static/entransit/session%202_kayloe.pdf,

consulted 11/04/2012)

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(b) Identify the most appreciate data collect method for each indicator to be measured. Methods include: surveys, focus group discussions, observations, record/document reviews, desktop research and purchase from known commercial sources.

(c) Method of data collection should be linked to: (i) the reliability of the

method selected in (b), (ii) available resources – staff, time, funds, and respondents buy into method. If using computer based via the net, be aware that most experts still prefer use of paper based questionnaire.

(d) Manage and ensure the integrity of the data collected: Need to

consider data quality in terms of validity and reliability; when and where the data would be collected (before, during or after an event). The scheduling of the data collection task for IYD is important if the benefits of IYD are to be analysed. For instance, time series data is required if trend analysis is to be performed. SC2 answered this concern as to how far back should the time series start. As far back as a particular analysis demands is the answer. It is also useful to consider the use of bench mark data for comparison or standard to reference to. Where possible, use should be made of ICAO data collection tools, well know in the industry (reference Doc. 9060). Also consult ACI manual.

Two tables are included below for the practical elaboration of the data collection plan by the Client. The following data properties need to be taken into consideration in defining the data collection plan:

7.3.2 EA YD database data collection tools: Two different potential data

collection tools for AFCAC, in its role as the Executing Agency of the YD, enabling a dynamic analysis of the implementation of the YD are presented in two tables below.

Relevance: the usefulness of the data in the context of YD database

Clarity: availability of a clear and share definition of the data

Consistency: the compatibility of the same types of data from different sources

Timeliness: (content property) the availability of data at the time required and

how to update that data

Accuracy: how close to the truth is the data

Completeness: how much of the required data is available

Accessibility: where, how and to whom the data is available or not available

Cost: the cost incurred in obtaining the data and making it available for use

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Table 7.1 (Tool 1) requires the following information by column (a) outcome – the evaluation criteria identified in Table 3.1; (b) related indicators for each criteria; (c) identify the type data collection method appropriate for the collection of a given indicator; (d) determine the source of this data. The information in column (c) is required in Table 7.2, column (e).

Table 7.1: EA YD Database Data Collection Tool 1

OUTCOME (a)

INDICATOR (b)

COLLECTION METHOD (c)

Sources (d)

YD Evaluation criteria as in Table 3.1

See Table 3.1

Identify which type of data collection method (survey, interview, observation, or record review) will be conducted. Take into consideration available resources

Describe the timing and frequency of data collection

Table 7.2 (Tool 2) is used for planning, taking consideration the data collection method identified in table 7.1. The data in Table 7.1, column (c) is transferred to column (e), listing the various data collection method. Table 7.2 also has columns (f) –(h) as indicated below. Once the both tables are complete, it is necessary to establish the required budget and other means and ensure their availability.

The next step is execution of the plan. Table 7.1 and Table 7.2 can be merged with

no loss of details, eliminating the need for column (e).

Table 7.2: EA YD Database Data Collection Plan Tool 2

DATA Collection

Method (e)

Data Collection Responsibilities

(f)

WHAT WILL THEY DO?

(g)

HOW WILL DATA COLLECTED BE MONITORED?

(h)

Write the data collection methods from (c), Tool 1 into this column

Identify who will be responsible for collecting the data

Describe the steps they will take to implement the data collection

Identify who will monitor the data collection process for quality and consistency and how they will do so

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7.4 Enhancing data reporting from States: Data reporting is a major challenge for most AU states. One strategy for overcoming this problem is to use designated contact persons in each State for the collection of data. With the possibility of e-filing, the database should be designed to permit such contact persons the ability to e-file data, using simplified forms, data definition and a guide on each piece of data required. States should be encouraged to depend on the database for other data. In this regard, the database should hold State data pages with a mechanism in place for each State to verify its own data. Enforcement strategies should also be considered for States that persistently fail to report data. Training would need to be provided to the various states, in particularly the contact persons in the use of the e-filing facilities. Ultimately use of commercial sources needs to be considered. This could require AFCAC to commercialise its database, hence generate revenue to purchase data to populate the database.

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8.0 Proposing an Operational Plan for the Setting Up and Use of the Database

8.1 Steps in database system development:

Deploying a database can be a project by its own right. It depends on the complexity of the database and its application. An AFCAC YD monitoring and YD evaluation database is a critical data sources and therefore needs a highly reliable system. The figure below indicates the various steps in the design and deployment of a database. It follows the simple process of system assessment, planning, action, monitoring and evaluation.

Figure 3: Database Operationalisation Steps

8.2 Action Plan for database project deployment:

The following steps are proposed for the operationalisation of the database to enable deployment.

1. Diagnostic/analysis of existing system

2. Conceptional/logical

database specification

3. Functional database design

4. Physical Database design including choice of DBMS

5. Database system testing

6. Deployment , Training and

documentation

7. Evalutaion and maintenance

Updating

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(a) Commissioning of database via procurement of final product (Turnkey) or construction of database in-house by outsourcing specific expertise;

(b) Data collection and population of the prototype database with sample data;

(c) Prototype testing to the satisfaction of the Client; (d) Elaboration of Documentation, provide training and installation of

database; (e) Complete processing of data input; (f) Operationalisation of database, and maintenance; (g) Expansion or up grading to RECs.

Performing Tasks (a) to (e) is expected to take at most 20 weeks, based on a simplified procurement process and separation of data collection task from the database design related tasks. 8.3 Resource requirement/ budget estimate based on EU fees:

The table below includes most of the resource requirement for operationalisation of the database It is recommended to keep the initial database model simple, relevant to the requirement of monitoring the implementation of YD. With a budget estimate of €172.000,- AFCAC can obtain an operational database to meet its needs. Provisions have to be made for data collection from the states and annual maintenance fees for database license (PM/TBD).

Table 8: Resource Requirement and Budget

No. Item description Cost Estimate (Euros)

1 Hardware (DB Servers, Backup Servers)

€ 172,000

2 Software and licenses

3 Technical Assistance – Knowledge Expert/Civil Aviation Sector

4 Technical Assistance – Knowledge Expert/Civil Aviation Law

5 Technical Assistance: one Database Development Senior Expert or firm and two Junior Programmers

6 Training (initial on database)

7 Production of manuals and e-training material

8 Data acquisition to populate the database

9 Logistics and other needs

10 Data Collection from States/RECs PM/TBD

11 Maintenance fees per year and annual upgrade fees PM/TBD

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8.4 Use of Database:

8.4.1 The main aim of the database is to dynamically monitor the practical implementation of the YD, based on defined indicators. Its application includes production of reports, legal, economic and statistical analysis. A list of expected outputs is given in Table 4.2.

Further analysis of the database outputs can be used to generate period dashboards as indicated in Appendix 12.4. Dashboards need to be done periodically for future comparison to establish changes.

8.4.2 One of the key results expected from AFCAC reports is the status on YD

implementation. This requires doing trend analysis, econometric casual analysis and generating of visual information. Several of the reports on the evaluation of IYD report yearly data and assume growth in traffic is indication of IYD effectiveness. What AFCAC would have to do is be able to explain changes in trends and identify those changes related to IYD.

Figure 4(a) and Figure 4(b) illustrate the traffic for an AU airline. Figure

4(a) depicts growth in traffic whereas figure 4(b) shows annual changes in traffic growth. The database will enable AFCAC perform similar analysis, assuming graphical visualisation of data is included in the database architecture. The IMF data visualisation tool is a good example.

Figure 4(a) Annual Traffic- Trend Figure 4(b) – Change in Trend

8.4.3 The use of the database can be extended to environmental concerns.

Given the network within the database, the amount of pollution created by AU international flights can be calculated based on each flight.

8.4.4 The database will generate various results. Some key decisions can be

made based on these results. For instance, the data from the connectivity study on connections between AU airports was analysed to generate the dashboard result shown in the appendix. From this dash board, we were able to reach the same conclusion as in the connectivity study regarding the need for a Central/West Africa airport hub. This is depicted in Figure

y = 8304.4x - 5333.6

R² = 0.9806

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5(a) below. Figure 5(b) indicates the need for a around central Africa, around the South West and North East. This is based on 2010 schedules.

Figure 5(a) Hub-Spoke system Figure 5(b) Need for new Hub locations

(Based on 2010 data)

8.5 Publication and Commercialisation of database: It is envisaged that the EA database will be the reference database related to civil aviation airline performance activities in Africa. The high cost of data collection requires a strategy on the commercialisation of the database to generate revenue. Sources of revenue from the database include (a) seeking sponsorship in its development; (b) commercial sell of generated reports; (c) sales of the data to other users and (d) revenue from advertisement inserted in the publications. It is recommended that the data is also published in an AU Statistical Annual.

8.6 Database Security and Protection: Database security requirements arise from the need to protect data from (a) accidental loss and corruption, and (b) deliberate unauthorized attempts to access or alter that data. It is also necessary to protect data against undue delays in accessing or using data, or even against interference to the point of denial of service. The main areas of protection focuses on authentication of users, authorisation of various degree of privileges and access control to the format of the database tables, views etc. It is also important to put in place an adequate strategy for system back-up, to enable data recovery. Most modern DBMS provide mechanism for the database administrative to adequately setup a database protection system. A security policy is also necessary to ensure that users respect any restriction imposed on password usage. The oracle database security guide, Part No. B10773-01 provides details on how to set up a database security system. This guide or similar guide should be consulted in the configuration of the database security system.

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9.0 Drafting Technical and Operational Terms of Reference in Order to Acquire the Equipment and Software Necessary for the Implementation of the Database

Two TOR have been drafted; one for the procurement of a database developer services and the second for a knowledge expert in air transport. The objective is to ensure that whilst the database is in development, the knowledge expert can focus on ensuring that the required data is been collected including writing of procedures on the legal, economic and statistical analysis of the data. The Air Transport knowledge Expert will also act as project supervisor on behave of AFCAC. The merit of this approach is to protect the data collected, enable coaching of AFCAC staff on use of database and ensure that the input into the database is reliable for the purpose of analysing the implementation of the YD. The database developer will focus on developing the database, ensuring its optimality and flexibility, and taking into consideration likely future expansions. 9.1 Draft ToR for the Database Procurement

– See Appendix 12.1 – page 52 9.2 Draft ToR for Knowledge Expert

– See Appendix 12.2 – page 59

9.3 Hardware and software Requirement

– See Appendix12.3 – page 63

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10.0 Assessing the Database Flexibility in Case of Changes, Making Adjustment if Needed

10.1 Database flexibility:

Database flexibility is a major problem for large database development and is a subject that the database consultant has to deal with in the elaboration of the database logical, functional and physical design stages. However, it is important that the Client is aware of this problem and have some information on possible solutions. 10.2 Problem of design flexibility:

The problem arises from the poor design of the database schema and metadata at the logical and functional database design stages, lack of appropriate data normalisation scheme, embedding of complex techniques to enable flexibility. 10.3 Designing for flexibility:

The main solution is to ensure proper database design at all stages. Likely expansion of fields or database should be recognised at the database conception phase through to physical implementation. An appropriate data normalisation scheme should be implemented. Consideration should also be given to development of modular set of databases (fragmented and distributed databases). Smart solutions such as combining XML and relations dataset in a database offer one means to design flexible XML databases. 10.4 Recommendation:

It is therefore recommended that:

(a) Consultants bidding for the database development propose their methodology for dealing with the problem of database flexibility and schema optimisation. This is included as a requirement in the Consultant terms of reference. Ensuring flexibility in the future is so important that AFCAC needs to ensure that the recruited Consultant is highly experienced in this matter. Use of off-the-shelf solutions should not be encouraged in this particular case.

(b) The database should be tested for flexibility by addressing issues related to its scalability and adjustment of fields within tables or expanding the data base with new tables. Such test should be incorporated from the logical conception stage.

(c) In order to enhance project success, it is proposed to separate the task of database development and operationalisation of the database with actual data and its testing. Based on the assessment of current AFCAC staff

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numbers, it is proposed to engage an Air Transport Knowledge Expert. The role of the expert is to ensure that the database is fit for purpose, to ensure that all the expected outputs can be generated as well as expansion for the future. In that regard, a test plan needs to be elaborated by the database design expert, to be approved by the domain expert as well as the Client and other key users. This will allow the database consultants to focus on the design aspects whilst the air transport expert works with AFCAC staff in data collection and operationalisation of the database.

10.5 Assess system security and data recovery strategy:

A clear plan for system security has to be established as well as data recovery strategy. The database needs to be protected against hardware or software malfunction (or crashes) and against unauthorized access. Cyber terrorism is also a major concern of the aviation industry. With the innovation of data storage clouds, it would be prudent for AFCAC to consider the employment of these techniques to safeguard data within the database. AFCAC can also play the role of safeguarding data within databases at the level of the RECs. AFCAC’s back-up can be uploaded elsewhere at a secure cloud location to be determined.

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11. Conclusion and Recommendations 11.1 Working with the Client:

The Data Expert was given all the necessary assistance with data collection including appointments when requested, full access to the ICAO database portal. Letters were written by AFCAC to the States and RECs requesting data. 11.2 Constrains in carrying out study:

11.2.1 The AFCAC Database expected by Contracting Authority and Beneficiary is supposed to be compatible and interface with the ICAO database. Unfortunately, the ICAO database is now commercialised, making access more difficult.

11.2.2 It has been suggested by the Contracting Authority to carry out activities requiring the input of the RECs (e.g.: distributing the Indicator Questionnaires, collection of data, etc) online. Unfortunately, the response rate of the RECs to the Questionnaire distributed has so far been very poor (one). A possible solution could be the allocation of additional Working Days or internal transfer of Working Days to Key Expert 3, enabling him to carry out missions to the RECs in order to collect additional data.

11.2.3 There was no IT Staff at AFCAC during the diagnostic phase of the project and currently there is no existing database. It has considerably increased the work load of KE3.

11.2.4 The non completion of some key component 1 task increased the work load of the data study, in particular the non accomplishment of the previewed data gathering and diagnostic of the beneficiary. Also the time allocated of 33 working days is limited in dealing with all the issues to be considered, taking into account the constraints and challenges cited above.

11.3 Outcomes and recommendation:

11.3.1 Completion of the capacity building of the EA of the YD – by the recruitment of an IT staff, data analysis and acquisition of other resources to enhance its functioning

11.3.2 Completion of diagnostic of the EA of YD staff for competence, particularly in the use of IT, and database relevant to this component.

11.3.3 All reports, resolutions and studies related to the YD and IYD should be safeguarded at one site location for consultation. Resolution across RECs should be harmonised to generate a common bench mark.

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Evaluation criteria and Indicators: 11.3.4 The EA needs to initially focus on carrying out a detailed analysis or

diagnostic of the current implementation of YD by the 55 Party States. This entails a strategy on data collection.

11.3.5 The degree of compliance of Party States with the provision of YD is a potential and useful indicator for the EA to establish. This can be done based on the WTO elaborated methodology.

11.3.6 The number of cases dealt with by the dispute resolution mechanism is also an important issue to monitor.

11.3.7 Champions of the YD should endeavour at each level (within AFCAC, States, RECS, Continental level/AU) to defend the benefits of YD in order to counter the lobbing effects of weak national airlines. AFRAA and its members should play an active role in any such positive lobbying.

11.3.8 All RECs should have the same set of evaluation criteria and related indicators. RECs should establish similar indicators for State use.

11.3.9 Future evaluation of the implementation should be based on a common approach and methodology. The EA needs to study ways of collecting data from the States in a more efficient way for YD implementation monitoring. It is recommended that the Client explores the World Bank’s method of data collection for their Doing business report.

11.3.10 Educational institutions within states, such as a department of law or economics, should be involved in the evaluation of the status of YD implementation within each State. This will also help the selected university department to build up capacity in air transport related research.

11.3.11 Reporting is an important task for the Executing Agency. Hence a database is urgently required, preferably a centralised web-based database system. Such a database needs to be compactable with the ICAO database, in particular data related to reference aviation tables.

11.3.12 The use of the database is to enable the dynamic analysis of the IYD. This a major difference compared to how ICAO uses its STA database. Therefore data to be collected most target this specific purpose without the need to duplicate data collection efforts with what ICAO is doing. Consequently, a comparison between the data collected by ICAO, ACI-Africa and IATA needs to be made in order to derive AFCAC IYD database data needs.

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12.0 Appendices

12.1 Draft ToR for the Database Procurement

12.2 Draft ToR for Knowledge Expert

12.3 Hardware and software Requirement

12.4 Database Uses – Dash Board

12.5 Indicators Questionnaire Analysis

12.6 Indicator Questionnaire

12.7 References

12.8 List of Persons Contacted

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Appendix 12.1 Draft Terms of Reference for the Database Procurement

Acquisition of AFCAC Web Based Database System for the management and supervision of the implementation of the Yamoussoukro Decision

(A Database for YD Monitoring – YD-EA-MSDB)

________________________________________________________________

1. Introduction / Background 1.1 Within the framework of strengthening the capacity of AFCAC, as the

Executing Agency for the management and supervision of the implementation of the Yamoussoukro Decision, Yamoussoukro Declaration on the liberalization of access to air transport markets in Africa, the AU through EU funding, contracted studies on the Operationalisation of the Yamoussoukro Decision, including a study on the specification of a database and related indicators. The overall objective of assistance to the air transport sector is to improve the quality and interconnectivity of infrastructure and services in Africa in transport (road, rail, air and water transport), energy and ICT sectors by pursuing the continental-level policy agenda and leading priority projects to maturity and financing.

1.2 The added functions of AFCAC as EA includes: (a) monitoring the current status quo of the African aviation industry, (b) harmonisation of applicable regulations related to air transport liberalisation, (c) investigation of compliance of the various stake holders in particular airlines, airport and other service providers to competition rules and (d) ensuring the protection of the rights of air transport users (consumers). AFCAC is supported in this role by regional economic committee, who also have a direct role in coordinating the development of air transport in their various regions. However, the effective implementation of the YD is at the level of the individual States.

1.3 Activities covered in the Operationalisation technical assistance included: (a) the provision of operational support, including a drafting of a specific short term programme of the Executing Agency as well as the preparation of a Road Map for the related Capacity Building in order to assist in supporting the development of the beneficiary organisation as requested and (b) carrying out specific studies.

1.4 AFCAC currently carries out its EA supervisory and management duties through the use of conventional methods of information gathering such as writing to entities concerned to request for data and information. Information received is assessed on paper, to enable the generation of reports. Given its powers as the EA for the management and supervision of YD, AFCAC, the diverse nature of its partners and associated stakeholders, AFCAC needs to implement innovative technologies including management information systems tools in order to perform its duties. A database system to be hosted at its Head Office in Dakar, with replications at the Regional

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Economic Committee Head offices (RECs), is such an essential tool to assist AFCAC in its decision making regarding the management and supervision of the Yamoussoukro decision. The database will facilitate AFCAC’s ability to monitor the implementation of YD, monitor the impact of air transport liberalisation in Africa, and support AFCAC’s efforts in enforcement of competition rules and monitoring the protection of consumers within the African air transport industry.

1.5 Air Transport is known to be one of the most important components of the travel and tourism industry, but also it is increasingly one of the critical factors in decisions to locate industries and establish markets and hence a determinant of the competitiveness of states and regions in attracting business and investment or providing access to world markets. However, in order to fulfil this role, relevant up-to-date information must be available to the process drivers and key players in the sector in a just-in-time fashion, to facilitate the making of well informed decisions and choices. The non-available of reliable data is a constraint to decision making and lack of appreciate by policy makers of the full benefits of YD full implementation.

1.6 In most of Africa today, national aviation data is in most cases not compiled systematically and regularly nor is information readily available to those in need of it. This makes it difficult to build an overall picture of the industry and provide useful data for regional planning and development and / or monitoring of progress in the different areas of the sector (Economic, Technical, Operational, and Financial). The efforts of ICAO to collect and disseminate aviation statistics are largely inadequate in terms of up-to-date ness, scope / relevance, and accessibility of the information gathered. ACI/ASECNA also collect aviation statistics but for different purposes, mainly reporting and information for the collection of revenues.

1.7 AFCAC as the Executive Agency has to collaborate with the following entities, the African Union Commission, (roles), ICAO (role), the RECs responsible for implementation of African aviation policy among member states, the States, the baseline entities responsible for driving the implementation of YD and its is within the states that the basic benefits of YD implementation can be monitored and/or assessed.

1.8 Description of existing aviation databases for policy monitoring (to determine existing Databases in RECs, ICAO Databases, ACI, OAG, IATA, etc)

1.9 AFCAC reporting requirement and action plan from Sun City.

1.10 It is intended to design and physically implement a database system, as a decision support tool for AFCAC. The required system needs to complement existing databases within RECs and provide for appropriate interface to ICAO existing databases. The database shall contain all the relevant evaluation criteria and indicators to enable AFCAC to dynamically analyse the implementation of YD across the African continent, enable AFCAC to perform economic and statistical analysis from this data as well

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as be able to generate relevant and timely reports. The database will serve as a knowledge base tool and enable AFCAC meet its strategic objective of supervising and managing a liberalised aviation industry in Africa.

1.11 In light of the foregoing, the AUC, in collaboration with AFCAC, seeks to procure the services of a firm or group of firms, to design and implement a database system that will meet the objectives of AFCAC in terms of YD implementation supervision and management.

2. Objectives of this Project:

2.1 The main aim of this project is to design, develop, adequately test and

ultimately actualize a web-based database application that will assist AFCAC staff and other authorized users to access, analyze, process, and convert data into useful information using various search, sort, filter, and rank queries accessible both on local intranet and internet. The database will serve as a knowledge base tool and enable AFCAC meet its strategic objective of supervising and managing a liberalised aviation industry in Africa, support the enforcement of IYD, monitoring of competition within the industry and provide information to enable the protection of consumer rights. As a reference statistical and economic air transport aviation database for Africa, its accuracy, timeliness, reliability and accessibility are paramount qualities.

2.2 The specific objectives of this project are: 2.2.1 To develop the database application for assisting in all activities necessary

for the supervision and management of the a liberalized air transport industry in Africa as well as the enforcement of IYD, economic and statistical analysis in order to monitor and evaluate the impacts of the IYD.

2.2.2 Provide AFCAC and the industry a database base with legal, economic and statistical indicators as well as IYD defined evaluation criteria, for use by AFCAC, the RECs and States in monitoring the IYD.

2.2.3 The data contain is expected to cover all data relevant to the IYD, to include information on but not limited to: (i) detailed air traffic statistics on passengers, cargo and aircraft movements; (ii) Flight / route schedules; (iii) airline fleet; (iv) designated AU airports; (v) fares, tariffs and charges and (vi) All intra-African air transport network city-pair stages and their characteristics.

2.2.4 The project envisages the expansion of the database to also include but not limited to data to monitor: (i) civil aviation safety (registration of airlines, their personnel and aircraft, air worthiness reports, inspection findings, and corrective measures, accident/incident reporting, list of qualified inspectors by RECs, etc); (ii) civil aviation security; (iii) general aviation activities in the continent; (iv) facilitation at airports and en-route;

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(v) activities of non African airlines within the Continent; (vi) applicable charges for en-route and airport charges; and (vii) the impact of African air transport activities to environmental pollution. Each dataset may be developed into stand alone databases.

2.2.5 Develop and maintain an up-to-date document filing for the archiving of historic data, AU YD related resolutions, regulations and related reports relevant to the IYD.

2.2.6 Enable AFCAC to generate timely and accurate statistical reports on the IYD for disseminating to a range of users based on their roles (Monitoring Body, AFCAC staff, Data Entry Users at RECs, States, Consumers, AFRAA, other airlines, service providers, Courts, AU and others on a need be bases.

2.2.7 Provide a platform that will enable future development of integrating database at the level of RECs with the AFCAC centralized database, interface to other aviation related database such as AFCAC safety database, an AFCAC accident/incident database, an AFCAC aviation security database, airport facilitation database, interface to the ICAO databases including provision for a distributed database system linking the RECs, States and replication of database at the AU office in Addis Ababa and back-ups at some pre-determined cloud.

2.2.8 Strengthen the capacity of the EA of the YD and RECs in the comparative legal analysis, economic and statistical analysis of IYD monitoring as well as use of quantitative method in regulatory enforcement.

2.2.9 Ensure the long term sustainability of the database through the provision of adequate resources, its economical and efficient designs, operation and maintenance. The system should provide for adequate database security and data protection. A security plan to counter accidental loss of data, data corruption should be designed, taking into consideration the need for user’s authentication, authorisation of privileges and access control to the database tables, views, etc.

3. Expected Deliverables: The expected outputs for the project are: (a) A prototype, developed on free DBMS, functional stand-alone database in

place to enable AFCAC and the Consultant test the full requirements for the analysis of the implementation of the YD;

(b) Deployment of the AFCAC EA IYD Centralised Web-based Database system in place, populated with the relevant IYD evaluation criteria and indicators, user functionalities and all defined reporting requirement;

(c) Enhanced database utilisation, legal, economic and statistical analysis capacity of AFCAC staff assigned to this task;

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(d) Appropriate manuals, system development reports and project implantation activity reports setting out progress achieved so far for activities carried out and planned; and

(e) Data needs for IYD monitoring of RECs and States integrated into the operational database with functional interfaces to the ICAO database as well as user functionality requirements.

4. Scope: Specific activities for the consultant

4.1 In the first phase, design a prototype web-base centralized database application for implementation on local intranet in AFCAC office in Dakar/Senegal and same would be accessible on internet for priority stake holders over some user authentication module.

4.2 Develop a test plan for the evaluation of the prototype, its capability to deliver the specific objectives above as well as established requirements for inputs and outputs, users’ requirement and reporting needs.

4.3 In the second phase roll out the database application to fully meet the specific objectives set above and established requirement specification. The aim is to have a modular development in order to ensure system reliability and scalability.

4.4 In phase one, prototyping, use of freely available DBMS system and open technologies is recommended. For operationalisation, a robust DBMS system is recommended. The Consultant shall therefore perform in his/her methodology, a comparison of the different types of DBMS system and recommended choice for each phase. The selected DBMS system must enable accomplishment of the requirements of the AFCAC IYD database system in each phase.

4.5 Establish a transparent methodology for the conceptualization design, identification of flexibility and functional requirement, logical design, physical schema design and its optimization and the physical operationalisation of the database. The methodology should be holistic, based on an indicated database project life cycle.

4.6 Establish a sustainable mechanism that will facilitate data capture, updating and maintenance that meets the objective stated above. Review of ICAO data capturing forms is recommended. A bench mark to a database system performing similar functionality within the aviation industry is also recommended.

4.7 Establish an effective project implementation, review and monitoring mechanism.

4.8 Design the user interface providing all required functionality to enable usability, accessibility and visualization of database outputs. The design should enable the generation of automated reports.

56 /89

4.9 To accept input through e-filing and compile automated reports based on the input from RECs, States, Airlines and Consumers.

4.10 Provide and maintain an up-to-date document filing for the archiving of historic data, AU YD related resolutions, regulations and related reports relevant to the IYD.

4.11 System documentation: Produce system design and analysis documentation for each stage of the database design cycle, using relevant design techniques such as but not limited to ERD, DFD, UML, etc to capture the entire design process.

4.12 To design data quality assurance measures that is built into the database. The consultant shall develop a quality assurance control checklist against which deliverables must conform.

4.13 To ensure flexibility in database design to adapt/accept the changes in data as they happen in the future. Alternative approaches to dealing with text data should be considered in the design.

4.14 To provide an e-learning platform on database information virtualization.

4.15 To ensure database interface to other existing aviation database such as the ICAO aviation database, OAG flight information and any existing air transport databases at the RECs.

4.16 To integrate additional features as need arises, including provision for a distributed database system linking the RECs, ECA as data warehouse and replication of database at the AU office in Addis Ababa.

4.17 Meet other requirement as to be agreed with the retained consultant.

4.18 Security and Commercial Risk: Consultants are expected to be aware of the treat posed by cyber terrorism to the industry. Therefore all information provided is done so in confident. The consultant should indicate if he/she objects to some form of security risk profiling. Database also covering the air transport industry in Africa is a commercially sensitive project and consultants will be expected to protect the confidentiality of the project and the interest of the African aviation industry.

4.19 Ensure a database security plan and data protection policy.

Post implementation support 4.20 Support: Provide post-implementation support to AFCAC in line with a

Service Level Agreement for at least 6 months. The form of support, e.g. telephone, remote, on-line support etc, associated costs and guarantee of response time should be clearly stipulated in the Consultant’s proposal.

4.21 Maintenance: The Consultant shall assume responsibility of data management, data quality, troubleshooting, and system modification for an

57 /89

initial implementation and testing phase along with technical maintenance for a period of 2 years.

4.22 The Consultant will be associated with counter part Domain Expert (Air Transport Knowledge Expert with economic and statistical knowledge of air transport) also to be based within AFCAC and other in-house staff.

4.23 The Consultant shall establish a local office at the AFCAC head-office to facilitate the Consultant’s close and effective monitoring of the implementation of the agreed project activities within AFCAC.

4.24 Consultant to assist with the specification and acquisition of required hardware, servers and software, based on the Client’s specification.

5. Required consultancy expertise

Senior IT database Consultant, Database developer (Team Leader)

Junior IT specialist/programmer with at least 10 years experience in database programming

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Appendix 12.2: Draft Terms of Reference - Knowledge Expert

Procurement of Technical Assistance – Air Transport Domain Knowledge Expert to support the development of an AFCAC Web Based Database System for the management and supervision of the implementation of the Yamoussoukro

Decision (a Database for YD Monitoring – YD-EA-MSDB) 1. Introduction: Purpose of Technical Assistance It is intended to design and physically implement a database system, as a

decision support tool for AFCAC. The required system needs to complement existing databases within RECS and provide for appropriate interface to ICAO existing databases. The database shall contain all the relevant evaluation criteria and indicators to enable AFCAC to dynamically analyse the implementation of YD across the African Continent, enable AFCAC to perform economic and statistical analysis from this data as well as been able to generate relevant and timely reports. The database will serve as a knowledge base tool and enable AFCAC meet its strategic objective of supervising and managing a liberalised aviation industry in Africa. As a reference statistical and economic air transport aviation database for Africa, its accuracy, timeliness, reliability and accessibility are paramount qualities.

1.1 In light of the foregoing, the AUC in collaboration with AFCAC, seeks to

procure the services of an individual consultant, an knowledge expert in the air transport sector with knowledge of air transport economics analysis and statistics, to act as technical support staff to AFCAC in the design and implement a database system that will meet the objectives of AFCAC in terms of YD implementation supervision and management.

2 Objectives of the Technical Assistance: 2.1 The main aim of this project is to design, develop, adequately test and

ultimately actualize a web-based database application that will assist AFCAC staff and other authorized users to access, analyze, process, and convert data into useful information using various search, sort, filter, and rank queries accessible both on local intranet and internet. The database will serve as a knowledge base tool and enable AFCAC meet its strategic objective of supervising and managing a liberalised aviation industry in Africa, support the enforcement of IYD, monitoring of competition within the industry and provide information to enable the protection of consumer rights. To ensure the later, an in-house technical assistance is required in the coordination of the indicators definitions, data collection, development of procedures and methods for the data analysis to be implemented in the database.

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2.2 The specific objectives of the technical assistance: 2.2.1 To analyse AFCAC defined IYD evaluation criteria and indicators, in other

to define targets. The define targets should also assist AFCAC with the task of economic and statistical analysis in order to monitor and devaluate the impacts of the IYD.

2.2.2 Supervise and manage the database project including physical operationalisation of the database, the production of reports and required manuals.

2.2.3 Support the database consultant in the design of the data capture tools, elaboration of database test plan, and to enable the successful completion of the database project.

2.2.4 Capacity building of AFCAC in the comparative legal analysis, economic and statistical analysis of IYD monitoring as well as use of quantitative method in regulatory enforcement is expected.

2.2.5 To ensure the long term sustainability of the database through the recommendation of required resources.

3. Expected Deliverables: The expected outputs for the TA:

(a) The development and deployment of the database is successfully

accomplished including all deliverables for the database consultant.

(b) Deployment of the AFCAC EA IYD Centralised Web-based Database system in place, populated with the relevant IYD evaluation criteria and indicators. Evidence of output reports to indicate successful functionality of the database.

(c) AFCAC demonstrated ability to operate the database and generate required reports and results.

(d) Project monitoring reports of all phases, approved appropriate manuals, system development reports and project implantation activity reports setting out progress achieved so far for activities carried out and planned; and

(e) Data needs for IYD monitoring of RECs and States integrated into the operational database with functional interfaces to the ICAO database as well as user functionality requirements.

4. Scope: Specific activities for the consultant

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4.1 To analyse AFCAC defined IYD evaluation criteria and indicators, in other to define targets. The define targets should also assist AFCAC with the task of economic and statistical analysis in order to monitor and devaluate the impacts of the IYD.

4.2 Develop a cost data collection plan, taking consideration the experience in data collection within the Operationalisation EU funded study.

4.3 The data contain is expected to cover all data relevant to the IYD, to include information on but not limited to: (i) detailed air traffic statistics on passengers, cargo and aircraft movements, (ii) Flight / route schedules; (iv) airline fleet; (v) designated AU airports, (vi) fares, tariffs and charges and (vi) All intra-African air transport network city-pair stages and their characteristics.

4.4 The project envisages the expansion of the database to also include but not limited to data to monitor: (i) civil aviation safety (registration of Airlines, their personnel and aircraft; air worthiness reports, inspection findings, and corrective measures, accident/incident reporting, list of qualified inspectors by RECs, etc); (ii) civil aviation security; (iii) general aviation activities in the continent; (iv) facilitation at airports and en-route; (v) activities of non African airlines within the Continent; (vi) applicable charges for en-route and airport charges, and (vii) the impact of African air transport activities to environmental pollution. Each dataset may be developed into stand alone databases.

4.5 Support the Database Consultant in the design of the data capture tools and interface. Review of ICAO data forms is recommended as well as document 9060.

4.6 Support the AFCAC in defining the future possible expansion of the database as indicated in 4.4, including definition of the data collection plan in order to implement such an expansion. Co-ordinate with the Database Consultant actions necessary to incorporate the database expansion at the stage of the current design.

4.7 Support the Air Transport Department and AFCAC in the execution of the data collection plan. Where it is possible, existing in house data should be utilised to minimise data collection cost.

4.8 Harmonisation of the statistical definition, concepts and methodology

compatible with ICAO data standards (Doc 9060). Consultant is also advised to consult the ACI manual.

4.9 Co-ordinate with the Database Consultant the database test plan and quality assurance check-list and ensure it is approved by AFCAC and the AUC or the project SC.

4.10 Assist with implementation of the database prototype and operational version, to include populating the database with collected data.

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4.11 Oversee the testing of the database in all phases, including installation of hardware and software to be acquired. The Consultant is also to recommend software for data analysis such as SPSS. This software should also be installed within the system.

4.12 Capacity building of AFCAC staff in operationalisation of the database, data entry and generation of reports as required. Capacity strengthening in the comparative legal analysis, economic and statistical analysis of IYD monitoring as well as use of quantitative method in regulatory enforcement is expected.

4.13 To ensure the long term sustainability of the database through the recommendation of required resources.

4.14 Supervise and manage the database project including the production of reports and required manuals.

4.15 Meet other requirement as to be agreed with the retained consultant.

4.16 Security and Commercial Risk: Consultants are expected to be aware of the treat posed by cyber terrorism to the industry. Therefore all information provided is done so in confident. The consultant should indicate if he/she objects to some form of security risk profiling. Database also covering the air transport industry in Africa is a commercially sensitive project and consultants will be expected to protect the confidentiality of the project and the interest of the African aviation industry.

4.17 The Domain Expert (Air Transport Knowledge Expert with economic and statistical knowledge of air transport) will be based at the AFCAC H/Q during this assignment and will work in collaboration with AFCAC IT staff and Air Transport department staff. The line of report shall be determined by the SG of AFCAC.

4.18 Consultant to assist with the specification and acquisition of required hardware, servers and software, based on the Client’s specification.

6. Required consultancy Expertise:

Key Expert Air Transport Domain Knowledge Expert with good demonstrated experience in economic and statistical analysis and knowledge of the air transport industry in Africa and IYD.

Other Expert One Short Term Legal Expert to advice on use of database in the implementation of the enforcement powers of the IYD. Form part of the team during testing of the system and also approval of the testing plan.

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Appendix 12.3: Hardware and Software Requirement The table below indicates the basic IT system architecture required for the realisation of the database system at AFCAC. AFCAC is currently upgrading its web-site. The Consultant had the opportunity to work with the ICT Officer from BAGASOO, Ugochukwu Nwigwe, during the period 10-11 May 2012. His input in assisting with defining the IT infrastructure recommended below is acknowledged.

Table A1: Hardware and Software Requirement Servers/Peripheral Architecture - Current Installation

Component Installation/type/model Quantities Remarks

Servers HP Proliant Server (2.5GHz, 4x148GB HDD, 4GB RAM)

1

Server Operating systems Microsoft Windows Server 2008 1

Switches Cisco Switches Catalyst 2990 Series

2

Intrusion detection system IDS is handled by the Microtik Router

1

Firewall Firewall is handled by the Microtick Router Board

1

Printers SHARP AR451N Network Printer + 1 HP Colour Deskjet

14

Tracers NIL (Packet Tracer 5.4.3 recommended)

TBS (to be determined)

Colour networked Printers HP Colour Deskjet Printer 62580 Series

1

Scanners Scannng is handled by the HP Colour Deskjet Printer 62580 Series

2

Back-up Devices 1TB Seagate External Hard Disk 4

Anti-virus/server version Symantec Endpoint Protection Enterprise Edition

1

Anti-virus/Client version Kaspersky Antivirus Internet Security

20

Power APC 5kVa Smart UPS for server

APC 1.5kVa UPS for client

1

20

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Servers/Peripheral Architecture - Current Installation

Component Installation/type/model Quantities Remarks

computers

2kV Stabilizer for server

1

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12.4 DATABASE USES - Dashboard

Example Data Base Use – ASA Dashboard

Dashboard of Existing Compliant YD - 2012 YD Compliant YD ASA Type but non compliant No ASA

African Countries 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56

Cou

ntry

-Nam

e

Cou

ntry

-Cap

ital

ICA

O-C

OD

E

Alg

eria

Ang

ola

Ben

inB

otsw

ana

Bur

kina

Fas

oB

urun

diC

amer

oon

Cap

e V

erde

Cen

tral

Afr

ican

Rep

ublic

Cha

dC

omor

osD

R C

ongo

Con

go R

epC

ôte

d'Iv

oire

(Ivo

ry C

oast

)

Djib

outi

Egy

ptE

quat

oria

l Gui

nea

Eri

trea

Eth

iopi

aG

abon

Gam

bia

Gha

naG

uine

aG

uine

a-B

issa

uK

enya

Les

otho

Lib

eria

Lib

yaM

adag

asca

rM

alaw

iM

ali

Mau

rita

nia

Mau

ritiu

sM

oroc

coM

ozam

biqu

eN

amib

iaN

iger

Nig

eria

Reu

nion

Rw

anda

Sao

Tom

e an

d Pr

inci

pe

Sene

gal

Seyc

helle

sSi

erra

Leo

neSo

mal

iaSo

uth

Afr

ica

Suda

nSo

uthe

rn S

udan

Swaz

iland

Tan

zani

aT

ogo

Tun

isia

Wes

tern

Sah

ara

Uga

nda

Zam

bia

Zim

babw

e

name DA FN DB FB DF HB FK GV FE FT CS FC FZ DI HD HE FG HH HA FO GM DG GU GG HK FX GL HL MG FW GA GQ FI GM FQ FY DR DN FM HR FP GO FS GF HC FA HS SS FD HT DX DT EH HU FL FV

1 Algeria Algiers DA

2 Angola Luanda FN

3 Benin Porto-Novo DB

4 Botswana Gaborone FB

5 Burkina Faso Ouagadougou DF

6 Burundi Bujumbura HB

7 Cameroon Yaounde FK

8 Cape Verde Praia GV

9 Central African RepublicBangui FE

10 Chad N'Djamena FT

11 Comoros Moroni CS

12 DR Congo Kinshasa FC

13 Congo Rep Brazzaville FZ

14 Côte d'Ivoire (Ivory Coast)YamoussoukroDI

15 Djibouti Djibouti HD

16 Egypt Cairo HE

17 Equatorial Guinea Malabo FG

18 Eritrea Asmara HH

19 Ethiopia Addis Ababa HA

20 Gabon Libreville FO

21 Gambia Banjul 0

22 Ghana Accra DG

23 Guinea Conakry GU

24 Guinea-Bissau Bissau GG

25 Kenya Nairobi HK

26 Lesotho Maseru FX

27 Liberia Monrovia GL

28 Libya Tripoli HL

29 Madagascar Antananarivo 0

30 Malawi Lilongwe FW

31 Mali Bamako GA

32 Mauritania Nouakchott GQ

33 Mauritius Port Louis FI

34 Morocco Rabat GM

35 Mozambique Maputo FQ

36 Namibia Windhoek FY

37 Niger Niamey DR

38 Nigeria Abuja DN

39 Reunion FM

40 Rwanda Kigali HR

41 Sao Tome and PrincipeSão Tomé FP

42 Senegal Dakar GO

43 Seychelles Victoria FS

44 Sierra Leone Freetown GF

45 Somalia Mogadishu HC

46 South Africa Pretoria FA

47 Sudan Khartoum HS

48 Southern Sudan 0 SS

49 Swaziland Mbabane FD

50 Tanzania Dodoma HT

51 Togo Lomé DX

52 Tunisia Tunis DT

53 Western Sahara El-Aaiún EH

54 Uganda Kampala HU

55 Zambia Lusaka FL

56 Zimbabwe Harare FV

Sources: N. Ndoh/KE3 Indecon/DSF Aviation Consultant This project is funded by the EU

African Union Commission

Support to the Operationalisation of the Executing Agency of the Yamoussoukro Decision

EuropeAid/130156/D/SER/MULTI

65 /89

Use of Data Base to generate Dash Board and Information on Decision making. Example shows existing strong Hubs in Africa in Kenya, Ethiopia, South Africa and Morocco. Based on 2010 data (Stage Flight data taken from IYD Intercontinental evaluation study (SOFRECO-2011))

Dashboard of African Network Connectivity - 2011

African Countries 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55

name Ken

ya

Eth

iop

iaS

ou

th A

fric

aM

oro

cco

Sen

egal

Mali

Togo

Côte

d'I

voir

e (I

vory

Coast

)

Lib

ya

Nig

eria

Ben

inC

am

eroon

Con

go R

epG

han

aG

ab

on

Egyp

tD

R C

on

go

Bu

rkin

a F

aso

An

gola

Gu

inea

Cen

tral A

fric

an

Rep

ub

lic

Sie

rra L

eon

eT

an

zan

iaC

had

Gam

bia

Lib

eria

Zam

bia

Zim

bab

we

Alg

eria

Mau

rita

nia

Nig

erR

wan

da

Su

dan

Tu

nis

iaB

uru

nd

iU

gan

da

Cap

e V

erd

eM

ala

wi

Moza

mb

iqu

eE

ritr

eaN

am

ibia

Sou

ther

n S

ud

an

Bots

wan

aC

om

oro

sD

jib

ou

tiE

qu

ato

rial G

uin

ea

Mad

agasc

ar

Mau

riti

us

Gu

inea

-Bis

sau

Sao T

om

e an

d P

rin

cip

e

Sey

chel

les

Som

ali

aL

esoth

oS

wazi

lan

dR

eun

ion

HK HA FA GM GO GA DX DI HL DN DB FK FZ DG FO HE FC DF FN GU FE GF HT FT GM GL FL FV DA GQ DR HR HS DT HB HU GV FW FQ HH FY SS FB CS HD FG MG FI GG FP FS HC FX FD FM

1 Kenya 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 35 65

2 Ethiopia 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 29 54

3 South Africa 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 29 54

4 Morocco 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 24 44

5 Senegal 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 23 43

6 Mali 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 21 39

7 Togo 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 21 39

8 Côte d'Ivoire (Ivory Coast)1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 20 37

9 Libya 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 20 37

10 Nigeria 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 20 37

11 Benin 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 18 33

African Union Commission

Support to the Operationalisation of the Executing Agency of the Yamoussoukro Decision

EuropeAid/130156/D/SER/MULTI

66 /89

Dashboard of African Network Connectivity - 2011

African Countries 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55

name Ken

yaEt

hiop

iaSo

uth

Africa

Mor

occo

Sene

gal

Mal

iTo

goCôt

e d'Iv

oire

(Ivo

ry C

oast)

Liby

aNig

eria

Beni

nCam

eroo

nCon

go R

epG

hana

Gab

onEg

ypt

DR Con

goBu

rkin

a Fa

soAng

ola

Gui

nea

Centr

al A

frica

n Rep

ublic

Sier

ra L

eone

Tanz

ania

Chad

Gam

bia

Libe

riaZa

mbi

aZi

mba

bwe

Alger

iaM

aurit

ania

Niger

Rwanda

Suda

nTu

nisia

Buru

ndi

Ugand

aCap

e Ver

deM

alaw

iM

ozam

biqu

eEr

itrea

Namib

iaSo

uthe

rn S

udan

Botsw

ana

Comor

osDjib

outi

Equa

toria

l Gui

nea

Mad

agas

car

Mau

ritiu

sG

uine

a-Bi

ssau

Sao

Tom

e and

Prin

cipe

Seyc

helle

sSo

mal

iaLe

soth

oSw

azila

ndReu

nion

HK HA FA GM GO GA DX DI HL DN DB FK FZ DG FO HE FC DF FN GU FE GF HT FT GM GL FL FV DA GQ DR HR HS DT HB HU GV FW FQ HH FY SS FB CS HD FG MG FI GG FP FS HC FX FD FM

1 Kenya 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 35 65

2 Ethiopia 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 29 54

3 South Africa 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 29 54

4 Morocco 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 24 44

5 Senegal 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 23 43

6 Mali 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 21 39

7 Togo 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 21 39

8 Côte d'Ivoire (Ivory Coast)1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 20 37

9 Libya 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 20 37

10 Nigeria 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 20 37

11 Benin 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 18 33

12 Cameroon 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 18 33

13 Congo Rep 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 17 31

14 Ghana 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 17 31

15 Gabon 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 16 30

16 Egypt 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 15 28

17 DR Congo 1 1 1 1 1 1 1 1 1 1 1 1 1 1 14 26

18 Burkina Faso 1 1 1 1 1 1 1 1 1 1 1 1 1 13 24

19 Angola 1 1 1 1 1 1 1 1 1 1 1 1 12 22

20 Guinea 1 1 1 1 1 1 1 1 1 1 1 1 12 22

21 Central African Republic1 1 1 1 1 1 1 1 1 1 1 11 20

22 Sierra Leone 1 1 1 1 1 1 1 1 1 1 1 11 20

23 Tanzania 1 1 1 1 1 1 1 1 1 1 1 11 20

24 Chad 1 1 1 1 1 1 1 1 1 1 10 19

25 Gambia 1 1 1 1 1 1 1 1 1 1 10 19

26 Liberia 1 1 1 1 1 1 1 1 1 1 10 19

27 Zambia 1 1 1 1 1 1 1 1 1 1 10 19

28 Zimbabwe 1 1 1 1 1 1 1 1 1 1 10 19

29 Algeria 1 1 1 1 1 1 1 1 1 9 17

30 Mauritania 1 1 1 1 1 1 1 1 1 9 17

31 Niger 1 1 1 1 1 1 1 1 1 9 17

32 Rwanda 1 1 1 1 1 1 1 1 8 15

33 Sudan 1 1 1 1 1 1 1 1 8 15

34 Tunisia 1 1 1 1 1 1 1 1 8 15

35 Burundi 1 1 1 1 1 1 1 7 13

36 Uganda 1 1 1 1 1 1 1 7 13

37 Cape Verde 1 1 1 1 1 1 6 11

38 Malawi 1 1 1 1 1 1 6 11

39 Mozambique 1 1 1 1 1 1 6 11

40 Eritrea 1 1 1 1 1 5 9.3

41 Namibia 1 1 1 1 1 5 9.3

42 Southern Sudan 1 1 1 1 1 5 9.3

43 Botswana 1 1 1 1 4 7.4

44 Comoros 1 1 1 1 4 7.4

45 Djibouti 1 1 1 1 4 7.4

46 Equatorial Guinea 1 1 1 1 4 7.4

47 Madagascar 1 1 1 1 4 7.4

48 Mauritius 1 1 1 1 4 7.4

49 Guinea-Bissau 1 1 1 3 5.6

50 Sao Tome and Principe 1 1 2 3.7

51 Seychelles 1 1 2 3.7

52 Somalia 1 1 2 3.7

53 Lesotho 1 1 1.9

54 Swaziland 1 1 1.9

55 Reunion 0 0

Sources: N. Ndoh/KE3 Indecon/DSF Aviation Consultant This project is funded by the EU

African Union Commission

Support to the Operationalisation of the Executing Agency of the Yamoussoukro Decision

EuropeAid/130156/D/SER/MULTI

67 /89

Appendix 12.5: Indicator Questionnaire Analysis

The questionnaire used in this study was distributed to all the Stakeholders during the last SC meeting and by e-mail. Extra copies can be obtained from the beneficiary, AFCAC. Survey Results Introduction: Method of data analysis

(a) Given the number of respondents, the analysis was done in excel, using simple

data tabulation and categorical analysis.

(b) Coding of the respond to each factor into first to nth position for each

questionnaire return ;

(c) Summing across all respondents the number of times a factor is in 1st , 2nd position,

etc, to number of times in the 6th position

(d) Calculation of the score based a weight, 1st position is 10 points, 2nd scaled by 8.5,

3rd position is scaled by 6.5, 4th by 3.5, 5 by 1. The final score is the sum of

scores from position 1 to 6.

(e) Scaling to 100 points. If number of respondent is 10 and position factor X as first,

based on the weight above, the max scale is 10*number of respondents. The

represents the maximum points any factor can receive. Hence finding the

percentage score for each factor relative to the maximum gives the values reported

with maximum as 100.

Factors Ranking

Ranking>>> 1st 2nd 3rd 4th 5th 6th

Weighted

scores

Scaling-

max 100 Results

(i) Member States that submitted any form of Declaration of

Commitment, and, in the case of Annex 1 (b) and 1(c) when the

limitation expired; 4 2 0 0 6 0 73 34 6 i

(ii) Member States that have granted traffic and operational rights on

the basis of YD, and how often 5th freedom rights have expressly

been included 16 2 0 0 0 0 175 83 1 ii

(iii) Member States that have refused to authorise airlines on

grounds of the eligibility or other criteria, how and whether the

issues have been resolved; 3 9 4 0 5 0 138.5 65 2 iii

(iv) How often the Monitoring Body or the RECS have been called

on to handle complaints from eligible airlines or disputes between

Member States 0 0 3 9 0 5 74.5 35 5 iv

(v) Whether current traffic increases on certain routes can be

ascribed ,in part, to the YD; 1 3 5 2 1 0 78 37 4 v

(vi) The impact of YD on any national airline and in particular any

resulting bankruptcies, 0 2 3 1 5 1 56.5 26 7 vi(vii) The extend to which YD has contributed to fare levels in Africa

and benefits to passengers. 3 0 6 5 0 0 94 44 3 vii

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Q1.0: Desired Key Discussion points: As the newly established Executive Agency of the

Yamoussoukro Decision, one of the major tasks that AFCAC will have to undertake is the

production of reports and making presentations to either the Monitoring Body, the Ministers in

Charge of Civil Aviation in Africa or preparation of reports for the Head of State meetings. The

question seeks to establish in priority, some of the major issues such reports would need to cover.

Respondents were asked to place in order of priority the issues they would like to hear in an

AFCAC presentation.

The first issue the respondents would like to know is member states that have granted traffic and

operational rights on the basis of the Yamoussoukro Decision and how often 5th freedom rights

have expressly been included. This reply as the first priority is not surprising as it embodies the

provision of the decision, granting market access. The second issue is member states that have

refused to authorize airlines on grounds of the eligibility or other criteria, how and whether the

issues have been resolved. The first and second issues are concerned with the application of YD

by States.

Recommendation:

(a) In that regard, the EA needs to initially focus on carrying out a detailed analysis or diagnostic

of the current implementation of YD by the 55 Party States. This entails a strategy on data

collection.

(b) The degree of compliance of Party States with the provision of YD is a potential and useful

indicator for the EA to establish.

(c) The number of cases dealt with by the dispute resolution mechanism is also an important issue

to monitor.

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Q17: Reporting Frequency

The respondents were asked how often they would like any reporting done by AFCAC.

The three options were (a) Bi-annual reports, (b) yearly reports or (c) a report once in two

years. The majority of respondents expressed the wish to have an annual report on the

implementation of YD covering the 55 member States of the AU. It is not unreasonable

to expect an annual report given that the EA would have to do an activity report each year

based on the budget allocated.

Considering the difficulties of getting information from the state, a strategy needs to be

established on how to get the necessary information in order to prepare the annual

reports. Such a strategy needs to involve the RECs, being the entity closed to most states.

RECs could be required to produce bi-annual reports whilst the EA generates the annual

reports. The report format needs to be defined a priori. Reporting is a requirement in the

Sun City criteria and important criteria that can be used to measure the performance of

the EA.

Recommendation:

(a) Initiate a strategy for data collection from states to enable annual reports to be

generated

(b) The RECs should be involved in such a strategy.

(c) The use of focal points in RECs and states is recommended.

Q2:

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71 /89

Q3:

Q4:

72 /89

Q5:

Q6:

73 /89

Q7:

Q8:

Q9:

74 /89

Q10:

Appendix 12.6: Indicator Questionnaire

75 /89

Support to the Operationalisation of the Executing Agency of the Yamoussoukro Decision

EuropeAid/130156/D/SER/MULTI

Questionnaire for Stakeholders/Policy Makers

Response Form

Form__01/Data/YOP/032012_

Introduction: This form is provided to enable you enter you reply directly in soft

form. If you prefer working with a printed copy, you may wish to print a copy for

completion. However we would appreciate a reply by electronic mail.

In answering the various questions, some answers have been suggested in the main

questionnaire. You can either select a criteria/indicator from the list or provide one of

your own.

It is important to order your response in accordance with your preference with the most

important criteria listed first.

The Consortium appreciates your cooperation and timely input in the provision of

information that will enhance the need assessment results and the success of the project.

Kindly complete the attached questionnaire on this form, and return the form

by e-mail to:

ndohnngoe@yahoo.fr

Aviation Consultant

KE3: Responsible for the database and indicators component

Yamoussoukro Operationalisation Project - Indecon/DFS/LHC Consortium

Any information provided will be treated in confidence.

Thank you for your cooperation and most importantly your time.

Specific Studies: Component 2.4: Database specification and definition of indicators:

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Section 1: Identification of High Level Issues: Monitoring, Expected

Benefits/Impacts and Constraints

Q1: Identification of high level Issues for YD monitoring (what issues to monitor?): Assuming AFCAC was making a high level presentation on the implementation of the

YD since the declaration was signed in 1998. Which are some key discussions points

would you expect to hear regarding the implementation of YD since the Decision was

adopted in 2000?

In order of priority (starting with the most important): “I would appreciate information or

an elaboration on the following key discussion points”:

In order of priority with the most relevant issue as Key issue k1.1:

Key Issue k1.1: The extent to which YD has contributed to fare levels in Africa and

benefits to passengers.

Key Issue k1.2: Whether current traffic increases on certain routes can be ascribed, in

part, to the YD

Key Issue k1.3: Member States that have refused to authorise airlines on grounds of the

eligibility or other criteria, how and whether the issues have been resolved;

Key Issue k1.4:_______________________________________

Key Issue k1.5:_______________________________________

Any Other k1.6:________________________________________

Please add any general comments on the current or past method of the monitoring

of the implementation of YD since the Decision was adopted in 2000

------------------------------------------------------------------------------------------------------------

Q2: Identification of high level expected benefits/impact to be monitored): You need

to convince your peers on the benefits/merits regarding the implementation of YD.

In order of priority (starting with the most important): “The merit of full implementation

of YD within my region or country, under the current economic and aviation environment

(2011/2012) includes”:

In order of priority with the most relevant benefit as Key benefit k2.1:

Key benefit k2.1: opening of new routes Key benefit k2.2: increased competition on more routes

Key benefit k2.3: more African carriers

Key benefit k2.4:________________________________________________

Key benefit k2.5:________________________________________________

Please provide any general comments on aviation liberalisation in Africa:

In central Africa, the full implementation of YD is far to be reached…

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Q3.0: Identification of perceived YD implementation constraints: Since the YD was

adopted in 2000, the global aviation industry has evolved and new domestic and global

economic realities impose some constraints on the realisation of the full benefits of YD

implementation. Your colleagues need to be informed on any caveats or disadvantages

regarding the full implement of YD in the current aviation climate.

In order of priority (starting with the most important): “I consider the following caveats

or constraints in today’s economic and aviation environment (2011/2012) relevant with

regard to the implementation of the YD:

In order of priority with the most severe constraint as Key Constraint k3.1:

Key Constraint k3.1: Lack of an appropriate national, regional or African wide applied competition rules, consumer protection regulations and appropriate dispute resolution mechanism; Key Constraint k3.2: High level of non-compliance with ICAO safety and security standards;

Key Constraint k3.3: Existence of few autonomous civil aviation authorities; Key Constraint k3.4: Non-liberalised market access on the ground: airport facilities, ground handling services, monopoly in air traffic service provision; Key Constraint k3.5:_____________________________

Please provide any general comments regarding the impacts of these constraints on YD

implementation:

Section 2: Identification of relevant performance indicators to permit a

dynamic analysis of the implementation of YD.

Q4. Legal compliance related indicators: The actual implementation of YD is at the

level of the individual States, with the aim to enable an atmosphere of a liberalised

aviation industry.

Please suggest some indicators that can be used to determine that an AU State is legally

compliant with the implementation of YD:

In order of priority with most relevant as K4.1

Key indicator k4.1: AFCAC assessment of percentage compliance of State’s ASA with YD provision based on comparison with each article

Key indicator k4.2: Report of complaints made against other states and received from other states Key indicator k4.3: _______________________________________________

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Please provide any general comments on assessing State legal compliance with the

current provisions of the Yamoussoukro Decision.

Q5: Level of industry competition indicators: An enhanced liberalised aviation

environment in a state should permit a degree of competition within the state aviation

industry and Africa.

Assuming YD was fully implemented: please suggest additional indicators that can be

used to determine the degree of competition within the African aviation industry:

In order of priority with most relevant as k5.1

Key indicator k5.1: Re-distribution of market share and capacity shares in particular market where a dominant airline exist; Key indicator k5.2: Table of price changes on YD routes ;

Key indicator k5.3: Survey Results of airlines and consumer on their perception of level of competition in each State including perception of airport services assessed every other two years

Please provide any general comments regarding competition in the aviation industry

given the implementation of the current provisions of the Yamoussoukro decision.

Q6: Indicators related to the impact on airline operators:

Assuming YD was fully implemented: please suggest some indicators that can be used to

assess the impact of YD on various airline operators (Passenger and/or Cargo operators)

In order of priority with most relevant indicator as key indicator k6.1

Key indicator k6.1: Annual Growth in traffic carried by African Carriers- passenger revenue seat kilometre and cargo revenue tonne kilometre; Key indicator k6.2: Changes in market share of national airlines;

Key indicator k6.3: Number of low cost carriers operating from each State

assessed each year

Please provide any general comments on the impact of YD implementation on airline

operators (positive and/or negative impacts):

Q7: Indicators related to the impact on airport operators: Assuming YD was fully implemented; please suggest some indicators that can be used to

assess the impact of YD on airports within each state?

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In order of priority with most relevant indicator as key indicator 7.1

Key indicator K7.1: Annual Growth in traffic at each airport- total commercial passenger, number of connecting passengers, cargo tonnage, number of commercial aircraft movement; Key indicator k7.2: Change in number of airport employees established every other two years; Key indicator k7.3: Number of new destination/points available from each airport;

Please provide any general comments on the impact of YD implementation on airport

operators (positive and/or negative impacts):

Q8: Indicators related to the impact on Ground Handling Companies (GHC)

operators at airports: Assuming YD was fully implemented; please suggest some indicators that can be used to

assess the impact of YD on GHC operators within each state?

In order of priority with most relevant indicator as key indicator k8.1:

Key indicator k8.1: Annual number of ground handling companies competing at airport relative to traffic levels;

Key indicator k8.2: Annual number of privatised ground handling companies at

airport; Key indicator k8.3: Survey results measuring Airlines perception of the quality of service of airport ground handling services done every other two years

Please provide any general comments regarding the implementation of YD on Ground

Handling Services (positive and/or negative impacts):

Q9: Indicators related to the impact on air traffic service (ATC) providers:

Assuming YD was fully implemented: please suggest some indicators that can be used to

assess the impact of YD on ATC operators within each state?

In order of priority with most relevant indicator as key indicator k9.1

Key indicator k9.1: Changes in ATC infrastructure investment in the last 5 years and/or planned investment in the next 5 years by State; Key indicator k9.2: IATA benchmark of ATC charges established every two years; Key indicator k9.3: Survey result of Airline perception of the quality of service of ATC services assessed every other two years;

80 /89

Please provide any general comments YD implementation may have on ATC Service

providers (positive and/or negative impacts):

Q10: Indicators related to the impact on Passengers:

Assuming YD was fully implemented; please suggest some service level indicators that

can be used to assess the impact of YD on Passengers?

In order of priority with most relevant indicator as key indicator k10.1

Key indicator k10.1: Reduction in fare levels per seat kilometre;

Key indicator k10.2: Greater choice of airlines and products in several routes;

Key indicator k10.3: Existence of consumer protection regulations and a functional

consumer protection commissioner at State, REC and AFCAC levels

Please provide any general comments regarding the impact of YD implementation on

passengers (positive and/or negative impacts):

Q11: Indicators related to the impact on Cargo operations: Assuming YD was fully implemented; please suggest some impact indicators that can be

used to assess the impact of YD on the cargo sector of the air transport industry?

In order of priority with most relevant indicator as key indicator k11.1

Key indicator k11.1: Annual number of cargo companies at airport; Key indicator k11.2: Reduction in fare levels per kilometre; Key indicator k11.3: Change in market share of cargo airline traffic at an airport assessed every two years

Please provide any general comments regarding the impact of YD implementation on

transportation of air freight (positive and/or negative impacts):

Q12: Indicators related to the DIRECT impact on State and African Tourism

industry:

Assuming YD was fully implemented; please suggest some indicators that can be used to

assess the direct impact of YD on State and African tourism industry?

In order of priority with most relevant indicator as key indicator k12.1

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Key indicator k12.1: Increased tourist traffic growth

Key indicator k12.2: More services available for tourists

Key indicator k12.3: Reduction of cost of services

Please provide any general comments regarding the DIRECT impact of YD

implementation on Tourism industry within the State and Africa (positive and/or negative

impacts):

Q13: Indicators related to the impact on African integration:

Assuming YD was fully implemented; please suggest some indicators that can be used to

assess the impact of YD on African integration?

In order of priority with most relevant indicator as key indicator k13.1

Key indicator k13.1: Improvement of trade between countries______

Key indicator k13.2: Better movement of people;

Key indicator k13.3: Reduction of cost of services and duties

Please provide any general comments regarding the impact of YD implementation on

African integration (positive and/or negative impacts); Is visa requirement a hindrance

for Intra-Africa mobility, including intra-REC citizen mobility and constraints the

benefits of YD for African integration?

Q14: State socio-economic condition for YD impact effectiveness:

Assuming YD was fully implemented; please suggest some socio-economic factors

necessary at State level to ensure that the impacts of full implementation of YD are

effective?

In order of priority with most relevant as k14.1

Key factor k14.1: Effective implementation of the YD into the local legislation;

Key factor k14.2: The states shall avoid measures to protect the local companies which

jeopardize the full implementation of YD

Key factor k14.3: _______________________________________________

Q15: State infrastructure condition for YD impact effectiveness:

Please suggest some infrastructure requirement necessary at State level to ensure that the

impacts of full implementation of YD are effective?

In order of priority with most relevant as k15.1

Key factor k15.1: Better airport infrastructures;

Key factor k15.2: Improvement of custom procedures;

Key factor k15.3: Uniform procedures among all states;

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Q16: Other State/Regional /Africa wide condition for YD impact effectiveness: Please suggest any other conditions necessary at State level, REC level or African level

necessary to ensure that the impacts of full implementation of YD are effective?

In order of priority with most relevant as K16.1

Key factor k16.1: Improvement of the ICAO safety and security standards;

Key factor k16.2: Politic engagement to fully implement the YD

Key factor k16.3:

Q17: Reporting Frequency: How would you like to receive any reports on the

implementation of YD from AFCAC?

Reporting 1: Bi-annual implementation reports covering all AU state

Reporting 2: Yearly implementation reports covering all AU state

Reporting 3: A Report every two years covering all the states

Please state your preference: k17: Yearly implementation reports covering all AU state

Thank you for your cooperation.

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Annex 12.7: List of References

No. Author Title/date

1 AU AU/TPT/EXP/I(II) – Second Session of the African Union Conference of Ministers responsible for Transports , 21-25 November 2011. Luanda, Angola

2 ECA (July, 2002) Memorandum of Clarification and Guidelines with respect to the YD (ECA/RCI/023/02)

3 SOFRECO Final Report of the Continental Evaluation of the Implementation of the Yamoussoukro (2012)

4 Reynolds-Feigham, A.J. (1998)

The impact of U.S. Airline Deregulation on airport traffic patterns. Geographical Analysis, 30(3), 234-253

5 INTERVISTAS-EU Consulting Inc. (July 2009)

Agenda for Freedom: The Impact of International Air Service liberalization in Morocco

6 INTERVISTAS-EU Consulting Inc. (2010)

Agenda for Freedom: The Impact of International Air Service liberalization in Mauritius

7 INTERVISTAS-ga The Economic Impact of Air Service Liberalization, http://www.intervistas.com/

8 ICAO (2009) Doc 9932 STA/10 (2009) – Tenth Session of the Statistical Division, Montreal, 23-27 Nov; 2009

9 Consortium STDE (May, 210)

Evaluation du plan d’action pour l’amelioration du transport aerien en afrique central, contract specifique no. 2009/217676

10 Rexter R. Nhdhlovu (2009) COMESA, the final regional evaluation report submitted, (source: AUC)

11 Hydroplan (2009) SADC, the final regional evaluation report submitted (source: AUC/AFCAC)

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12 Delia Bergonzi and P. A.M. Ganemtore ( April, 2011)

For the ECOWAS, the final regional evaluation report (source: AUC/AFCAC)

13 ECA/Mohamed Taieb (2009) Study in the implementation of YD within the North African States (source: ECA/AFCAC)

14 SADC Minister’s evaluation criteria

15 Consultants (2009) Etude SADC d’évaluation de la mise en Ouvre de la décision de Yamoussoukro – 2009

16 (AFCAC, 2010)

AFCAC New Constitution (source: http://www.africa-union.org/root/au/Documents/Treaties/text/Constitution%20%20de%20la%20Commission%20africai

ne%20de%20l%20Aviation%20civile%20New.pdf ) 17 (AFCAC, 2010) AFCAC 22 WP Strategic Objectives (Source: AFCAC)

18 Djankov, S. et al, (2002) The regulation of entry: Assessment of entry of start-up firms in 85 countries. Quarterly Journal of Economics, Vol. CXVII,

Feb, 2002 Issue 1 (http://www.economics.harvard.edu/faculty/shleifer/files/reg_entry.pdf )

19 WB/IFC (2010) Doing business 2011, Comparing business regulation in 183 Economies.

20 World Trade Organization: (WTO, 2006)

Second review of the Air transport Annex: Development in the air transport Sector (Part II). Quantitative air service agreements review (QUASAR). Volume I & II. Document S/C/W/270/Add.1.

(source: http://www.wto.org/english/tratop_e/serv_e/transport_e/quasar_partd_e.pdf )

21 ICAO (2005) Database of World Air Service Agreements, 2005 Edition. CD Rom.

22 N. N. Ndoh & R.E. Caves (1995)

Investigating the impact of air service supply on local demand – a casual analysis. In Environment and Planning ; 1995, Volume 27, pages 489-503. Source- Authors

23 NSTB (2012) NSTB accident database : http://www.ntsb.gov/aviationquery/index.aspx (consulted, 2012)

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24 ACI (2011) ACI Statistical Manual. http://www.aci.aero/aci/aci/file/Publications/2011/ACI%20Statistics%20Manual%202011.pdf

26 MDi Comparison of MDi data to US ARC . http://74.209.241.69/static/entransit/session%202_kayloe.pdf, consulted 11/04/2012)

27 Michael J. Hernandez, March 2003

Database Design for Mere Mortals: A hands-On Guide to Relational Database Design, Second Edition, Addison Wesley, ISBN: 0-201-75284-0

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Annex 12.8: List of Persons Contacted

LIST OF CONTACTS

No. Name First Name Position Institution E-Mail Remarks

1 ALBERTO Adiron Senior Policy Officer (Air Transport)

African Union Commission Dept. of Infrastructure and Energy

albertoa@africa-union.org Chair of SC Meetings

2 BA Ciré Demba Director Air Transport African Civil Aviation Commission

cba@afcac.org Beneficiary (several internal consultations)

3 CODO Pamphile Coordonnateur Régional infrastructure Afrique de l'Ouest

African Development Bank

p.codo@afdb.org Participated in the 2nd SCM

4 DRABA Boubacar In charge of Infrastructure Programmes

EU Delegation in Senegal

Boubacar.DRABA@eeas.europa.eu

Participated in the 1st and 2nd SCM

5 GAIYA Samuel M. Legal Advisor African Civil Aviation Commission

sgaiya@afcac.org Beneficiary (several internal consultations)

6 GANEMTORE Paul-Antoine M.

Project Officer Air Transport Economic Community of West African States

ganem4@yahoo.fr Participated in the 2nd SCM

7 GNANG Evalou TC/AT International Civil Aviation Organisation

egnang@dakar.icao.int ICAO Regional Office

8 GUEBO Marie-Therese

Economic Affairs Officer Economic Commission for Africa

mguiebo@uneca.org Participated in the 1st and 2nd SCM

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LIST OF CONTACTS

No. Name First Name Position Institution E-Mail Remarks

9 HENAKU Kofi Senior Expert in Air Transport Regulation

Khenaku@bhsolicitors.com kofihenaku@yahoo.co.uk

Key Expert 2

10 ILANG'IKWA BONKANYA

Ernest Expert in Air Transport Economic Community of Central African States

eilangikwa@yahoo.fr Participated in the 2nd SCM

11 INDIA Mongezi G. Security Expert African Civil Aviation Commission

mindia@afcac.org Beneficiary (several internal consultations)

12 JALLOW Mam Sait ICAO Regional Director International Civil Aviation Organisation

mjallow@dakar.icao.int ICAO Regional Office

13 KOURMA Mamadi In charge of Sectoral Programmes

Community of the Sahel-Saharian States

facolykourma@yahoo.fr Participated in the 1st and 2nd SCM

14 KUUCHI Raphael Director, Commercial Corporate and Industry Affairs

African Airlines Association

raphael.kuuchi@afraa.org Participated in the 2nd SCM

15 MARAWA Amos Director of Infrastructure COMESA amarawa@comesa.ont

16 MATINDI Ladislaus Principal Civil Aviation Officer East African Community

lmatindi@eachq.org Participated in the 2nd SCM

17 NDOH Njasawaka Ngoe

Database Expert ndohnngoe@yahoo.fr Key Expert 3

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LIST OF CONTACTS

No. Name First Name Position Institution E-Mail Remarks

18 NTEBELE Mosa Air Transport Officer (YD and Air Transport)

African Civil Aviation Commission

mntebele@afcac.org Beneficiary (several internal consultations)

19 ONYEYIRI Fidelis C. Air Safety Officer/Advisor to Secretary General

African Civil Aviation Commission

fconyeyiri@afcac.org Key AFCAC focal contact person

20 SOSINA Iyabo Secretary General African Civil Aviation Commission

isosina@afcac.org Beneficiary (several internal consultations)

21 SOURANG Massourang Legal Officer African Civil Aviation Commission

msourang@afcac.org Beneficiary (several internal consultations)

22 TAMBI John Transport Infrastructure Expert NEPAD johnt@nepad.org Participated in the 2nd SCM

23 THOMAE Jonas Project Manager indecon consulting jonas.thomae@indecon.de Consortium contact person

24 WOLDEYOHANNES

Mesfin Fikru Director Safety African Civil Aviation Commission

mfikru@afcac.org Beneficiary (several internal consultations)