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COSCAP-NA INSTITUTIONAL FRAMEWORK AND ADMINISTRATIVE PROCEDURES MANUAL

Date: Dec. 2014Rev No. 2014-01

CO-OPERATIVE DEVELOPMENT OF OPERATIONAL SAFETYAND CONTINUING AIRWORTHINESS PROGRAMME

NORTH ASIA

INSTITUTIONAL FRAMEWORK

AND

ADMINISTRATIVE PROCEDURES MANUAL

December 2014 Edition

_______________________________ Date __2015-01-14__Signed YY/MM/DDCapt. Jin YibinExecutive Chairman of COSCAP-NADirector GeneralCAAC North China Regional Administration


Date: Dec. 2014Rev No. 2014-01

TABLE OF

CONTENTS

i

Table of Contents

Table of Contents...........................................................................................................iiABBREVIATIONS........................................................................................................2SECTION A. INTRODUCTION................................................................................5

A.1 General..........................................................................................................5A.2 Identification and Classification of Contents.................................................5A.3 Amendment Procedure for the Manual..........................................................5

SECTION B. COSCAP-NA REGIONAL INSTITUTION........................................6B.1 COSCAP-NA as a Regional Institution..........................................................6B.2 Institutional Framework for the Cooperative Development of Operational Safety and Continuing Airworthiness Programme – North Asia...............................9B.3 North Asia Regonal Aviation Team (NARAST)..........................................15

Appendix I Institutional Structure........................................................................16Appendix II NARAST ToR....................................................................................17Appendix III PROGRAMME DOCUMENT (REVISION 2).................................21PART A CONTEXT...........................................................................................23PART B COSCAP-NA PHASE III....................................................................30PART C DEVELOPMENT OBJECTIVE..........................................................32PART D IMMEDIATE OBJECTIVES, OUTPUTS AND ACTIVITIES.............33PART E PROGRAMME INPUTS.....................................................................36PART F PROGRAMME FUNDING.................................................................38PART G RISK ASSESSMENT...........................................................................39PART H PREREQUISITES...............................................................................40PART I PROGRAMME MONITORING AND REPORTING..........................40PART J PROGRAMME BUDGET...................................................................41Appendix 1............................................................................................................42

SECTION C. COSCAP-NA Funding and Cost-Sharing........................................44C.1 General Information on Trust Funds Modality.............................................44C.2 Institutional Framework Provisions on Funding...........................................44C.3 Programme Funding Process.........................................................................44C.4 Policy on donor participation in the Programme...........................................46C.5 Policy/Guidelines on evaluation in monetary terms of in-kind voluntary contributions provided by Programme Members and Donors for the purpose of their recognition.......................................................................................................47

C.6 Sharing of Expertise ……………………………………………………….48SECTION D. ADMINISTRATIVE AND OPERATIONAL PROCEDURES........51

D.1 ADMINISTRATION....................................................................................51

ii

D.1.1 COSCAP-NA Steering Committee.......................................................51D.1.2 COSCAP-NA Programme Management by ICAO................................52D.1.3 COSCAP-NA Personnel.........................................................................52D.1.4 Duty Travel of Programme Professional Personnel..............................54D.1.5 Office Management – Filing System......................................................54D.1.6 Security of Staff......................................................................................61

D.2 COSCAP-NA OPERATIONAL PROCEDURES........................................63D.2.1 Planning of Operational Activities.........................................................63D.2.2 Training..................................................................................................63D.2.3 Operation of NARAST............................................................................64D. 2.4 COSCAP Support to States / Administrations relative to USOAP Audit

64SECTION E. PROGRAMME MONITORING, REPORTING AND EVALUATION............................................................................................................68

E.1 Introduction...................................................................................................68E.2 Monitoring.....................................................................................................68

E.2.1 General..................................................................................................68E.2.2 COSCAP-NA Programme Monitoring...................................................69

E.3 Programme Reports.......................................................................................69E.3.1 Progress reporting to ICAO/TCB.........................................................69E.3.2 Progress reporting to the Steering Committee......................................69E.3.3 Technical Reports..................................................................................69E.3.4 Experts’ End-of-Assignment Reports..................................................70E.3.5 Experts’ Mission Reports......................................................................70

E.4 Programme Evaluation..................................................................................70E.5 Appendix I Programme Results Reporting System.......................................70

iii

Record of amendmentsNo. Date

ApplicableDate Entered

Entered By Amendment Summary

2014-01 2014/12/31 2014/12/31 Page 48 – C.6 Sharing of Expertise

1

ABBREVIATIONS

2

ACSTE Aerodrome Certification and Safety Training Expert

ANB Air Navigation Bureau (of ICAO)

APRAST Asia Pacific Regional Aviation Safety Team

ASFP Agency Security Focal Point

ATS Air Traffic Services

COSCAP-NA Cooperative Development of Operational Safety and Continuing Airworthiness Programme- North Asia

CTA Chief Technical Advisor

CMA Continuous Monitoring Approach

EASA European Aviation Safety Agency

FAA Federal Aviation Administration

FOE Flight Operations Expert

ICAO International Civil Aviation Organization

ESSI European Safety Strategy Initiative

MOU Memorandum of Understanding

NARAST North Asia Regional Aviation Safety Team

OJT On-the-Job Training

PC Programme Coordinator

PLE Personnel Licensing Expert

RAI Regional Airworthiness Inspector

RASG Regional Aviation Safety Group

RFOI Regional Flight Operations Inspector

SARPs Standards and Recommended Practices

SC Steering Committee

SCM Steering Committee Meeting

TCB Technical Co-operation Bureau (of ICAO)

UNDP United Nations Development Programme

USOAP Universal Safety Oversight Audit Programme (of ICAO)

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SECTION A

INTRODUCTION

4

SECTION A. INTRODUCTION

A.1 General

A.1.1 The COSCAP-NA Institutional Framework and Administrative Procedures Manual (IFAPM) contains the policies and procedures of COSCAP-NA.

A.1.2 The COSCAP-NA member States are China, Democratic People’s Republic of Korea (DPRK), Mongolia, and Republic of Korea (hereinafter referred to as COSCAP-NA Members or as Programme Members).

A.1.3 The policies of COSCAP-NA Programme are decided by a Steering Committee (SC) which is its Governing Body. The Steering Committee is composed of the heads of civil aviation administrations of COSCAP-NA Members responsible for regulatory functions. Hong Kong China and Macau China are invited to attend the SC Meeting as observers.

A.1.4 The administrative procedures described in this Manual are based on ICAO TCB guidelines and associated practices that have proven to be appropriate for the operation of this innovative programme.

A.1.3 Reference has been made in the Manual, where required, to relevant ICAO Technical Co-operation Bureau (ICAO/TCB) rules, manuals and instructions concerning field staff.

A.2 Identification and Classification of Contents

A.2.1 The format of this Manual will permit incorporation of amendments in the form of additions or deletions or substitution.

A.2.2 Contents are segregated by subject headings, reference serial number and date of issue.

A.3 Amendment Procedure for the Manual

A.3.1 Amendments to the Manual shall be incorporated on the authority of the COSCAP-NA Steering Committee (SC). After each SC Meeting, the CTA will make the required amendments which will be approved by the Chairman COSCAP-NA. The subsequent amendment to the Manual will then be forwarded to Member States. Any deviation from the established rules and administrative procedures of the ICAO Technical Cooperation Programme under which its services are provided will, however, require consultations with ICAO/TCB.

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SECTION B

COSCAP-NA AS A REGIONAL INSTITUTION

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SECTION B. COSCAP-NA REGIONAL INSTITUTION

B.1 COSCAP-NA as a Regional Institution

B.1.1 Background

B.1.1.1 The ICAO Assembly, by Resolution A29-13 - Improvement of Safety Oversight, recognized that many Contracting States may not have the regulatory framework or financial or technical resources to carry out the minimum requirements of the Chicago Convention and its Annexes. Having noted that many Contracting States might experience difficulty in carrying out their responsibilities under international law for safety oversight of air carrier operations, the Assembly called upon all contracting States to reaffirm their safety oversight obligations, to review their Safety oversight procedures to ensure effective implementation and, with respect to those States able to do so, to provide requesting States with assistance in the form of financial and technical resources to enable such States to carry out their responsibilities for Safety oversight of air carrier operations.

B1.1.2 In June 1997, the Council of ICAO considered proposals by the Air Navigation Commission for the establishment of an ICAO Action Plan for Global Aviation Safety (GASP). In November 1997, the Directors General of Civil Aviation Conference endorsed the GASP. The 32nd Session of the Assembly, through Resolution A32-15: Global Aviation Safety Plan, urged all Contracting States to support its various elements and urged all Contracting States to provide the needed support for its various elements and encouraged States to foster regional and sub-regional safety groups, and to take measures to ensure that human resources in civil aviation obtain and maintain the appropriate level of competency.

B.1.1.3 By Resolution A33-16 – ICAO Global Aviation Safety Plan, the Assembly, inter-alia, urged the Contracting States to adopt the GASP objectives to reduce aircraft accidents and to reduce the worldwide accident rate.

B.1.1.4 The ICAO Assembly, by Resolution A32-11 – Establishment of an ICAO Universal Safety Oversight Audit Programme (USOAP) resolved that such a Programme be established comprising regular, mandatory, systematic and harmonized Safety audits, to be carried out by ICAO.

B.1.1.5 By Resolution A33-8 – Continuation and Expansion of the ICAO Universal Safety Oversight Audit Programme, the Assembly resolved, inter-alia, to expand the ICAO USOAP to Annex 11 – Air Traffic Services and Annex 14 – Aerodromes as of 2004.

B.1.1.6 By Resolution A33-9 – Resolving deficiencies identified by the Universal Safety Oversight Audit Programme and encouraging quality assurance for technical cooperation Programmes, the Assembly, inter-alia, requested the Secretary General to support, foster and facilitate the use of bilateral and multilateral agreements for Programmes between States and international or regional organizations.

B.1.1.7 The Minister Administrator or Directors General of the North Asian States approved the Programme Document for the Cooperative Development of Operational Safety and Continuing Airworthiness Programme – North Asia Area (COSCAP-NA) with the intent to co-operate in strengthening their flight safety oversight capabilities in association with ICAO. B.1.1.8 The Programme implementation commenced in February 2003 with the arrival of the PC in Beijing, China. At the first Steering Committee Meeting held in April

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2003 at Beijing, the Programme objectives addressing the areas of flight safety, flight operations and airworthiness of aircraft were consolidated as follows:

(a) Establishing North Asia Regional Aviation Safety Team (NARAST) under the umbrella of the Programme;

(b) Professional development of inspectors;(c) Harmonisation of policies and procedures;(d) Supplemental inspections and surveillance assistance;(e) Coordination of Technical Assistance;(f) Implementation of ICAO SARPs; and(g) Preparation for USOAP audits.

B.1.2 Justification for the Institutionalization of COSCAP-NA

(i) The following factors need to be taken into account:

A need for assistance, to varying degrees, will arise in addressing the shortcomings identified through safety oversight audits conducted under ICAO Universal Safety Oversight Audit Programme (USOAP) Continuous Monitoring Approach;

The advantages in the sharing of ‘best practices’ amongst Programme Members and utilization of the potential in some Members to assist others;

the continuation of NARAST established under the COSCAP-NA Programme appears essential, following ICAO Assembly Resolution A32-15: ICAO Global Aviation Safety Plan (GASP) in which States were encouraged to foster regional and sub-regional safety groups, and to take measures to ensure that human resources in civil aviation obtain and maintain an appropriate level of competency;

the proven cost-effectiveness of regional cooperation in enhancing aviation safety, and

there is expectation of continued regional cooperation on the part of the donor community whose contribution in cash and kind is crucial to the success of the Programme.

It is also relevant that through the implementation of the COSCAP-NA Programme:

experience has been gained by a number of national experts in COSCAP-NA members whose expertise will henceforth be available for sharing in the region;

the foundations have been laid, through training courses, workshops and other activities, for gradually increasing the ability of COSCAP-NA members to comply with new ICAO safety-related requirements laid down in new SARPS; the need for assistance from COSCAP-NA in this regard will continue to exist for the foreseeable future (e.g. for the implementation of the Safety Management Systems –SMS- concept).

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These factors combined, support the institutionalization of the COSCAP-NA Programme

(ii) The “Institutional Framework” for COSCAP-NA duly approved on behalf of the Programme Members needs to provide the Programme with its own work programme, its own budget and its own core staff, but without being incorporated as a legal entity under international or national law. It is therefore a co-operative, unincorporated institution funded in cash partly through yearly contributions from Participating States, partly through grants from third-party multilateral and bi-lateral donors and partly through special funds provided by Programme members requiring specific assistance. Additionally the Programme may receive contributions in kind from the donor community and also from some of the Programme administrations.

(iii) It is considered that:

generally the existing institutional structure is adequate to serve the objectives of the Programme and is not considered advisable to increase its complexity and costs, by e.g. setting it up as a formal international organization under a formal treaty or by incorporating it under national law, as these avenues are considered unnecessary and too costly;

in view, however, of the evolving needs of the Programme Members, coupled with the requirements of donors and following the evolution of other regional aviation safety organizations, it may be advisable from time to time to take into account the need for:

o change in Programme structure;o change in funding structure; ando harmonization of certain standards and procedures.

(iv) Some Programme Members are also in need of:

o assistance in carrying out certain functions, in particular, certification/recertification of air operators, of maintenance organizations, personnel licensing, aerodrome certification, ATS and airport safety management planning and implementation; and

o further enhancement of national safety oversight capabilities and expertise to implement new ICAO safety requirements laid down in SARPS through continuation of the existing Programme activities.

Therefore, a need exists for institutionalization of a mechanism for use by the international experts in the Programme and/or the personnel available in certain Members in carrying out specific tasks in other Member States on a non-commercial cost- compensation basis, in the spirit of regional cooperation.

(v) The Institutional Framework is included in this Manual in Chapter B.2.

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B.2 Institutional Framework for the Cooperative Development of Operational Safety and Continuing Airworthiness Programme – North Asia (COSCAP-NA)

Article 1 Objectives

1.1 The development objective of COSCAP-NA is to contribute to the social and economic development of the Participating States by improving their capability to maintain suitable, harmonious and efficient airworthiness, flight operations, aerodrome, air traffic control and other safety-related regulatory systems subject to USOAP audits as per provisions contained in the Convention on International Civil Aviation.

1.2 The immediate objectives of COSCAP-NA are:

1.2.1 Ensuring that safety oversight capabilities of Member Stares meet international requirements and that the deficiencies identified by the ICAO Universal Safety Oversight (USOAP) Audit Reports have been fully corrected.

1.2.2 Establishing a dedicated forum for coordination and cooperation among the civil aviation authorities of Member States, with the aim of the harmonization of regulations, policies and procedures related to safety oversight, improving safety standards and applying accident prevention measures.

1.2.3 Establishment of a systematic programme for the inspection of air operators and maintenance organizations in Member States whose Civil Aviation Authorities currently lack the capability to do so independently.

1.2.4 Ensuring that safety oversight inspectors and technical personnel in North Asian Member States are qualified and sufficient for undertaking surveillance, inspection, testing, certification and regulation of flight operations, airworthiness and personnel licensing through recruitment and training.

Article 2 Functions

2.1 The objectives stated in Article I will be achieved through undertaking tasks of common benefit to all COSCAP-NA Members. These tasks involve core services, on the one hand and services at request for the benefit of a Member or groups of Members, on the other hand; as follows:

(i) Core services: Undertaking tasks for the common benefit of all COSCAP-NA Members:

(a) improving the proficiency of national inspectors and other professional staff by participation in training workshops/seminars and courses as well as on-the-job training;

(b) developing, to the extent practicable, a harmonized regulatory framework based on ICAO SARPs and guidelines for aviation

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Safety oversight in the COSCAP-NA Members and at a pace to be determined by the Steering Committee;

(c) developing a set of standards, procedures manuals and other guidance material, and fostering their application;

(d) adapting accident prevention interventions in line with the Global Aviation Safety Plan (GASP);

(e) assisting in harmonized implementation of new SARPs;

(f) assisting in the implementation of the Regional Air Navigation Plan;

(g) mobilizing, with the assistance of ICAO, technical resources from stakeholders in aviation Safety;

(h) organizing the meetings and activities of the North Asia Regional Aviation Safety Team; and

(i) undertaking any other common benefit task determined by the Steering Committee.

(ii) Services at request: Undertaking tasks for the benefit of a Member or groups of Members, on “as requested” basis:

(a) providing assistance in the implementation of regulations, standards, procedures manuals and other guidance material;

(b) execution of suitable safety oversight functions on behalf of CSOCAP-NA members, such as annual safety inspections/audits, certification/recertification of air operators, maintenance organizations, airports and ATS systems, establishment and implementation of Safety Management Systems;

(c) assisting the national inspectors in specific safety oversight tasks and providing them with on-the-job training;

(d) providing assistance in resolving safety-related deficiencies identified by USOAP audits and providing quality assurance functions; and

(e) any other specific tasks falling within the scope of the objectives of COSCAP-NA requested by Programme Member or a group of Members and decided by the Steering Committee.

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Article 3 Organs and Funding

3.1 The work of COSCAP-NA shall be decided upon by the Steering Committee.

3.2 The COSCAP-NA Programme shall be implemented by the Technical Co-operation Bureau of ICAO within the existing ICAO legal regime applicable to the ICAO Technical Cooperation Programme.

3.3 The core services listed in Article 2.1 above provided under the Programme shall be funded primarily by the Member States through annual contributions in accordance with a cost-sharing formula approved by the Steering Committee. The funds shall be placed by ICAO in a Trust Fund account for the COSCAP-NA Programme.

3.4 Contributions in the form of grant funds and/or contributions in kind from external donors such as international organizations in the field of aviation or associated with it, regional organizations of States, individual donor States or administrations, aircraft or aircraft component manufacturers, airlines, airports, air navigation services providers, other members of aero-space industry and any other non-public sector stakeholders in aviation Safety accepted by the Programme Steering Committee for participation in the Programme will be welcomed. ICAO shall enter as needed into agreements with the respective donors for the use of such grant funds, the conditions for which shall be agreed between the specific donors and ICAO. These grant funds shall be considered as supplemental resources, the primary source of funds being the contribution of the Programme Members themselves as indicated in 3.3 above.

3.5 The non-public sector stakeholders in aviation safety may be permitted as Programme donors by the Steering Committee (Refer Article 7) after satisfying itself on the background of such stakeholders and their compatibility with the COSCAP-NA Programme objectives defined in Article 1.

3.6 Member States’ annual contributions supplemented, as available, by donor funds for the general pool of the COSCAP-NA Trust Fund in ICAO will be used for common benefit functions defined in Article 2.1 (i).

3.7 For functions described in Article 2.1 (ii), the CAAs, air operators, aircraft maintenance organizations, airport operators or the ATS service providers receiving the service shall deposit the estimated cost of the service in the COSCAP-NA Trust Fund in ICAO; the service recipient may also request ICAO through the CAA to approach the donor community to contribute in full or in part to the service cost.

Article 4 COSCAP-NA Programme Management

4.1 The ICAO Technical Co-operation Bureau shall provide the Services specified in the latest applicable revision of the COSCAP-NA Programme Document in accordance with established ICAO rules, policies, procedures and practices. In general, the Services shall include:

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(a) Recruitment, contracting, fielding, and administration of the international and regional experts constituting core professional staff of the Programme;

(b) Recruitment, contracting, fielding and administration of short-term international experts and such national experts from Programme Member (s) offered on non-commercial basis for deployment in other Programme Members for the provision of specific service;

(c) Procurement of Programme equipment and specific equipment required

by a Programme Member;

(d) Arrangement and administration of fellowship training offered by donors or a Programme Member;

(e) Maintenance and administration of Programme funds according to applicable ICAO regulations, rules, directives, procedures and practices;

(f) Financial and budgetary control to ensure that Programme expenditures, obligations and commitments are within the limitation of the available funds;

(g) Preparation and submission of periodic financial statements;

(h) Technical back-stopping and support to the field personnel;

(i) Preparation, or finalization of Working and Discussion Papers for submission to the Steering Committee Meeting;

(j) Review and finalization of Programme reports;

(k) Programme monitoring;

(l) Other miscellaneous programme management functions; and

(m) Membership in the Steering Committee and participation in its meetings.

4.2 COSCAP-NA shall hold ICAO, including its field staff, harmless with regard to any claims, demands or legal actions by third parties arising from or relating to the operation of COSCAP-NA.

4.3 Nothing set down in this Institutional Framework or related thereto shall be considered as constituting renunciation of the privileges and immunities of ICAO, a specialized agency of the United Nations.

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Article 5 Location

5.1 COSCAP-NA is based in Beijing, China; the Civil Aviation Administration of China provides administrative support to the Office.

Article 6 Operation

6.1 The core services of COSCAP-NA as defined in Article 2.1(i) shall be provided by a core team of internationally and/ or regionally recruited safety oversight experts, supplemented, as required, by regionally or internationally recruited short term consultants. One of the core experts shall be designated as the Programme Coordinator (Qualifications and Duties contained in Appendix III).

6.2 Any specific service for the benefit of a Programme Member, groups of Programme Members, specific operator or service provider on “as requested” basis (as indicated in Article 2.1(ii), shall be provided through deployment of additional international or regional experts in the Programme core team on cost recovery basis, or, through mobilization of such resources available in, and offered by any other Member State(s) on non-commercial basis, as warranted.

6.3 Annual work plans shall be prepared by the Programme Coordinator based upon the decisions taken and priorities determined by the Steering Committee, taking into account the immediate needs of the Programme Members and the available funds.

6.4 Programme Members will ensure full participation of their relevant national staff in the Programme activities.

Article 7 Governing Body – The Steering Committee

7.1 The Steering Committee shall be composed of:

(a) Programme Members: the heads of civil aviation administrations responsible for regulatory functions in the COSCAP-NA Member States, (Minister/Administrator or Directors General of Civil Aviation) or their designated representatives;

(b) The Director, ICAO Technical Co-operation Bureau or his representative and ICAO Regional Director, Bangkok, or his representative; and

(c) The Programme Coordinator who will act also as the Secretary of the Steering Committee.

7.2 (a) Hong Kong (China) and Macau (China) participate at the SC Meetings as observers; and

(b) Donor States, agencies, organizations and industry having made a financial contribution or contribution in kind would be recognized as “Partners” in the implementation of the Programme and invited to Steering Committee Meetings. Representatives from non-member States,

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agencies, organizations and industry with an interest in aviation safety issues in Asia may be invited to participate in meetings as observers.

7.3 The COSCAP-NA Steering Committee shall meet, at least once a year at a venue and time agreed upon by the Programme Members.

7.4 The Steering Committee shall:

a) Monitor and evaluate the Programme activities since the previous meeting;

b) Formulate policies and assign priorities for the activities of COSCAP-NA taking into account the requirements of this Institutional Framework, and the provisions of the current Phase of the COSCAP-NA Programme document and the availability of funds;

c) Review and approve the annual work programme and budget of COSCAP-NA; and

d) Review and direct the work of NARAST.

Article 8 Joining COSCAP-NA

8.1 Any ICAO Member State in the North Asia sub-region or adjoining area would be eligible to join COSCAP-NA by submitting a request to the Steering Committee, which shall decide on the matter at its next meeting. However, this shall not preclude the Steering Committee from considering requests by other ICAO Member State to join COSCAP-NA.

Article 9 Amendments

9.1 This Institutional Framework may be amended by the Steering Committee. Any amendment that may have impact on the established rules and administrative procedures of the ICAO Technical Cooperation Programme under which its services are provided will, however, require consultations with ICAO/TCB.

Article 10 Dissolution

10.1 COSCAP-NA shall operate, and retain validity and effect until dissolved by the Steering Committee. Upon dissolution, disbursement of any funds remaining in the Trust Fund account of the COSCAP-NA after liquidation of all obligations and commitments entered into by ICAO shall be made in accordance with the principles to be established by the Steering Committee.

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B.3 North Asia Regional Aviation Team (NARAST)

B.3.1. Formation of NARAST

B.3.1.1 NARAST was instituted under the umbrella of COSCAP-NA Programme in response to the ICAO Global Aviation Safety Plan (GASP) endorsed by the 33 rd Assembly of ICAO which stresses the need for a reduction in the rate of fatal accidents in air transport operations.

B.3.1.2 NARAST work constitutes an important activity of the COSCAP-NA Programme.

B.3.1.3 In its formation, NARAST benefited from the experience of the US Federal Aviation Administration (FAA) and the European Aviation Safety Agency (EASA) and from the formation and work of the Commercial Aviation Safety Team (CAST) and the European Safety Strategy Initiative (ESSI). Both CAST and ESSI draw upon a broad base of experts from government agencies, airlines, manufacturers, aviation associations, labour unions and other stakeholders in aviation safety. The focus of their efforts has been on rigorous analyses of accidents that occurred over the most recent ten year period for which significant data was available. These initiatives identified and categorized the major causes of accidents and assigned priorities for the purpose of pursuing remedial actions. Top accident causal categories being examined by these groups are:

Controlled flight into terrain; Approach and Landing; Loss of control; Uncontained engine failure; Runway incursions; and Weather.

B.3.1.4 CAST and ESSI work in close co-operation to analyze significant worldwide accidents/incidents, develop recommendations for improvement actions and commit/monitor the implementation thereof. Members from each group participate in the activities of the other group on a regular basis.

B.3.2 Objective of NARAST

B.3.2.1 The Terms of Reference for the NARAST follow at Appendix II to Section B.4.

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CHAIRMAN DEPUTY ADMINISTRATOR OF

CAA CHINA

ICAO

NARAST

ICAO PROGRAMME COORDINATOR

INTERNATIONALLY RECRUITED EXPERTS FOR SPECIFIC TASKS IN STATES/ GROUP OF STATES ON COST RECOVERY BASIS

NATIONAL EXPERTS FOR SPECIFIC TASKS IN STATES/

GROUP OF STATES PROVIDED BY OTHER MEMBER STATES ON

NON-COMMERCIAL COST BASIS

ADMN STAFF


Date: April 2013

B.4 AppendicesAppendix I Institutional Structure

COSCAP – NA INSTITUTIONALSTRUCTURE

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DONOR COUNTRIES &

AGENCIES

STEERING COMMITTEE

DGCAs OF THE PARTICIPATING STATES(China, Democratic People’s Republic of Korea,

Mongolia, Republic of Korea, Observers Hong Kong China and Macau China)

D/TCB ICAO, MONTREALRD/REG. OFFICE BANGKOK

Secretary:Programme Co-ordinator

PROGRAMME CORE TEAM OF INTERNATIONALLY RECRUITED EXPERTS

AND INSPECTORS FOR COSCAP-NA PROGRAMMECORE TASKS


Date: April 2013

Appendix II NARAST ToRTERMS OF REFERENCE

NORTH ASIA REGIONAL AVIATIONSAFETY TEAM (NARAST) UNDER COSCAP-NA

1. Background

1.1 These revised Terms of Reference outline the concept and modalities for the North Asia Regional Aviation Safety Team (NARAST) under the COSCAP-NA Steering Committee.

1.2 The ICAO Global Aviation Safety Plan (GASP), which was endorsed by the 33rd Session of the ICAO Assembly in 2001, stressed the need for a reduction in the rate of fatal accidents in air transport operations. The GASP endorses the concept of concentrating the safety-related activities of ICAO on those safety initiatives – planned or currently underway – which offer the best safety dividends in terms of reducing the accident rate. Additionally, the GASP encourages States to foster regional and sub-regional safety groups for the purpose of furthering the global safety effort.

1.3 Two major safety initiatives have been established which are in keeping with the broad objectives of the GASP. The United States, as part of the FAA's Safer Skies agenda, established the Commercial Aviation Safety Team (CAST) in June 1998. Similarly, in 1998 the States represented by the then JAA formed the Joint Strategic Safety Initiative (JSSI). Both initiatives draw upon a broad base of experts from government agencies, airlines, manufacturers, aviation associations, labour unions, and other safety-related organizations. The focus of their efforts resulted from a rigorous analysis of accidents, which occurred over the most recent ten-year period for which significant data was available. Major causes of accidents were identified and categorized, and priorities were assigned to for the purpose of pursuing remedial actions. Top accident categories initially examined by these groups were:

Controlled flight into terrain; Approach and landing accidents; Loss of Control; Uncontained engine failures; Runway incursions; and Weather

The JSSI and the CAST work in close co-operation to analyze significant worldwide accidents/incidents, develop recommendations for improvement actions, and monitor implementation completion. In addition, some members from each group actively participate in the other group on a regular basis. Subsequently the EASA replaced the JAA and it has established the ESSI to continue the work commenced by the JAA/JSSI.

1.4 Consistent with the Objectives/Outputs of the COSCAP-NA Programme Document, in 2002 the COSCAP-NA Steering Committee formally constituted the North Asia Regional Aviation Safety Team (NARAST) to play an active role in the global effort to reduce accidents. The development and implementation of safety enhancements is tracked by the COSCAP-NA programme and a regular report provided to the Steering

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Committee.

1.5 The ICAO Global Aviation Safety Plan (GASP) was extensively revised in 2007 and subsequently endorsed by States at the 36th and 37th Meetings of the Assembly (Resolutions A36-7 and A37-4 refer). It provides a common frame of reference for all stakeholders in order to allow a more proactive approach to aviation safety and to help coordinate and guide safety policies and initiatives worldwide to reduce the accident risk for civil aviation. The GASP is to be used in conjunction with the Global Aviation Safety Roadmap (GASR) developed by aviation industry for ICAO and at its request.

1.6 The objective of the GASP provides a common frame of reference for all stakeholders that support a proactive and systematic approach to aviation safety, and helps coordinate and guide the establishment of safety policies and initiatives worldwide. It will help prioritizing and planning safety initiatives and measuring their impact.

1.7 The GASP is based on the following four principles:

Participation of all stakeholders: to ensure consistency of objectives and to avoid duplication of effort.

Defining Global Safety Initiatives: setting best practices, metrics and maturity levels which are defined in the GASR to ensure that implementation makes full use of the collective experience of the aviation community and that progress is measured in a transparent and consistent way;

Planning process: for collaborative development of action plans that define the specific activities that should take place in order to improve safety.

Consistency with the ICAO Global Planning Process: GASP follows an approach and philosophy which is consistent with the Global Air Navigation Plan for CNS/ATM Systems (Doc 9750). Both were developed with close coordination and participation of industry, and both provide a common framework to ensure that regional, sub-regional, national and individual initiatives are coordinated to deliver a harmonized, safe and efficient international civil aviation system.

At the 8th COSCAP-NA Steering Committee meeting, the Chief Technical Advisor was directed to ensure that components of ICAO GASP are utilized for planning, designing, implementation and prioritizing the future technical work of the COSCAP-NA to the extent possible. At its 10th Meeting, the Steering Committee concluded that the implementation of a State Safety Programme (SSP) framework would address the global safety initiatives and best practices of the GASP and GASR, and provide the benefit of a logical, phased implementation.

1.8 At the 4th Meeting of its 190th Session, held on 25 May 2010, the ICAO Council approved the establishment of RASGs. This decision established the mandate for the ICAO Secretariat to establish RASGs, nurture their development and guide their activities, recognizing that the planning must consider the related resources such as COSCAPs.

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2. Objective

2.1 The objective of the NARAST team is to recommend interventions to the Steering Committee which will reduce aviation risks. The recommendations, once approved by the Steering Committee, may be implemented through the coordinated efforts of the regulatory authorities, in consonance with service providers, airlines and aircraft manufacturers. When such actions are endorsed by the Steering Committee, the Team Members will serve as focal points for introducing the interventions within their respective States and for coordinating their government's efforts with industry.

2.2 To accomplish the objectives, the team will:

2.2.1 Participate as a component of the Asia Pacific Regional Aviation Safety Team (APRAST), established under the Regional Aviation Safety Group- Asia Pacific (RASG-APAC).

2.2.2 Review, for application within the North Asia area, existing safety interventions which have already been developed through the efforts of well-established, multinational safety initiatives,

2.2.3 Review, for application within the North Asia area, the global safety initiatives and best practices and metrics defined in the GASP and GASR, and

2.2.4 Review regional accidents and significant incident trends and other areas of local concern to determine unique issues which may warrant locally-developed interventions.

For clarity, the NARAST will undertake its deliberations and actions in full consideration of the work of the RASG-APAC (APRAST). The focus and priority for Team will be to introduce, support, and develop actions, which have the potential to effectively and operationally reduce the sub regional aviation risk to enhance aviation safety.

3. NARAST Modalities

3.1 The CTA will serve as the Team Leader. Membership of the NARAST for each participating Administration includes the regulatory authority (flight operations, airworthiness, aerodrome and ATM representatives), air operators, service providers, manufacturers and industry organizations. Others may be invited to participate as appropriate to the subjects under consideration.

3.2 As a component of the APRAST, the NARAST will accomplish the following:

Review safety interventions which have already been developed by existing safety groups such as ICAO, CAST and ESSI;

Review the global safety initiatives of the Global Aviation Safety Plan (GASP), and the focus areas, best practices, metrics and maturity levels defined the Global Aviation Safety Roadmap (GASR);

Identify areas of concern to flight safety that may be unique to the region or require emphasis within the region, and develop data and interventions to address those concerns;

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Support implementation of data driven action plans developed using risk analysis by performance-based safety systems; and,

Work closely with service providers, airlines, manufacturers, industry and labour associations, and other appropriate organizations to ensure that interventions are

implemented through a coordinated effort.

3.3 The NARAST will:

Consider the recommendations of the APRAST, as approved by the RASG, and advise the Steering Committee how to implement these within the North Asia sub region;

Identify areas of concern to flight safety that may be unique to the North Asia sub region or require emphasis within the North Asia sub-region, and develop data and interventions to address those concerns;

Support implementation of data driven action plans developed using risk analysis by performance-based safety systems;

Work closely with service providers, airlines, manufacturers, industry and labour associations, and other appropriate organizations to ensure that interventions are implemented through a coordinated effort.

3.4 The NARAST Team Leader will facilitate the sharing of safety information and experiences among all stakeholders in the region and will develop methods that minimize duplication of safety activities at the regional and sub-regional level.

3.5 The NARAST Team Leader will maintain close contact with ICAO to benefit from its advice on the subject and to this effect he will provide regular feedback to ICAO on the activities of NARAST and on the emerging intervention proposals. In addition, he will liaise as required with other regional safety teams to benefit from their efforts.

3.6 The NARAST Team Leader will conduct follow-up activities as required.

3.7 NARAST will make recommendations to the Steering Committee for its review and approval.

3.8 The Steering Committee will monitor activities of NARAST and promote the implementation of those interventions that are deemed appropriate for the North Asia sub-region.

3.9 The NARAST team will include representatives of appropriate regulatory agencies, service providers, industry organizations and other organizations. The ongoing work and coordination may be accomplished through electronic communications. The team will meet as necessary to a maximum of twice each year, generally but not necessarily exclusively, immediately following a meeting of the APRAST.

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Appendix III PROGRAMME DOCUMENT (REVISION 2)

Programme Title: Cooperative Development of Operational Safety and Continuing Airworthiness Programme in North Asia (COSCAP-NA) - Phase III

Revised Duration/ Dates: 15 years Phase I: 2/ 2003 - 1/ 2008 Phase II: 2/ 2008 - 1/ 2013 Phase III: 2/ 2013 - 1/ 2018

Governments' Executing Agencies: Civil Aviation Administrations of the Participating Governments

Executing Agency: International Civil Aviation Organization

Programme Cost:2002-2008 US$ 1,716,5062008-2013 US$ 2,118,5532013-2018 US$ 2,235,500Total: US$ 6,070,559

Participating Governments: 1People’s Republic of China, Democratic People’s Republic of Korea (DPRK), Mongolia, Republic of Korea (ROK)

Brief Description: The COSCAP-NA Programme was instituted in the year 2003, initially for a period of 5 years, as a co-operative agreement between the above Member Administrations, executed by the International Civil Aviation Organization by means of a trust fund, and aimed at enhancing the safety and efficiency of air transport operations in the North Asia region with, inter alia, the objective of: 1) providing a regional forum for addressing, in a unified manner, regulatory matters with a view toward the harmonization of associated regulatory policies and procedures; 2) facilitating a coordinated, shared approach to the utilization of safety-oversight related technical assistance which is available to Member Administrations in order to avoid duplication of effort and ensure that the maximum benefit is derived from resources which are made available; 3) enhancing the professional knowledge and qualifications of inspectors by providing formal and on-the-job training in technical functions and job-related tasks. Starting in Phase II of the Programme, in addition to the above objectives, assistance has been provided to Member Administrations in preparation for ICAO systemic USOAP audits and in the rectification of deficiencies identified in such audits covering ICAO Annexes 1, 6, 8, 10, 11, 13 and 14, and in the consolidation of NARAST. Member Administrations recognizing the benefits and effectiveness of the Programme agreed to a Phase III for an additional 5 year period commencing from 1 February 2013. The main aspects that will be addressed in Phase III include: The continued technical assistance to Member States to assist their implementation of ICAO Standards and Recommended Practices (SARPs) for all safety related Annexes; the implementation of corrective actions arising from the ICAO comprehensive USOAP Audits; the continued development and harmonization of aviation safety regulations and procedures; continued training of civil aviation personnel; the implementation of the USOAP Continuous Monitoring Approach (CMA); the implementation of respective State Safety Programmes(SSP) and assisting Member States with the implementation of Safety Management Systems (SMS) in the area of Aircraft Operations, Aerodromes and Air Traffic Management.

Signed on behalf of Signatures Name/Title DateThe Government of People’s Republic of China

Capt. Li Jian,Deputy Administrator of CAAC

The Government of Democratic People’s Republic of Korea

Mr. Kang Ki Sop,Director General of GACA

The Government of Mongolia

Mr. Sengee Buyandalai,Director General, CAAM

The Government ofRepublic of Korea

Mr. Yeo Hyung-koo,Deputy Minister of Civil Aviation

International Civil AviationOrganization

Director,Technical Co-operation Bureau

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This is a CONFIDENTIAL Document intended only for the exclusive use by the Programme member Governments and ICAO. No part of this document may be disseminated, reproduced or used in any other way by any individual, company, organization or any other entity without the prior written approval of the said Governments and ICAO.

INTRODUCTORY NOTE

This Programme Revision document reflects the continuity of the COSCAP-NA Programme from its Phase I/II into Phase III. The format of the original approved Programme document has been retained; the progress achieved in Phase I and II has been outlined and the elements relating to Phase III have been described in detail. Beijing, China, will remain the headquarters of the COSCAP-NA programme in Phase III as in Phase I and II.

Note: original signed copy on file

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PART A CONTEXT

1. The Convention on International Civil Aviation as the basis for International Operation and Continuing Airworthiness of Aircraft, Airport Safety, Air Traffic Services Safety and Accident Prevention and Investigation

The Convention on International Civil Aviation, signed in Chicago on 7 December 1944 (Chicago Convention), sets forth certain principles and arrangements in order that international civil aviation may be developed in a safe and orderly manner, and that international air transport services may be established on the basis of equality of opportunity and operated soundly and economically.

The Chicago Convention also established the International Civil Aviation Organization (ICAO), the objectives of which are to develop the principles and techniques of international air navigation and to foster the planning and development of international air transport, so as to ensure the safe and orderly growth of international civil aviation throughout the world.

Within the Chicago Convention and its Annexes there are defined two levels of responsibility for the oversight of international commercial air transportation: responsibilities associated with the State where an aircraft is registered (State of Registry), and responsibilities associated with the State wherein an operator has its principle place of business (State of the Operator).

With regard to the State of Registry, the Chicago Convention provides that every aircraft of a Member State engaged in international air navigation shall carry licensed personnel, a Certificate of Registration and a Certificate of Airworthiness. The Certificate of Airworthiness shall be issued or rendered valid by the State in which the aircraft is registered. Furthermore, the Convention stipulates that certificates of competency and licenses for pilots, flight and maintenance personnel and certificates of airworthiness issued or rendered valid by the State of Registry shall be recognized as valid by other Member Administrations, provided that the requirements under which such certificates and licenses were issued or rendered valid are equal to or above the minimum standards pursuant to the Chicago Convention. The Convention also stipulates that every State will undertake to adopt measures to insure that every aircraft carrying its registration mark, wherever such aircraft may be, shall comply with the rules and regulations relating to the flight and manoeuvre of the aircraft there in force.

Annex 6 to the Convention stipulates that the State of the Operator will issue an Air Operator Certificate (AOC) or equivalent document for commercial air transport operations after the operator demonstrates that it has an adequate organization, method of control and supervision of flight operations, a training programme, and maintenance arrangements consistent with the nature and extent of the operations. Annex 6 also specifies that the State will supervise the operator to ensure that it continues to maintain the requirements under which the AOC was originally issued.

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2. ICAO Universal Safety Oversight Audit Programme (USOAP)

The Chicago Convention and its Annexes thus form the basis upon which Member Administrations develop and adopt civil aviation regulations, which are appropriate to their air operations and establish a civil aviation administration, which is capable of carrying out the responsibilities of the State of the Operator and State of Registry through a process of certification, auditing and surveillance.

At the Directors General of Civil Aviation Conference on Global Strategy for Safety Oversight held in Montreal from 10 to 12 November 1997, a recommendation was made that ICAO establish an ICAO Universal Safety Oversight Audit Programme (USOAP) to replace the voluntary safety oversight assessment programme established earlier. The ICAO Council’s approval of the USOAP programme was endorsed by ICAO Assembly Resolution A32-11 in October 1998. USOAP has become a regular, mandatory, systemic and harmonized programme of flight safety audits of Member States. Over a three-year period commencing 1 January 1999, all ICAO Member States were audited in the areas of Personnel Licensing (Annex 1), Air Operations (Annex 6), and Airworthiness (Annex 8). The ICAO Universal Safety Oversight Audits completed to date have enhanced States’ awareness of safety oversight and further strengthened the need for co-operative approaches to assist with the development and implementation of corrective action plans.

The 35th Session of the ICAO Assembly considered the proposal of the Council for the continuation and expansion of the ICAO Universal Safety Oversight Audit Programme as of 2005, and resolved (Assembly Resolution A35-6 refers) that the Programme be expanded to cover all safety-related Annexes and also to transit to a comprehensive systems approach for the conduct of safety oversight audits.

In the first phase, the implementation of Annex provisions and the identification of differences will be determined through the review of duly completed State Aviation Activity Questionnaire (SAAQ) and Compliance Checklists (CCs) for all safety-related Annexes, and through the review of documents developed by the State to assist it in implementation of the Standards and Recommended Practices (SARPs), as well as in maintaining an effective safety oversight system.

In the second phase, the State being audited was visited by an ICAO audit team, who validated the information provided by the State and also conducted an on-site audit of the State's overall capability for safety oversight. This included an audit of the organization, processes, procedures and programmes established and maintained by the State to help fulfill its safety oversight obligations. The audit concluded with the release of the Final Safety Oversight Audit Report that included the audit findings, recommendations, State's action plan and comments, as well as the comments of the Safety Oversight Audit Section on the State's action plan.

Assembly Resolution A35-6 further directed the Secretary General to ensure that the Comprehensive Systems Approach maintained as core elements the safety provisions contained in Annex 1 – Personnel Licensing, Annex 6 – Operation of Aircraft, Annex 8 – Airworthiness of Aircraft, Annex 11 – Air Traffic Services, Annex 13 – Aircraft Accident and Incident Investigation and Annex 14 – Aerodromes; to make all aspects of the auditing process visible to Member States; to make the final safety oversight audit reports available; and to provide access to all relevant information derived from the Audit Findings and Differences Database (AFDD) through the secure website of ICAO to all Member States.

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In Phases I and II significant assistance was provided to Member States to prepare for the ICAO USOAP Comprehensive Systems Audit. Under Phase III, with the transition of the ICAO USOAP to the Continuous Monitoring Approach (CMA) in 2013, considerable effort will be required by Member States to review their compliance with all ICAO SARPs. In some cases some SARPs may not have been implemented due to the lack of specific expertise.

The COSCAP-NA Steering Committee has requested COSCAP-NA to assist Member States in preparations for the transition to the USOAP CMA by providing Workshops, Seminars and Courses and engaging short term experts to provide additional support as required.

3. ICAO – Implementation of Safety Management Systems (SMS) and State Safety Programme (SSP)

The 35th Session of the Assembly agreed that ICAO should make recommendations for the achievement of global harmonization in the uniform application of ICAO provisions for safety management. On 7 December 2004, the Commission agreed on a follow-up action that included a review of proposals to support the uniform application of ICAO provisions for ATM safety management. On 17 December 2004, the Council agreed on the Strategic Objectives of ICAO for 2005-2010 which include Strategic Objective A8, Support the implementation of safety management systems across all safety-related disciplines in Administrations.

At the time of their adoption, the provisions relating to safety management in Annexes 6, 11, and 14 reflected the prevailing state of industry knowledge. Safety developments that have taken place since then, including an emphasis on systemic safety, present an opportunity for harmonizing these provisions to support their uniform application, as required by the 35th Session of the Assembly, the Eleventh Air Navigation Conference, and by the Strategic Objectives of ICAO for 2005-2010. Furthermore, the harmonization of the provisions relating to safety management would facilitate auditing by the Universal Safety Oversight Audit Programme (USOAP).

There are two key aspects to the harmonization of provisions relating to safety management in Annex 6, 11, and 14. First, it defines two concepts: safety programmes aimed at States, and safety management systems aimed at aircraft operators, maintenance organizations, air traffic services providers and aerodrome operators. Second, the harmonized provisions are generic in the sense that they are the same for Annexes 6, 11, and 14, except for Annex-specific language.

The term “safety management” is the title for the harmonized provisions in Annexes 6, 11, and 14. This term conveys the notion that managing safety is a managerial process that must be considered at the same level, and along the same lines, as any other managerial process. In order to reinforce the notion of safety management being a managerial process, the proposal included a provision for an organization to establish lines of safety accountability throughout the organization, as well as at the senior management level.

The revised provisions require States to establish a safety programme and, as part of such a programme, requiring that air operators, maintenance organizations, and other service providers implement a safety management system. Furthermore, it places a requirement for States to establish an acceptable level of safety for the activities/provision of services under consideration. During Phase III, the support for the implementation will be continued as part of support for the implementation of the ICAO SARPs regarding a State

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Safety Programme.

4. The Cooperative Development of Operational Safety and Continuing Airworthiness Programme – North Asia (COSCAP – North Asia)

4.1 Aim of the Programme

The Programme, the implementation of which commenced in 2003, is a co-operative agreement between the 1People’s Republic of China, Democratic People’s Republic of Korea, Mongolia, and the Republic of Korea, and is executed by ICAO by means of a Trust Fund, and aims at enhancing the safety and efficiency of air transport operations in the region.

1The Programme established a dedicated forum for promoting continuing dialogue, coordination, and cooperation in matters related to flight safety among the well developed and smaller participating civil aviation administrations and creating an environment for harmonization and advancement in safety oversight policies, procedures, and regulations. It also provides an efficient and cost-effective method for the conduct of inspection and certification exercises of operators, aircraft and training establishments, and for the training of a large number of safety oversight personnel. In addition, it enables these States to be effective in promoting accident prevention proposed by the ICAO Global Aviation Safety Plan (GASP) through the continued supervision of the North Asia Regional Aviation Safety Team (NARAST) and participation in the Asia Pacific Regional Aviation Safety Team (APRAST).

Within the first year the Programme was modified slightly and its objectives expanded, with the inclusion of aerodrome and ATS certification requirements of Annexes 14 and 11.

4.2 The Programme Steering Committee

1The Steering Committee, comprised of the Directors General of Civil Aviation of the Member States, the Director of the Technical Co-operation Bureau of ICAO or his representative, the ICAO Regional Director or his representative, Associate Members, ICAO, Industry Partners and the COSCAP-NA Project Coordinator, monitor the project, determine project priorities and the work programme, including the annual mission programme to States, and training requirements on the basis of needs and available resources. The Steering Committee also monitors NARAST activities and promotes the implementation of interventions emanating from the APAC Regional Aviation Safety Group (RASG) deemed appropriate for the North Asia sub-region. The Project Coordinator, in coordination with the Chairman of the Steering Committee and ICAO, review regularly the funding of the project and undertake timely follow-up with project participating governments and concerned donors in this regard.

The Minister of General Administration of Civil Aviation of China was chosen as the Programme Chairman of the Steering Committee for the duration of the Programme. Following a re-organization of the General Administration of Civil Aviation of China, in 2010 the Deputy Administrator of the CAAC has fulfilled the role of Chairman.

4.3 Programme Headquarters

The Programme Headquarters was established in Beijing, China, being the Programme host State.

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4.4 Programme Funding and Cost Effectiveness

Funding in Cash

During Phases I and II of the COSCAP-NA Programme, funding was provided through contributions from the Programme Member States and from the international donor community that included the European Commission, the International Financial Facility for Aviation Safety (IFFAS), Canada (Transport Canada), Airbus Industries, Boeing Commercial Aircraft Group, Bombardier and the Airline Association for Asia/Pacific Airlines (AAPA).

In Phase III, the Programme will continue to be funded by contributions from the Programme Member States. Additionally, ICAO is seeking contributions from the international donor community.

Funding in Kind

During Phases I and II contributions in kind received from Members States totalled $477,081 USD including the establishment of the COSCAP-NA Office and support staff by China and free of charge transportation provided by Member States for COSCAP-NA staff and experts. In kind funding from donors is estimated at $934,400 USD including $773,988 USD in training assistance.

Programme’s Cost Effectiveness

The COSCAP Programmes were evaluated by the EC in May of 2004. The Evaluation Report was overall very positive of the Programmes – “As a conclusion, the COSCAP can be described as a useful and successful Programme. It provides visible results, related to practical realistic objectives, achievable but still ambitious.”

Programme Implementation Approach

The Programme activities are divided between those activities that are Programme Specific and those that are State Specific. Programme Specific Activities which constitute approximately 60% of the activities include training courses, safety teamwork (NARAST, APRAST) development of manuals, safety enhancements, etc. provided to all States. State Specific Activities constitute the remaining 40% of the activities and include special courses, technical assistance, audits, inspections, on-the-job training, etc. provided to an individual State or its personnel, to meet a specific need.

5. COSCAP- NA Achievements in Phase I and II

5.1 North Asia Regional Aviation Safety Team (NARAST)

At the first meeting of the COSCAP-NA Steering Committee, the NARAST was formally established and the Terms of Reference (TORs) approved. As stipulated in the TORs, the first task of NARAST is to review safety interventions, which have already been developed through the efforts of well-established, multinational safety groups. The NARAST also focuses on flight safety concerns particular to the North Asia Region. In this regard, NARAST subsequently establishes priorities and methodology for implementing the safety interventions and makes appropriate recommendations to the Steering Committee. Twelve meetings of the NARAST have been completed and over 299 recommendations have been

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made to the Steering Committee and approved by them. Over 83% of the recommendations have been completed by the COSCAP-NA Programme and implementation is ongoing for the remaining recommendations. A tracking mechanism has been established and at each meeting of the NARAST the status of implementation by COSCAP and subsequently by Member States is updated and reported to the Steering Committee. Recommendations remain open until implementation has been confirmed by Member States.

As presented at DGCA 47 in paper DP 4/3 Establishment of Regional Aviation Safety Group (RASG-APAC) in Asia and Pacific, at the 4th Meeting of its 190th Session, held on 25 May 2010, the ICAO Council approved the establishment of RASGs. This decision established the mandate for the ICAO Secretariat to create RASGs, nurture their development and guide their activities, recognizing that the planning must consider the related resources such as COSCAPs. In addition, the meeting approved terms of reference of the RASG-APAC, the Asia-Pacific Regional Aviation Safety Team — APRAST, the APRAST Accident Investigation Ad Hoc Working group — APRAST-AIG AWG, and the Safety Reporting and Programme Ad Hoc Working Group — APRAST-SRP AWG.

Under Phase III, Member States will support the APRAST bodies through active participation by subject matter experts. The objective of the APRAST is to recommend accident prevention interventions to the RASG. These recommendations, once approved by the RASG, may be implemented through the coordinated efforts of the regulatory authorities, in consultation with service providers, airlines and aircraft manufacturers. When such actions are accepted by the COCSAP-NA Steering Committee, the NARAST Members’ role is to assist in implementation of the APRAST / RASG decisions within their respective States, coordinate their government's efforts with industry and to identify additional work that might be needed.

5.2 National Aviation Safety Team (NAST)

With the aim of pursuing and assisting the implementation of recommendations established by NARAST, the Steering Committee decided to recommend that National Aviation Safety Teams be established in each participating administration. The NASTs have been established and in addition to reviewing and assisting the implementation of NARAST recommendations, the NAST also review safety issues that are particular to individual States.

Under Phase III, the programme will continue to support the work of the NASTs as an element of State-specific support.

5.3 Development of Regulations and Standards

The Steering Committee has agreed that while harmonisation of regulations and standards is a difficult process, work should commence on this initiative. To assist the development of a harmonization mechanism within COSCAP-NA, harmonization of Foreign Air Operator Regulations (technical draft) was completed by COSCAP-NA. The Member States’ Programme and activities related to the monitoring of foreign air operators were also reviewed as part of the harmonization initiative. In addition, harmonized Aerodrome Certification Regulations and Standards were developed by COSCAP-NA for use by Member States. Harmonization of regulations will not be a major undertaking in North Asia, as all the Member States of COSCAP-NA have extensively developed and/or updated their regulations. States in North Asia adhere closely to ICAO SARPs so there is less need for harmonization. In addition all the States have the capability to develop regulations to implement ICAO SARPs.

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5.4 Development of Inspector Manuals

COSCAP-NA has available generic policy and procedures manuals to guide inspector certification and safety oversight functions. These manuals can be easily adapted by Member States to reflect the requirements of that State. The Programme has available the following manuals: Manual of Certification, Inspection and Administration; Airworthiness Inspection Manual; Audit Procedures Manual; Designated Check Pilot Manual; MMEL/MEL Policy and Procedures Manual; Flight Operations Inspector Manual; Airworthiness Inspector Manual; Enforcement Manual; Dangerous Goods Procedures Manual and Aerodrome Certification Manual. These Manuals are available to Member States where there is a need to develop specific guidance material.

5.5 Training Programmes

The Steering Committee has assigned a high priority to the training of National Inspectors. Where numbers warrant, training programmes can be provided in all States. More often however, training will be provided at one or two central locations in the region. While COSCAP-NA will provide a large majority of the training, in many cases donors will provide additional training programmes at no cost to the Programme. As the number of inspectors in the Region is not large, air operators and service providers will also be invited to send participants to the training programmes. Attendance by air operator/service provider staff at these programmes ensures a better understanding of regulatory requirements; fosters good working relationships between the regulator and air operator; and expedites the implementation of safety improvements in the Region. Many States have already provided classroom training to their inspectors but will utilize COSCAP-NA experts to provide on-the-job training during missions to States. As of the end of Phase II, over 5000 candidates participated in 171 Courses, Workshops and Seminars under the COSCAP-NA Programme as follows: MMEL/MEL Workshops, Auditing Procedures Refresher Workshops, RVSM Workshop, Aerodrome Certification Course, Advanced Inspector Training, Designated Check Pilot Course, Flight Operations Safety Seminar, Aircraft Performance for Aerodrome Inspectors, ALAR Workshop, Crew Resource Management, Enforcement Course, Dangerous Good Safety Oversight Courses, Dangerous Goods Technical Instruction courses, Accident Investigation Course, Safety Management Systems Seminars and Course, Risk Management Course, Aircraft Importation, ATM Safety Management, Reliability Course, Maintenance Programme, Foreign Air Operator Approval, Maintenance Human Factors, Ground Icing/De-icing Seminar, and Search and Rescue (SAR) Seminar.

5.6 Audits, Inspections and Certification Activities

COSCAP-NA staff will assist States on request, with Audits, Inspections, and Certification activities. These activities to be conducted with National Inspectors will also serve as a mechanism to provide on-the-job training. Other Member States of COSCAP-NA have large well trained staff so while some inspections have taken place in all States it has not been a priority activity.

5.7 Technical Assistance

On a regular basis, COSCAP-NA staff is asked by Member States to provide guidance on interpretation of regulations/standards, best practices, and/or technical matters. This assistance is provided during missions to States and/or from the Regional Headquarters. Some of this assistance will prepare States for ICAO USOAP audits and in the development and implementation of corrective action plans.

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PART B COSCAP-NA PHASE III

1. Justification for Phase III

1.1 Situation at the end of Phase II

COSCAP-NA Programme has been very successful and cost effective in:

a) Conducting training of over five thousand (5000) civil aviation, airport and airline participants in safety related fields through courses, seminars and workshops, in addition to those trained on-the-job;

b) Developing manuals and procedures related to airworthiness, flight operations, and airport certification that have contributed to the harmonization of these procedures among the Participating States and ensuring their conformity with ICAO and other internationally recognized procedures;

c) Commencing the process for harmonization of new ICAO SARPs in the North Asian States;

d) Assisting States in improving their safety oversight capabilities and in preparing them for USOAP audits if required and in developing and implementing the corrective action plans, as well as in interpretation and application of ICAO Standards and Recommended Practices, Procedures and Guidelines;

e) Creating a spirit of cooperation and consultation among the civil aviation authorities of the Participating States in the field of safety oversight and obtaining their support for funding the Programme;

f) Participating in the commencement of establishment of APRAST supported by participating administrations in order to pursue and assist in the implementation of the Regional Aviation Safety Group (RASG) approved recommendations; and

g) Supporting the North Asia Regional Aviation Safety Team (NARAST) with its focus on implementing safety recommendations emanating from Asia Pacific Region Aviation Safety Team (APRAST).

1.2 Additional requirements for ensuring continued operation and effectiveness of COSCAP-NA as a regional institution

To retain the momentum created by COSCAP-NA in Phase I and II for cooperation and harmonization among the Participating States, and to maintain the regional capability created by the Programme, as well as expand it to encompass the implementation of Continuous Monitoring Approach (CMA) as part of the ICAO USOAP Audit Programme, it is necessary that COSCAP-NA III activities should continue to ensure the following:

a) Continued development and harmonization of safety related regulations and procedures concerning Personnel Licensing (Annex 1), Flight Operations (Annex 6), Airworthiness (Annex 8), Air Traffic Services (Annex 11), Aerodromes (Annex 14), Accident Investigation (Annex 13),

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Dangerous Goods (Annex 18), and other safety related areas;

b) Continued formal and on-the-job training of civil aviation, aerodromes, air traffic services etc., as well as airline personnel in safety oversight fields with a view to establishing a core of qualified personnel in the sub-region, in the most safety-critical disciplines;

c) Assisting States in preparing for ICAO Audits and in the development and implementation of Corrective Action Plans;

d) Assisting States in establishing National Aviation Safety Teams (NAST);

e) Obtaining a commitment from Participating States for their continued support and funding of this regional effort; and

f) Maintaining cooperation and coordination between civil aviation authorities of the Participating States in all matters related to safety through the Steering Committee, NARAST, NAST, and ad-hoc Working Groups.

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PART C DEVELOPMENT OBJECTIVE

1. COSCAP-NA Programme Objectives

To contribute to the social and economic development of the Participating States by improving their capability to maintain suitable, harmonious and efficient airworthiness, flight operations, aerodrome, air traffic control, and other safety related regulatory systems that are subject to ICAO USOAP CMA activities; as per provisions contained in the Convention on International Civil Aviation and its related Annexes.

2. Programme Phase III Implementation Strategy

This document outlines Phase III of the Cooperative Development of Operational Safety and Continuing Airworthiness Programme in North Asia (COSCAP-NA), which has been in operation since 2003.

The implementation strategy will involve the following major aspects:

a) Undertaking activities and producing outputs that had not been fully produced in Phase II (RAS/02/901) due to their postponement or the low priority assigned to them by the Steering Committee;

b) The expansion of the Programme to include inputs, activities, and outputs related to all safety related Annexes of ICAO that are subject to ICAO USOAP CMA activities;

c) Continuing consolidation of NARAST and its interaction with other similar groups in the Asia Pacific Region and beyond;

d) Continuing to support National Aviation Safety Teams (NAST);

e) Continuing provision of on-demand technical assistance to Participating States in response to ICAO USOAP CMA activities ICAO Coordinated Validation Mission (ICVM) and audits and in the training of nationals in safety oversight fields;

f) Continuing formal and on-the-job training of civil aviation, aerodromes, air traffic services etc., as well as airline personnel in safety oversight fields with a view to establishing a core of qualified personnel in the sub-region, in the most safety-critical disciplines; and

g) Continuing, as resources permit, participation with national inspectors in safety oversight of air operators, and maintenance organizations in Participating States.

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PART D IMMEDIATE OBJECTIVES, OUTPUTS AND ACTIVITIES

Since Phase III is, in some respects, a continuation of Phase II, the immediate objectives, outputs and activities of the earlier Phase II of the Programme are included herein albeit sometimes in a modified form to reflect Phase III considerations. The implementation status and the aspects that continue to be relevant in Phase III are shown in bold letters under each item.

IMMEDIATE OBJECTIVES AND OUTPUTS

1. Immediate Objective 1

Ensuring that safety oversight capabilities of Member States meet international requirements and that the deficiencies identified by the ICAO Universal Safety Oversight (USOAP) Audit Reports have been fully corrected.

Output 1.1

Action Plans, where needed, for correcting outstanding deficiencies, are prepared and implemented as appropriate.

Output 1.2

In response to ICAO’s new USOAP Continuous Monitoring Approach, review States’ implementation of SARPs and related safety oversight programmes; provide technical assistance to rectify deficiencies noted and engage suitable short-term experts as required by Member States.


Establishing a dedicated forum for coordination and cooperation among the Civil Aviation Authorities of Member States, with the aim of the harmonization of regulations, policies and procedures related to safety oversight, improving safety standards, and applying accident prevention measures.

Output 2.1

The Steering Committee of the COSCAP-NA project, formally established by the project, will have become the forum for flight safety in North Asian states. Given the maturity of the regulatory framework of the COSCAP-NA member States, harmonization initiatives will focus on new ICAO requirements as they are implemented.

Output 2.2

A North Asia Regional Aviation Safety Team (NARAST), as proposed by the ICAO Assembly in 1998, for recommending accident prevention interventions in the Member States, is established under the project. In Phase III and beyond with the evolution of the RASG/APRAST forums, NARAST will play a significant role both in participation and as an important forum for the exchange of technical information.

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Date: April 2013


Establishment of a systematic programme for the inspection of air operators and maintenance organizations in Member States whose Civil Aviation Authorities currently lack the capability to do so independently.

Output 3.1

Systematic surveillance, inspection and certification capability of air operators, and maintenance organizations established in Member States that lack such capability.


Safety oversight inspectors and technical personnel in North Asian Member States are qualified and sufficient for undertaking surveillance, inspection, testing, certification and regulation of flight operations, airworthiness and personnel licensing through recruitment and training.

Output 4.1

The required number of safety oversight inspectors and technical personnel in the Civil Aviation Authorities of Member States are recruited, trained and qualified to undertake fully the tasks required of them. In Phase III, ongoing support (initial and recurrent training) to States will be required to address the scope of expansion of the USOAP CMA.


Member States have established effective Safety Management Systems in the area of Aircraft Operations, Aerodromes and Air Traffic Management.

Output 5.1

Regulations, standards and guidance material have been developed by Member States to implement ICAO SARPs requiring air operators and service providers to implement Safety Management Systems.

Output 5.2

Training programmes, seminars and evaluations are conducted to assist CAAs, air operators and service providers with the implementation of Safety Management Systems.


States have implemented an SSP commensurate with the size and complexity of the State’s aviation system.

Output 6.1

Training programmes, seminars and evaluations are conducted to assist CAAs with the development of and implementation of State Safety Programmes.

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Date: April 2013

Output 6.2

States have completed a gap analysis, in order to ascertain the existence and status of maturity within the State of the components and elements of an SSP thereby promoting the development and implementation of a State Safety Programme (SSP) that combines elements of both prescriptive and performance-based approaches to the management of safety.

Output 6.3

States have developed an SSP Implementation Plan that describes how a State will put in practice, in a sequential, principled manner, the processes, procedures and means that will allow the State to discharge its responsibilities associated with the management of safety in civil aviation.

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Date: April 2013

PART E PROGRAMME INPUTS

1. Government/Donor Inputs

1.1 Personnel

a) Willing Member States and donors are expected to provide Short-Term Experts to provide technical support to assist Member States’ preparations for USOAP audits and implementation of Safety Management Systems; and

b) States shall provide counterparts to International experts during their duty missions to States.

1.2 Office Accommodation and Administrative Support

a) The Programme host State shall provide adequate office space for the Programme personnel and their counterparts as well as local administrative personnel other than the Programme Administrative Assistant free of cost to the Programme; and

b) Participating Governments other than the Programme host State shall provide free temporary office accommodation and administrative support to the Programme personnel on mission to their countries.

1.3 Transportation

The States shall arrange free air travel whenever possible for the Programme personnel when traveling on duty.

2. ICAO Inputs funded by Programme Trust funds (Programme Extension Duration)

2.1 International Experts

- Flight Operations Expert/ Programme Coordinator for the Programme Extension duration; and

- Short Term Experts as may be required in the Programme Extension duration to supplement the short term expertise expected to be made available by willing donors and by some of the Programme States. (For USOAP audits related specific assistance the concerned State may also be required to provide funds that will be additional to their annual contribution to the Programme Trust Funds).

2.2 Administrative Support Personnel

- An Administrative Assistant for the duration of the Programme Extension.

2.3 National Professional

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Date: April 2013

- A National Airworthiness Inspector for the duration of the Programme Extension.

2.4 Official Travel

Duty Travel of Programme Personnel

- Cost of travel when not arranged by the States and daily subsistence allowance.

ICAO Officials’ Mission Travel

- Cost of mission of ICAO Officials involved in Programme monitoring and backstopping.

2.5 Equipment

- The cost of expendable/supplies, non-expendable equipment and operation and maintenance of equipment, required for Programme implementation.

2.6 Miscellaneous Costs

- Reporting Costs;- Sundry costs including inter-alia communication costs; and- ICAO Programme Support Costs (Programme Management services,

financial and budgetary control of the Programme, technical backstopping and support to Programme operations, review and finalization of Programme Reports and SCM documentation, donor mobilization etc.).

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Date: April 2013

PART F PROGRAMME FUNDING

Total funding of the Programme will be through:

a. Payment by each State of its share of the cost of the Programme, as agreed to by the Steering Committee. As per Record of Decisions of the 12th Steering Committee Meeting (17- 19 April 2012, ASC1210.1, Item 2), the following is a break down by State of annual contribution.

China: 30.7 per cent (in addition to contributions in kind);

DPRK: 11.3 per cent (in addition to contributions in kind);

Mongolia: 19.3 per cent (in addition to contributions in kind);

ROK: 38.7 per cent (in addition to contributions in kind); and

b. Supplementary funding of the Programme in cash or in kind by donor agencies.

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Date: April 2013

PART G RISK ASSESSMENT

Initial Major Risk Factors

1. Delay in the signing of the Programme Document for Phase III by Member States, as well as the receipt of the required funds to commence Phase III.

Risk Level: low

ICAO HQ and the CTA will continue to work closely with Member States to ensure timely signature and remittance of funds.

Long-Term Risk Factors

2. Lack of both financial and technical assistance from donors.

Risk Level: medium

ICAO HQ and the CTA will continue to work closely with the donor community to ensure continued support of the Programme, from donors.

Delay in the posting of technically qualified short-term experts to assist the Programme.

Risk Level: low

ICAO HQ will review its roster of technical experts, as well as working with donors to ensure qualified experts are hired to provide assistance.

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Date: April 2013

PART H PREREQUISITES

a) Participating States pay in advance their annual contribution to the COSCAP-NA II Programme;

b) Participating States undertake to provide other inputs required of them.

PART I PROGRAMME MONITORING AND REPORTING

1. Programme Reviews

1.1 Steering Committee (SC)

The cooperative organization is guided by a Steering Committee (SC) consisting of the Chairmen of Civil Aviation Authorities/Directors General of Civil Aviation Administrations of the Participating Countries or their delegated representatives, the Director of the ICAO Technical Co-operation Bureau or his representative, and the ICAO Regional Representative or his nominee. Representatives from donor organizations and other interested parties are invited to attend committee meetings. The Programme Coordinator (PC) is an integral part of the committee. Dialogue between committee members is coordinated by the PC and will, to the maximum extent possible, take place by electronic means (fax, e-mail, and telephone conferences). The Steering Committee will meet on a regular basis to review the progress of the Programme, adjust the work plan as necessary along with methodology and the apportionment of costs, and to discuss matters related to the harmonization of regulations and standardization of certification and inspection policies, procedures, and standards.

1.2 Tripartite Programme Review (TPR)

As third party donor(s) provide funding for some or all of the Programme outputs and as per their requirements, the Programme may be subject to formal Tripartite Programme Reviews (a joint review by the Steering Committee, executing agency, and the donor Administrations or Organizations). The Programme Coordinator shall prepare and submit to each TPR meeting a Programme Performance Evaluation Report (PPER), which will describe the progress of the Programme in terms of its stated objectives, activities, and outputs. Additional PPERs may be requested by the Steering Committee, if necessary, during the course of the Programme.

2. Programme Reports

2.1 Technical Reports

Technical reports shall be prepared as required, including mission reports to States of Programme staff. All technical reports, either in part or whole, shall be treated as confidential between ICAO and the States / Administrations and or shall not be made available to non-participating countries or other parties without the concurrence of the participating State.

2.2 Programme Terminal Report

At the completion of Programme activities by assigned international Programme experts, a Programme Terminal Report will be prepared by the Programme Coordinator of the executing organization. It shall be prepared in draft sufficiently in advance to allow review

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Date: April 2013

and technical clearance by the executing organization at least two months prior to end of the activities of the international experts.

PART J PROGRAMME BUDGET

The budget for the total duration of the COSCAP-NA Programme Phase III is attached.

41

COUNTRY: REGIONAL PROGRAMME FOR NORTH ASIAPROJECT NO: RAS02901WORK ORDER: RAS02901 WO 01, 02, 03.PROJECT TITLE: COOPERATIVE DEVELOPMENT OF OPERATIONAL SAFETY & CONTINUING AIRWORTHINESS PROGRAMME IN NORTH ASIA (COSCAP-NA) - PHASE I, II & III.

w/m $ w/m $ w/m $ w/m $ w/m $ w/m $ w/m $ w/m $ w/m $ w/m $10. - PROJECT PERSONNEL 11. - INTERNATIONAL PROFESSIONALS

11.01 FLIGHT OPERATIONS EXPERT PC 97.0 2 968 463 24.0 1 499 158 208 205 12.0 207 700 12.0 214 100 12.0 190 900 12.0 202 000 12.0 199 200 12.0 214 000 1.0 33 20011.02 AIRWORTHINESS INSPECTOR 3.8 134 280 3.8 134 28011.51 AERODROME CERTIFICATION & SMS CONSULTANT 47 812 47 81211.52 ATS CERTIFICATION CONSULTANT 27 620 27 62011.53 SMS TRAINING EXPERT 12 959 12 95911.54 SAFETY OVERSIGHT CONSULTANT 0.1 32 139 0.1 32 13911.88 VARIOUS - 26 394 - 26 39411.97 SHORT TERM CONSULTANTS 299 656 168 567 11 090 20 000 20 000 20 000 20 000 20 000 20 000

11.99 SUB-TOTAL 100.9 3 496 535 27.9 1 896 140 219 295 12.0 227 700 12.0 234 100 12.0 210 900 12.0 222 000 12.0 219 200 12.0 234 000 1.0 33 200

13. - ADMIN. SUPPORT PERSONNEL13.01 SECRETARY 73.0 263 860 1.0 93 420 21 540 12.0 17 800 11.8 23 500 11.8 24 400 11.8 25 600 11.8 26 900 11.8 28 200 1.0 2 50013.02 INSPECTOR 13.0 94 579 56 457 28 322 12.0 9 000 1.0 80013.03 COSCAP IMPLEMENTATION ASSISTANT 60.0 68 534 18 482 7 052 11.8 7 800 11.8 8 100 11.8 8 400 11.8 8 800 11.8 9 100 1.0 800

13.99 SUB-TOTAL 146.0 426 972 1.0 168 359 56 913 24.0 26 800 24.6 32 100 23.6 32 500 23.6 34 000 23.6 35 700 23.6 37 300 2.0 3 300

15. - DUTY TRAVEL 542 396 223 419 43 977 25 000 50 000 50 000 50 000 50 000 50 000

16. - MISSION COSTS 230 249 137 612 13 337 10 000 12 800 13 300 13 800 14 400 15 000

17. - NATIONAL PROFESSIONALS17.01 NATIONAL PROFESSIONALS 60.0 216 437 37 11.8 38 400 11.8 40 300 11.8 42 300 11.8 44 500 11.8 46 700 1.0 4 200

17.99 SUB-TOTAL 60.0 216 437 37 11.8 38 400 11.8 40 300 11.8 42 300 11.8 44 500 11.8 46 700 1.0 4 200

19. COMPONENT TOTAL 306.9 4 912 589 28.9 2 425 530 333 559 36.0 289 500 48.4 367 400 47.4 347 000 47.4 362 100 47.4 363 800 47.4 383 000 4.0 40 700

20. - SUBCONTRACTS21.01 SUBCONTRACTS 147 931 97 213 10 718 8 000 8 000 8 000 8 000 8 000

29 SUB-TOTAL 147 931 97 213 10 718 8 000 8 000 8 000 8 000 8 000

40. - EQUIPMENT45.01 EXPENDABLE EQUIPMENT 24 870 14 086 4 784 1 000 1 000 1 000 1 000 1 000 1 00045.02 NON-EXPENDABLE EQUIPMENT 39 487 33 487 3 000 3 00045.03 OPERATION & MAINT. OF EQUIPMENT 3 884 3 884

49 SUB-TOTAL 68 242 51 458 4 784 4 000 1 000 1 000 1 000 4 000 1 000

50. - MISCELLANEOUS 52.01 - REPORTING COSTS 21 611 3 611 3 000 5 000 2 000 2 000 2 000 2 000 2 000 53.01 - SUNDRY 262 286 145 511 22 375 7 400 9 500 18 000 18 700 18 900 19 800 2 100 53.25 - PROFESSIONAL LIABILITY INSURANCE 45 45 55.01 - SUPPORT COSTS 657 856 308 138 48 418 39 500 50 800 48 900 50 900 51 600 53 800 5 800

59. COMPONENT TOTAL 941 797 457 304 70 793 49 900 65 300 68 900 71 600 72 500 75 600 9 900

99. PROJECT TOTAL 6 070 559 3 031 505 419 854 343 400 441 700 424 900 442 700 448 300 467 600 50 600

RAS02901-01, Phase I, from 2002 to Jan. 2008: 1 716 506RAS02901-02, Phase II, from Feb. 2008 to Jan. 2013: 2 118 553RAS02901-03, Phase III, from Feb. 2013 to Jan. 2018: 2 235 500

Total Phase I, II & III: 6 070 559

2015 20162002-2010TOTAL 2017 2018

PROJECT BUDGET COVERING TRUST FUND CONTRIBUTION

(IN UNITED STATES DOLLARS)

2011 2012 2013 2014

Appendix


Date: April 2013

SECTION CCOSCAP-NA FUNDING AND COST-SHARING

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Date: April 2013

SECTION C. COSCAP-NA Funding and Cost-Sharing

C.1 General Information on Trust Funds Modality

(a) Trust Funds are funds deposited directly with ICAO to meet specific, defined technical cooperation requirements, usually but not always those of the country or countries providing the funds.

(b) When a government requests assistance, which is to be financed through the establishment of a Trust Fund, a Programme is formulated. However, as there is no funding reserve within ICAO, it is required that the contributors to the trust fund pay ICAO (as monies to be administered on its behalf) sufficient funds to cover the estimated cost of the assistance for the duration of the Programme or for at least one year, plus a charge for ICAO's support costs at the percentage rate established by the ICAO Council for application to trust fund arrangements.

(c) Trust funds are normally payable in convertible currency. Any interest accruing on the deposited funds is credited to the Trust Fund account.

C.2 Institutional Framework Provisions on Funding

a) Article 3.3 of the COSCAP-NA Institutional Framework stipulates that the core services defined in Article 2.1 (i) that are provided under the Programme shall primarily be funded by the Member States through annual contributions in accordance with a cost-sharing formula approved by the Steering Committee. Article 3.4 stipulates mobilization of grant funds from the donor community to supplement the Programme funds. Article 3.6 stipulates that such Member States’ annual contributions supplemented, where applicable, by donor- provided funds, shall constitute the general pool of the COSCAP-NA Trust funds to be maintained by ICAO and shall be used for common benefit functions defined in Article 2.1 (i).

(b) Article 3.7 stipulates that for functions described in Article 2.1 (ii), the party or parties to receive the required specific service shall deposit the estimated cost thereof in the COSCAP-NA Trust Fund maintained by ICAO. The service recipient (s) may also request ICAO through the CAA to approach donors that may contribute in full or in part to the service cost.

C.3 Programme Funding Process

C.3.1 Programme core services

(a) ICAO/ TCB shall prepare the COSCAP-NA Programme Budget for the services to be provided for the common benefit of all Programme Members and subsequent revisions thereof and present them to the Steering Committee for consideration /approval.

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Date: April 2013

(b) ICAO/TCB will also prepare annual budgets and present them to the Steering Committee at its annual meetings for consideration/ approval.

(c) The Steering Committee at its 1st meeting held in Beijing China agreed to provide annual support to the programme as follows: China $80,000 plus programme offices and $8000 Administrative fund, DPRK $30,000, Mongolia $50,000 and ROK $100,000. The Steering Committee at its 7th Meeting approved revised contributions for Phase II: China $92,000 plus programme offices; Mongolia $58,000 and ROK $116,000. The Steering Committee at its 12th meeting approved revised contributions for Phase III as follows: China $110,000 plus programme offices; DPRK $41,000; Mongolia $70,000 and ROK $139,000.

(d) COSCAP-NA shall keep a record of the in kind contribution received from donors and Programme Members which shall be evaluated in monetary terms. (Refer Paragraph C.5)

(e) Member States’ share of funding may be changed to meet any revised requirements of the COSCAP-NA Programme. The Chairman of the Steering Committee shall write to the Programme Members to take necessary action on the revised funding requirements.

C.3.2 Specific services for a Programme Member or Group of Members aerodrome operators, air operators, aircraft maintenance organizations or other service providers

(a) Details of the specific services required shall be intimated to the Programme Coordinator by the Programme Member (s) CAA(s), operators or civil aviation service providers requesting these specific services who will first explore with ICAO/TCB the possibility of obtaining the service free of cost from a donor.

(b) If timely free of cost service cannot be arranged then the total cost of the service shall be estimated by ICAO following its established practice. The service may include some or all of the following elements:

(i) Professional Manpower to be deployed in the recipient Programme Members;

(ii) Use of equipment/aviation hardware/software such as those required for flight inspection of radio navigation aids;

(iii) Training in the service provider’s training establishments; and

(iv) Admissible miscellaneous costs including ICAO overhead costs

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Date: April 2013

(c) Specific Service(s) Cost apportionment:

Single service recipient Programme Member, operator/service provider:

The total estimated cost of the service shall be deposited by the Programme Member in the separate Trust Fund account maintained by ICAO/TCB for this purpose.

Group service recipient Programme Members:

The total estimated cost of the specific services shall be the sum of the service cost for each Programme Member. The Programme Members shall deposit their respective shares of the total estimated cost in the separate Programme Trust Fund account maintained by ICAO TCB. The apportionment will be subject to revision at the end of the service provision, considering the actual cost of service provided to each recipient Programme Member.

(d) The Programme coordinator will circulate the cost estimate of the specific service(s) to other Programme Members, inviting proposals for the provision of professional expertise and other service on non-commercial basis. Where more than one Programme Member is willing to provide the service on such terms, the proposal that entails least cost to the service recipient Programme Member(s) shall be accepted by ICAO with its (their) prior approval.

(e) If the requested specific service is not available from other Programme Members then the cost estimate will be revised to allow for recruitment and deployment of internationally recruited experts and upon approval thereof by the concerned Programme Member(s) and deposit of additional funds as may be required, ICAO/TCB will implement the Programme.

C.4 Policy on donor participation in the Programme

Donor support both in cash and kind has been crucial to the sustenance and success of the Programme. The purpose of the policy is not to unduly restrict the participation of donor organizations but to ensure the compatibility of the donor organization with the COSCAP-NA programme. The following policy will be applied by the Steering Committee to determine the participation of any new donor organization to the COSCAP-NA Programme:

1. The donor organization may be asked to provide some background on their organization and their interest in providing support to the COSCAP-NA programme.

2. The donor organization would be asked to provide an indication on the cash and/or in kind contribution it intends to provide in support of the objectives and outputs of the COSCAP-NA programme.

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C.5 Policy/Guidelines on evaluation in monetary terms of in-kind voluntary contributions provided by Programme Members and Donors for the purpose of their recognition

(a) Training Courses /Workshops

(i) Preparation time required by Donor staff. This will vary considerably depending on whether the course/workshop has been developed specifically for the Programme or has been adapted from previously developed material. The donor will provide the number of days (hours) spent on preparatory work and the cost of employee time;

(ii) Air transportation cost may be calculated on the basis of actual expenses;

(iii) Per diem or DSA requirements (as per Donor rules);

(iv). Training material actual costs; and

(v) Total of above cost

(b) Manpower Assistance

(i) Air transportation charges based on actual fares;

(ii) Cost of staff remuneration (only direct salary for period of assignment);

(iii) Per diem or DSA - as per Donor rules; and

(iv) Total valuation: Add (i) + (ii) + (iii) above.

(c) Guidance Material

(i) If developed exclusively at the Programme’s request, then the actual cost will be determined by the Donor.

(ii) If guidance material used is already available on the Donor’s web site, and accessible to all, it shall not be included in the valuation.

(iii) If Donor has had to purchase the requested material for delivery to COSCAP, then its actual cost shall be included.

(d) Participation in Programme Meetings / Conferences

(i) The cost of participation or hosting routine meetings of Steering Committee and NARAST shall not be evaluated.

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Date: Sept. 2014

(ii) If a Donor organization makes a presentation, the evaluation will be done on the basis of actual airfare, travel time, preparation time and per diem or DSA for the duration of the meeting.

C.6 Sharing of Expertise

C.6.1 Introduction

COSCAP-NA Member Administrations will sometimes require support in areas which are outside of the expertise of the COSCAP-NA CTA. On a short term basis these needs are often met with the assignment of experts provided by Member Administrations (see Section C.3 Programme Funding Process) or though donor funding.

It is also possible that needed expertise can be found within other COSCAP

programmes. In that case, subject to the agreement of the other COSCAP programme CTA, it may be possible for the COSCAP NA CTA to arrange an exchange of expertise.

Where such an exchange is possible, it will be important that each COSCAP receives support in balance with what it provides

C.6.2 Mission Planning, Oversight and Reporting

The CTA COSCAP-NA shall determine the mission objectives and provide guidance for any experts under the exchange. Reporting shall be in accordance with COSCAP NA reporting procedures.

C.6.3 Mission Administration and Expenses

Administration of the visiting expert will normally be addressed by the host COSCAP. Mission expenses (i.e. travel and DSA) will normally be charged to the host COSCAP.

C.6.4 Tracking

The CTA COSCAP-NA shall maintain a record of exchanges to ensure that a balance is maintained between the organizations. Exchanges shall normally be balanced day for day except in the case of significant differences in contract rates, in which case an in kind value will be calculated. The record shall be maintained using the tracking and reporting format set out at section C.6.6 below.

C.6.5 ReportingThe CTA COSCAP-NA will report to the Steering Committee during the Steering Committee meeting on any exchanges conducted since the previous meeting.

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C.6.6 Tracking and Reporting Form

Record of COSCAP Resource Sharing

Record of COSCAP Resource Sharing

Name Home COSCAP

Area of Expertise Mission Days In-Kind

Value*

* In-kind value determined only in cases of significant differences in contract rates.

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Table of ContentsDate: April 2013

SECTION D

ADMINISTRATIVE AND OPERATIONAL PROCEDURES

50



SECTION D. ADMINISTRATIVE AND OPERATIONAL PROCEDURES

D.1 ADMINISTRATION

D.1.1 COSCAP-NA Steering Committee

D.1.1.1 Preparatory Actions for Steering Committee Meetings (SCM)

(i) A Letter of invitation together with an annotated agenda will be prepared by the Programme Coordinator and shall be sent to all COSCAP-NA Members and Observers under the signature of the Chairman of the Steering Committee at least two months before the scheduled meeting date.

(ii) In addition to the Steering Committee members, representatives of donors, air operators, airport organizations and air traffic service providers, stakeholders in aviation safety in the public sector and non-public sector organizations accepted for participation in the Programme activities by the Steering Committee will usually be invited to participate in the Steering Committee meetings as Observers.

[(iii)] The Programme Coordinator, with the assistance of ICAO Regional Office and Headquarters/TCB as appropriate, shall prepare Discussion Papers (DPs) and Information Papers (IPs) on the record of progress achieved on the decisions taken at the previous SC Meetings, as well as the budgetary situation and the next annual work programme.

(iii)[(iv)] Information Papers and Discussion Papers prepared by Member States and other participants shall be submitted by them to the Chairman of the Steering Committee at least four weeks before the meeting.

(iv)[(v)] The papers shall be forwarded by the Chairman to all SC Members and participants at least two weeks before the meeting date.

D.1.1.2 SCM Proceedings and Records

(i) The Programme Coordinator shall act as the Secretary of the meetings.

(ii) The Programme Coordinator shall record the decisions adopted at the meetings.

(iii) The Programme Coordinator shall record the minutes of the meeting;

(iv) The draft minutes shall be forwarded by the Chairman to the Steering Committee Members and donors participating in the meeting for their concurrence within fifteen days from the last day of the meeting. The final minutes shall be issued to all participants at the earliest convenience of the Chairman.

D.1.1.3 Functions of the Steering Committee Chairman

(i) To monitor the functioning of the Programme and the Institution and apprise the members of any difficulties or problems being faced.

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(ii) Consult with other members of the Steering Committee when significant issues arise that have not been identified in the annual work plan or which may negatively impact on the implementation of the work plan.

(iii) Represent the Steering Committee in discussions with ICAO/TCB concerning funding issues or any other matter.

(iv) Meet with the Programme Co-ordinator as and when required.

(v) Consult with other members of the Steering Committee, as required, concerning staffing and other matters.

(vi) Organize Steering Committee meetings in consultation with the Programme Co-ordinator.

(vii) Monitor Programme funding and its utilization.

D.1.2 COSCAP-NA Programme Management by ICAO

D.1.2.1 In addition to those services listed in Article 4 of the COSCAP-NA Institutional Framework, ICAO TCB also assists in approaching external donors for the mobilization of supplemental funds for the Programme. (see Articles 3.4 to 3.6 of the Institutional Framework)

D.1.2.2 ICAO services are provided in accordance with established ICAO TCB rules, policies, procedures and practices. The TCB publications on the subject include:

ICAO Field Staff Services Rules (FSSR); Procurement Code; Field Operation Manual, Technical Cooperation Bureau Administrative Manual.

Copies of these documents are available to the ICAO technical cooperation field personnel.

Additionally, the full range of ICAO material listed in the printed Catalogue of ICAO Publications and Audio-Visual Aids issued every year are also available as required to technical cooperation field personnel.

D. 1.2.3 Financial management of the Institution’s Programme is provided by ICAO in accordance with the ICAO Financial Regulations.

D.1.2.4 The Technical Cooperation Programme is managed by the Director of TCB with the assistance of the Field Operations Section (Asia and Pacific), which plays the key coordinating role in the management of ICAO services to COSCAP-NA.

D.1.3 COSCAP-NA Personnel

D.1.3.1 Professional personnel

Professional personnel, recruited by ICAO, will belong to one of the following two broad categories:

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(i) International Experts

(a) Long-Term or Intermediate-Term International Experts(Programme core Team members)

The duration of these posts will generally be 12 months or more

(b) Short-Term International Consultants(Programme Core Team members)

The duration of these posts will be less than 12 months

(c) Short-Term International Consultants(Recruited for specific service(s) requested by a Programme Member or a Group of Members)

The duration of these posts will be less than 12 months

(d) Short-Term Experts provided free of charge to the Programme by donors for certain Programme activities such as training programmes, participation in Steering Committee meetings and NARAST meetings

(ii) National Experts

(a) National Experts provided free of cost to the Programme

The services of experienced professionals currently in the employment of the civil aviation regulatory administrations, airport authorities / administrations and air traffic service providers as made available voluntarily by the COSCAP-NA member States, free of cost to the Programme, to supplement the core Programme Professional team.

Duty air travel of such national experts shall be arranged free of cost to the Programme trust fund budget by the member State requesting their services. Their daily subsistence allowance shall, however, be charged to the Programme trust fund budget.

(b) National Experts/ Inspectors provided by one Programme Member State for assignment under a specific service Programme to another Programme Member or a group of Programme Members on non-commercial cost basis.

The arrangement modalities are described in Paragraphs C.3.2 (c) and (d).

D.1.3.2 Requirement of Letter of Authority from Member State CAA

The State Administration receiving assistance from the core team of Programme professionals or from national experts/inspectors provided by Member States referred to in paragraph

53



D.1.3.1 (ii) (b) above shall notify the entity to be inspected/ audited/ assisted the names of these foreign experts/inspectors and designate them as officials to carry out the said inspection/ audit/ assistance functions on its behalf.

D.1.4 Duty Travel of Programme Professional Personnel

D.1.4.1 All duty travel on missions by professional personnel shall be planned well in advance to give adequate time to the States to plan for the officials' visits and to avoid any problems in travel arrangements.

D.1.4.2 Necessary ICAO authorizations for travel shall be obtained on the recommendation of the Programme Coordinator, from Director TCB ICAO, before the commencement of journey. ICAO may authorize payment of the necessary advance DSA from the Accounts section of the UNDP office. Upon completion of the mission, a statement of expenditure shall be filled up in the prescribed Travel Claim form. Same provisions apply to the Programme Co-ordinator’s own missions.

D.1.4.3 Before embarking on a mission, the Programme’s professional personnel will carefully examine the relevant documents/reports/correspondence and be professionally prepared to undertake the mission.

D.1.4.4 Transportation of Programme professional personnel for COSCAP-NA missions will be provided to the extent possible by air operators of the State to be visited. Recognizing the need to reduce cost of the Programme, the DGCA of the Programme host State may, on request provide gratis transportation for COSCAP-NA staff for missions where transportation is not available from other member States. This contribution and free transportation provided by all Member States is tracked and noted as contribution in kind to the Programme by the States.

D.1.4.5 Missions shall be planned in a manner to minimize cost to the programme and provide maximum benefits to the States.

D.1.4.6 For any missions that may be required for liaison with training organizations or resource centers or for further donor mobilization, Director TCB ICAO shall make a proposal to the Chairman of the Steering Committee for his approval.

D.1.4.7 After each mission, a mission report shall be prepared in the prescribed format and necessary follow up action shall be taken.

D.1.5 Office Management – Filing System

D.1.5.1 Function of a file

The main purpose of maintaining a file is to collect and preserve in one cover the complete history of a particular aspect of a subject, in a chronological sequence, which would facilitate reference and related action.

D.1.5.2 General Principles for opening and maintaining files

The following general principles shall be observed:

(a) A new file shall be opened for each distinct aspect of a subject. Care shall be exercised to confine the file to its primary subject and not to allow it to develop into an all-covering file.

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(b) Only one file shall be opened for each aspect of a subject. Duplication shall be strictly avoided.

(c) The title of each file shall be very carefully selected and correspondence on that file shall be restricted to the subject of its title. If, however, during normal process the scope of the subject is changed, the title of the file shall be suitably amended to reflect the new scope of its subject.

(d) In order to keep the number of current files to the absolute minimum, new files shall not be opened for papers received merely for information. If after circulation the retention of such papers is considered necessary then these shall be kept in a separate jacket.

(e) In order to preserve the correspondence from mutilation, the note sheets and the enclosures shall be properly punched and kept in proper array.

(f) The number of single sheet enclosures on each file shall not exceed 100. When this number is reached or the file becomes unwieldy due to bulky enclosures before reaching the number 100, it should be closed and another volume of the file shall be opened.

D.1.5.3. Opening of Files and working on files

(a) Block Number of Files

Files shall be opened and maintained, on the basis of block numbers allotted as per Annexure 2.

(b) Main & Sub-File or Policy & Correspondence Files

A file shall deal only with one subject and duplication shall be avoided with the view to achieving efficiency. To avoid confusion in correspondence the number of files shall be kept to the bare minimum. All policy matters relating to the main subject will be processed on the file which bears the master number i.e., one of the numbers out of the blocks allotted called the policy files. Sub-files are those which are opened for dealing with particular aspects, or off-shoots of the main policy subject. These shall be identified from the subject headings as also from their own numbers: sub-files shall be given consecutive sub-numbers serially, followed by the master number (given to the policy file), and separated by an oblique stroke. Policy letters and normal routine correspondence shall not be mixed up or filed wrongly. Both subjects shall be dealt with separately without causing any confusion.

(c) Prefixes & Suffixes

The relevant file number shall be prefixed by the identifying letters of COSCAP-NA. For instance a file opened shall be prefixed by the letters "COSCAP". Further, the identifying letter of the related activity shall be signified by relevant abbreviated letters suffixed to the file number.

Illustration: COSCAP/l/5/SC

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(d) Filling up the File Cover

The important blank spaces provided on the file cover for filling up while opening a new file are the File No; Date of Opening and Connected files. The File No. and the title of subject shall require care in filling up. For example, if a Training File has to be opened as a parent file on the subject of "Training of COSCAP Inspectors - Policy" a sub-file on individual inspector i. e. "RAI-Training or RFOI-Training" shall also be opened.

Illustrations:

Title File Ref. No.

(a) Training: COSCAP Inspectors (Policy)

(b) RAI – Training(c) RFOI - Training

COSCAP/17/hisp

COSCAP/17/l/RAITCOSCAP/17/2/RFOIT

NOTE The policy or parent file bears the master number from the allotted block of numbers as shown in (a) whereas sub-files are given additional sub-numbers signifying clearly that these are sub-files as in examples at (b) & (c).

(e) Part Cases /Files

No part case files shall be opened/processed unless it is considered extremely essential. The cover of this part case/file shall be prepared exactly as for the parent file, but the words "PART CASE" shall be written prominently in the blank space on the right top corner of the cover. Care shall be taken that the correspondence on the 'Part Case' file is merged with the parent file at the first possible opportunity and the 'Part Case' file discontinued thereafter.

NOTE: In no case shall the parent and the part files be maintained concurrently.

(f) Method of Merging Part Case Files with Parent File

While merging the file, all notes and enclosures available on the 'Part Case' file shall be transferred to the 'Parent File as enclosures and given appropriate enclosure numbers. This action shall be suitably reflected in the form of a note on the parent file. A note shall be recorded on the note sheet of the regular file where enclosures have been transferred, reading for example, "Please see N. 6" or "N. 10", as applicable. The part case file cover should be kept safely for its possible use again, in future, instead of wasting it.

(g) Continuation of file - Opening New Volumes.

When a file has about 100 enclosures or has otherwise become bulky, a fresh volume of the same file shall be opened with the same reference number and other particulars as on the original file. The relevant volume number will be indicated on the right top comer of the file cover in bold letters.

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D.1.5.4 Filing and marking correspondence

Besides other considerations, to keep the file tidy and to save correspondence from mutilation, the following shall be ensured:

(a) Correspondence is placed on the right side and the note sheets on the left side of the jacket.

(b) Enclosures and note sheets are punched evenly on the top center. A double punch will be used for this purpose and holes will not be perforated by pushing the clip through the paper.

(c) Two separate clips are used to secure both the correspondence and note sheets.

(d) Correspondence is arranged in a chronological order so that the earliest communication received remains at the bottom and the latest, on top.

(e) Enclosures are numbered consecutively. i.e. 1A, 2A, 3A

(f) Appendices of enclosures are similarly numbered with the exception that instead of the letter 'A' which is meant exclusively for the main enclosure, they carry the letter 'B' for the first appendix; "C" for the second appendix and 'D' for the third, and so on. In such cases the main enclosure should be numbered as 1A to D or as the case may be indicating that the letter consists of three appendices, or more as the case may be.

(g) When an enclosure has to be filed between two enclosures i. e. between 2A and 3A it will be added over 2A and under 3A and will be numbered as 2A, 2A (i) , 3A to ensure that future numbers and cross references are not disturbed.

(h) The title of each file is selected carefully and the correspondence on that file restricted to the scope of the subject heading. Should the scope of the subject be enlarged or changed, the heading is also appropriately amended to ensure that all enclosures on the file positively relate to the subject heading and the file does not become an all- inclusive one.

D.1.5.5 Putting up a file for action

(a) Cross-Reference

Whenever a communication is received for action or information, the dealing person shall put it up on file and mark the appropriate enclosure number on it at the right top corner within a hand-drawn or a stamped circle and shall mark on it any previous reference quoted therein. Reference to a document in the same file shall be made by its enclosure number; if the document is in another file, that file number as well as the relevant enclosures number it bears shall be quoted. At the same time, in the blank space provided on the file cover followed by the words "CONNECTED FILES", the file number of each file shall be recorded on the other, for ease of future reference.

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(b) Flagging of Files

Printed flags reading "IMMEDIATE" or "PRIORITY" may be attached to a file to indicate the speed with which the subject on the file deserves to be disposed off.

D.1.5.6 Transmission / booking out of files

(a) Within Office

When the file has thus been readied for submission to the concerned officer, the dealing person shall then fill up the relevant columns on the top of the file cover provided for this purpose. This action is called "Charging of the file" or "making the charging entries".

Illustration:

Referred to Note or Encl. Date Initials of SenderAWE N3 or E12 15 Jul XYZ

(b) Outside COSCAP (To Chairman COSCAP)

The transit of a file shall normally to be arranged by the receipt/dispatch person or the P. A. / Secretary of the concerned officer.

(c) File Movement Register

It shall be ensured that all movements of files are recorded so that their exact location can be easily traced. This shall be done by recording appropriate entries on the "Movement Register" to be maintained by the receipt/dispatch person. When the file is booked out the same addresses shall be recorded on the register and the register kept at a place where file is stored. The 'return entry' shall be annotated in the register when the file is received after action and is not in circulation. The "Movement Register" shall indicate the whereabouts of the file and facilitate its recovery.

(d) Entry (in red ink) in the appropriate column on the file cover shall be made if a particular note or enclosure is required for action on a future date. The Secretary/dealing person shall make an entry on the "BRING FORWARD REGISTER" of the particular day of the month.NOTE: Thirty one BF pages shall be maintained to cater for the requirement of

each day of the month, round the year.

(e) Definition of Note

Notes are the written and informal means of conveying instructions, passing opinions, conducting correspondence and recording conversations that constitute the general run of business of a staff in any organization.

(f) Note Sheets

Notes sheets are the foolscap pages on the left hand side of a file. The margin is marked on the left side along the page. The file reference number is typed / written on the top right comer of each page. Notes shall be written only on one side of the sheet,

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the reverse side is not to be used. Notes for the perusal of COSCAP-NA Chairman shall be written on a fresh sheet. In case of lengthy comments separate note sheets shall be used instead of writing overleaf.

D.1.5.7 Note writing

(a) Addressing of Notes

Notes shall be written in a chronological order and marked consecutively in Arabic numerals, in the middle of the page. The addressee shall be indicated on the top left side flushed with the supposed margin. The text shall begin with paragraph No. 1; succeeding paragraphs shall be serially numbered in each note - and not counted towards paragraphs in the following notes.

(b) Subscription

On conclusion of the text, the originator shall append his signature followed by his initials and name (in capital letters within brackets) and appointment/abbreviated designation. The date shall be written on the left hand side, flushed with the supposed margin and in line with the appointment.

Illustration:________________________________________________________________

HQ COSCAP/l/5/ SC

N. 2

Chairman

1. Reference Encl 24-A and N. 12. Please indicate your concurrence to the Provisional Agenda for the 5th Steering

Committee Meeting so that the same may be forwarded to the member States for their views/comments.

15 Jul.99'

(X Y Z)PC

________________________________________________________

NOTE: In notes abbreviations are used in the text, as well as while writing the following:

(a) Appointment of addressee;(b) Appointment of originator; and (c) Date of origin

(c) Action on Notes by the Addressee

The addressee may put his/ her initials or write one or two words of the decision. Should it be necessary to write a lengthy note a new note shall be written recording cross references.

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(d) Importance of Notes

Properly kept note sheets provide a complete and useful record of action taken on a particular subject with which a file deals. Great care shall, therefore, be exercised in securing them.

D.1.5.8 Record, custody and disposal of files

(a) Functions

The objective of the filing system is to control the receipt and dispatch of correspondence. The process normally includes identification, classification, circulation, and custody of correspondence. Also, a record is kept of all incoming and outgoing correspondence.

(b) File Index Registers

The Secretary shall maintain a File Index Register where in the allocated block of file numbers will be recorded. All policy and sub-files and part cases opened shall be listed in the Register subject-wise and in a serial order, leaving sufficient space for recording additional entries for subsequent files to be opened under particular serial numbers. It shall be ensured by the Secretary that no file remains in circulation without its proper recording in the File Index Register and File Movement Register.

(c) Safe custody of files

The dealing officers shall be responsible for safe custody and security of the files in their possession. They shall ensure that they leave important files at a safe place and under lock.

(d) Not in action files

When not in action, files shall be kept safely away in the filing cabinet so that they may be pulled out when needed. "Not in action" means that no action is pending on any enclosure or minute and that all charging entries are crossed out; all flags and other slips should also have been removed.

(e) Closing of Files

When no further action is required on a certain file, nor is any action expected in the near future, it may be closed. However, it would generally be better to "Bring Forward" the file after a reasonable period to re-examine its likely use. This action may be repeated two or three times and when it becomes reasonably clear that the file will not be required for action, the competent officer (CTA) may decide to have it "put away"; this is done by putting the date and signature of the officer concerned on the file cover for "PUT AWAY ACTION". A record of the file numbers and subjects of all 'Put Away' files should be kept in the office.

(f) Quarterly Inspection of Files

An officer shall be detailed to inspect quarterly all the available files with a view to ensuring that:

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- Files are in a neat and presentable condition. - All enclosures are serially numbered.- No file is missing / untraceable. - Action has not been pending for an unduly long period on any minute or

enclosure. - BF system is being followed properly. - Files in action have not become too bulky. - No file has become "omnibus" and subject titles of files are in order.- File Index Register is clean and maintained properly. - Movement Register is being properly maintained. - Entries with regard to incoming and outgoing correspondence are promptly made

in the Receipt/Dispatch Register.- Incoming correspondence is put on the relevant file without delay and not kept

un-actioned in loose folders.

A certificate by the officer, covering the above points and/or other observation/recommendation shall be submitted to the Programme Co-ordinator, on conclusion of the inspection.

(g) Survey

A survey shall be undertaken each year, for the purpose of surveying all "put away" files, and to recommend their retention or destruction. This survey may be ordered by the Programme Co-ordinator.

(h) Action on Loss of Files

Periodic checks of file movement shall be carried out by the Secretary to locate and retrieve the files. If any file is untraceable, an inquiry shall be made to find circumstances under which the file was misplaced or lost. Responsibility of the loss may be affixed and action as considered necessary may be taken against the individual(s).

D.1.6 Security of Staff

D.1.6.1 Arrangements for the protection of personnel and property of the Family of organizations of the United Nations have been made by the UN Secretary General. He has designated a senior UN official in each country (usually the Resident Representative) to ensure security in emergency situations arising from political and other crises, including national disasters. Should the occasion arise, ICAO COSCAP-NA personnel must cooperate fully with the designated official and follow his instructions.

D.1.6.2 The Programme Coordinator of COSCAP-NA is required to review the security plan with the Resident Representative (or any other designated official). They should keep the ICAO field staff informed of planned procedures and advise them of any particular duties they must assume should security action be required.

D. 1.6.3 UN Security Office instructions with regard to security shall be followed. All international / regional staff and their dependents shall be issued with UN security ID cards. The staff members shall keep such ID cards in their possession at all times.

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D.1.6.4 For security of the office premises norms/ procedures laid down by the Civil Aviation Administration of the host State shall be followed.

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D.2 COSCAP-NA OPERATIONAL PROCEDURES

D.2.1 Planning of Operational Activities

D.2.1.1 Work Plan Development

[(a)] The Programme Coordinator will develop a draft Work Plan (Tentative Calendar) in consultation with the ICAO Regional Office/TCB and the Steering Committee, taking into account the outputs planned in the current revision of the COSCAP-NA Programme document.

(a)[(b)] The draft Work Plan will be based on the priorities as determined by the Steering Committee from year to year.

(b)[(c)] The proposed Work Plan will take into account the actual availability of funds.

(c)[(d)] The Programme Coordinator will forward the draft Work Plan (Tentative Calendar) to SC Members for review not later than 1 December of the year preceding the plan year and on receipt of the concurrence of SC Members forward it to all Programme Members not later than 31st December of the same calendar year. The Draft Work Plan shall include to the extent possible the programme of missions planned for the year.

(d)[(e)] The Programme Coordinator will provide the Chairman COSCAP-NA with an outline of the proposed missions.

D.2.1.2 Planning of State - Specific Activities

Based on the 40% time allocated for State-specific activities, technical assistance will be provided to States generally in accordance with the following considerations:

(a) States will notify the Programme Coordinator of their requirement for missions and the purpose thereof.

(b) Each State should receive in-country Safety oversight missions at least once every six months.

(c) Additional in-country technical missions will be based on the actual needs of the state.

(d) DGCAs may wish to authorize an official in their administration the task of co-ordinating COSCAP missions directly with the Programme/Institute Coordinator.

(e) COSCAP-NA experts/consultants will assist States in preparations for ICAO USOAP audits and in development of corrective action plans on as required basis.

D.2.2 Training

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D.2.2.1 Training is a high priority of the COSCAP-NA Programme. The Training programme will cover both Programme–specific and State- specific Training.

D.2.2.2 The Programme Coordinator will prepare a tentative training programme for the year. The programme shall show separately the training to be provided by COSCAP-NA Staff, Donors or the training that has to be funded by a specific State to meet its exclusive requirement. The programme will be sent to the States at the earliest but not later than 31st December of every year.

D.2.2.3 To facilitate development of the Annual training programme and to meet State- specific requirements, DGCAs will forward their requirements to the Programme Co-ordinator in the month of November of every year. Unforeseen training may be requested as the need arises.

D.2.2.4 The Steering Committee may prioritize the requirement of Programme-specific Training based on actual needs which will be determined at the Steering Committee Meetings.

D.2.2.5 Donor agency provided training programme will be agreed with the agency. If training in each Programme Member is not feasible, efforts will be made to plan it in at least two locations where trainees from all States will be able to participate.

D.2.3 Operation of NARAST D.2.3.1 The Programme Coordinator of COSCAP-NA will serve as the NARAST Team Leader.

D.2.3.2 Each Programme Member will designate one flight operation and/or representative from other functional areas as members of the Team.

D.2.3.3 The NARAST Team will meet as necessary, not more than twice each year.

D.2.3.4 Appropriate industry groups shall be invited to the NARAST meetings; representatives of CAST and ESSI would also be invited.

D.2.3.5 The NARAST Team Leader shall maintain close liaison with ICAO to benefit from its advice and to this effect he will provide regular feedback to ICAO on NARAST activities and on the emerging accident prevention interventions.

D.2.3.6 The NARAST Team Leader will liaise with other regional Safety teams to benefit from their efforts.

D.2.3.7 The Steering Committee will monitor the activities of NARAST and promote the implementation of those interventions that are considered appropriate for North Asia region.

D. 2.4 COSCAP Support to States / Administrations relative to USOAP Audit

D. 2.4.1 Introduction

This policy establishes a protocol for the provision by COSCAPs of assistance to States and Administrations before, during and after a USOAP audit. While such support may be valuable to the States / Administrations, given that both the COSCAPs and the USOAP are ICAO programmes it is important to avoid real or perceived conflict of interest so as to protect the value and positive contribution of each programme.

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D. 2.4.2 Purpose

The purpose of the policy is the provide direction to COSCAPs regarding appropriate conduct in respect of the USOAP audit. This includes, but is not limited to:

Use of the protocol questions Seeking guidance on and interpretation of SARPs and protocol questions as States /

Administrations prepares for a USOAP AUDIT Provision of assistance to States / Administrations

o as they prepare for the USOAP audit, including SAAQ, compliance checklist and protocol questions

o during all phases of the on-site audit process, at the discretion of the auditeeo during the post-audit phases, including preparation and implementation of corrective

action plans

D. 2.4.3 Policy

At the request and pleasure of the States / Administrations, COSCAPs may assist the States / Administrations as they prepare for, undergo, and respond to a USOAP Audit. In so doing, COSCAPs shall conduct themselves in full respect of the principles and practices set out in this policy.

D. 2.4.4 Application

This policy applies to all COSCAP personnel, whether employee or contractor, working under auspices of a COSCAP.

D. 2.4.5 Principles

COSCAP, as a unit of ICAO, must at all times conduct themselves in a manner that brings credit to the organization.

COSCAP, in accordance with the established practices, shall assist their member States / Administrations in using a range of effective and efficient approaches.

COSCAP, albeit knowledgeable in a wide range of safety oversight programmes, SARPS and the USOAP Audit methodology, must recognize the bounds of their responsibility and authority. For clarity, they must respect the fact that the ANB SOA division has the organizational responsibility, authority and accountability for all matters related to the USOAP Audit programme.

D. 2.4.6 Practices related to USOAP

The following points set out in general terms the nature of COSCAP conduct related to SOA and USOAP.

Assessment The use of USOAP materials, including generic protocol questions, to assist States /

Administrations is acceptable. Should interpretation or assistance regarding SARPS be required, the COSCAP preliminary

point of contact will be the ICAO bureau responsible for development of the ICAO SARP(s). Should interpretation or assistance regarding USOAP materials be required, the COSCAP

preliminary point of contact will be the SOA divisionANB.

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Should COSCAP determine that contacting the SOA ANB is required, they shall direct all queries through programme management and ensure that any questions or requests they pose are generic and, in particular, that they do not mention any States / Administrations.

If contact with the SOA ANB is necessary, every reasonable effort shall be made to do so as far in advance of a USOAP Audit as possible.

Mission reports are confidential between the COSCAP ICAO and the States / Administrations. To avoid placing the SOA office in a conflict of interest, under no circumstances shall a confidential mission report be provided directly or indirectly to the SOA.

Mission reports must contain the following disclaimer:

COSCAPThis report has been prepared as part of COSCAP-XXX support to [State or Administration]. Any findings or recommendations relating to the effective and efficient implementation of the ICAO Standards and Recommended Practices (SARPs) contained in this report are independent and complimentary of the findings and recommendations that may result from a safety oversight audit conducted under the ICAO Universal Safety Oversight Audit Programme.

D. 2.4.7 During on-site audit

The purpose of COSCAP participation during the audit is to assist the States / Administrations. Without being limiting, this will generally include functions related to interpretation of language or provisions, and the provision of support related to the meaning of findings or questions.

COSCAP may act as an observer, as set out below, for the sole purpose of developing a clear understanding of the issues, questions and findings of the audit team so that the COSCAP may be in a position of knowledge as they subsequently assist the States / Administrations.

o COSCAP may, at the discretion of the auditee, participate as an observer during all phases of the audit that are normally attended by the auditee.

D. 2.4.8 Post-audit

COSCAP may, at the request of the States / Administrations, assist them as they prepare a response to the audit report. Such assistance, consistent with other provisions of this policy, shall be portrayed as guidance. In no cases shall COSCAP assistance be portrayed as the official ICAO position with regard to any USOAP-related matter.

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SECTION E

PROGRAMME MONITORING, REPORTING AND EVALUATION

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SECTION E. PROGRAMME MONITORING, REPORTING AND EVALUATION

E.1 Introduction

E.1.1 The general requirements of Programme monitoring, reporting and evaluation are described in detail in ICAO TCB Field Operations Manual. Specific requirements of Monitoring and Reporting in respect of COSCAP-NA Programme are described in the Programme document.

E.1.2 General Principles

Monitoring and Evaluation shall be integrated into the Programme cycle to enhance the implementation and achievement of results from current programmes as well as evaluate the need for future Programme activity. They shall be results-oriented and include assessments of the relevance, performance and success. While mainly persons involved in managing a Programme do monitoring, evaluation shall be done by persons who have not been involved in managing it.

E.2 Monitoring

E.2.1 General

E.2.1.1 Monitoring shall be undertaken on a continuous basis; it shall aim primarily to provide all parties participating in the Programme with early indications of progress or lack thereof in the achievement of Programme objectives; while reporting it in a systematic and timely manner and providing essential information needed for decision-making by the competent authority.

E.2.1.2 Reporting is an integral part of the monitoring function. Monitoring aims at correcting problems related to the effective utilization of the results of the Programme.

E.2.1.3 Monitoring of the Programme shall specially address the following:

(a) the extent of progress of Programme activities and sub-activities and the production of outputs as envisaged in the Programme Document against established schedules and indicators of progress;

(b) identification and assessment of the factors affecting the progress of Programme activities and sub-activities and the production of outputs;

(c) assessment of prospects of the Programme achieving its immediate objectives;

(d) identification of actions necessary, and the deadlines by which they should be carried out in order to utilize opportunities for improving or correcting problems related to the implementation of the Programme.

E.2.1.4 Monitoring shall normally result in immediate actions to promote the timely implementation of a Programme and the utilization of its results within the framework of established objectives and work plans. It may, however, result in a modification of the work plan or even in a revision of the Programme document.

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E.2.2 COSCAP-NA Programme Monitoring

E.2.2.1 Programme Monitoring and review by Director TCB

The Director, Technical Cooperation Bureau, ICAO shall monitor the Programme continuously through on-going correspondence on Programme implementation issues with the Programme Co-ordinator.

E.2.2.2 Programme Monitoring and review by the Steering Committee

The Steering Committee shall monitor the Programme through the working and discussion on papers prepared for the its regular meeting. During the meeting, the Steering Committee shall review the progress of the Programme, adjust the Work plan methodology and reapportion of costs as necessary.

E.3 Programme Reports

E.3.1 Progress reporting to ICAO/TCB

E.3.1.2 Brief Annual Report

The Programme Coordinator shall prepare and submit Annual Reports to the Director TCB for inclusion in the Annual Report of the Council of ICAO.

E.3.2 Progress reporting to the Steering Committee

E.3.2.1 The Programme Coordinator shall draft Working Papers for each Steering Committee Meeting which will include, inter-alia, a paper on the progress of the Programme. After review by the ICAO Regional OfficeDirector, TCB, the papers will be submitted to the SC members and other participants in the meeting.

E.3.2.2 The activities undertaken by the COSCAP-NA programme can be categorized under three main headings, namely: Training (Courses/Workshops/Seminars), North Asia Regional Aviation Safety Team (NARAST), and Missions to States to provide technical support. These activities are quite different, so different means of reporting on the results are required. The 7th Steering Committee of COSCAP-NA held in Xi’an, China 19-21 June 2007, adopted the Programme Results Reporting System contained in E. 5 Appendix I to be utilized for all reporting to the Steering Committee from SCM 8 onward.

E.3.2.3 For all Steering Committee Meetings an Implementation Report on the decisions taken in previous meetings shall be prepared by the Programme/Institute Coordinator.

E.3.3 Technical Reports

Technical reports shall be prepared – one for each of the technical specialties upon completion of the activities related to the specialty by the assigned expert/consultant. All technical reports, whether whole or in parts, shall be treated as confidential between ICAO and the States/Administrations and shall not be made available to other than Programme Members without the consent of the Member(s) concerned.

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E.3.4 Experts’ End-of-Assignment Reports

At the end of his/her assignment each expert will prepare an End of Assignment report in accordance with the requirement of the ICAO TCB Field Operations Manual.

E.3.5 Experts’ Mission Reports

Mission reports shall be prepared after each mission outside the home base of the Programme/Institute. The reports shall be prepared in conformity with the prescribed format and shall bring out the mission’s objective and its results in a precise manner. Any follow-up required shall be indicated in the report. After the approval of the Programme Coordinator, the report shall be forwarded to the ICAO Regional OfficeTCB and a copy of the same shall be filed. It will be the responsibility of the expert to take the necessary follow-up action wherever required. Likewise, the Programme Coordinator will submit his own Mission Reports to the ICAO Regional Office, TCB.

E.4 Programme Evaluation

The Steering Committee may undertake evaluation of the Programme at its discretion. ICAO may also undertake a detailed evaluation of the Programme as part of its functions. Similarly, a major donor agency may also undertake evaluation of the outcome of its contribution to the Programme.

E.5 Appendix I Programme Results Reporting System

E 5.1 Common System of State Feedback/Input

E 5.1.1 As indicated in para E.3.2.2, the activities undertaken by the COSCAP-NA programme can be categorized under three main programme headings. COSCAPs have neither the resources nor the means, in most cases, to follow up on each programme heading provided to a Member State in a timely manner. States can greatly support these efforts by providing a feedback report to the COSCAP-NA programme at an appropriate time. Because many States would be involved for certain programmes, it is important that a common system be established and that COSCAP-NA be the focal point for gathering and compiling the information.

E 5.2 Training (Courses/Workshops/Seminars)

E 5.2.1 One month after completion of a Course/Workshop/Seminar, CTA will forward to the participants’ Director General(s), a results assessment report form to be completed by the Programme Member. The form will allow the Programme Member to offer feedback on the programme provided by COSCAP/donor, as well as to identify follow-up activities that may require the further support of COSCAP/donor. In addition, the Programme Member can identify results such as the intention to adapt material provided during the programme or to amend regulations, guidance material, etc.

E 5.2.2 Where a COSCAP-NA Member has sent more than one participant to a programme, it is requested that only one form be completed which represents the consolidated view of the Member.

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E 5.2.3 COSCAP-NA programme will compile these forms and provide a summary in the Programme Progress Report presented at each Steering Committee Meeting.

E 5.2.4 It should be noted that some of the programmes provided by COSCAP (mainly seminars) serve as advance information on future requirements or provide general safety information of an educational nature. While feedback on the effectiveness of the programme may be solicited, there may not be any other resulting action required by COSCAP-NA or the State.

E 5.2.5 While the objective of the COSCAP programme is to provide training support to Programme Members CAAs, their air operators and service providers may also participate where space is available. While participation of air operators and/or service providers is encouraged, results report forms will not be requested from them unless the service provider is part of the CAA.

E 5.2.6 A sample letter from COSCAP-NA CTA to the Director General of CAA and a Results Report Form are included in this appendix.

E. 5.3 North Asia Regional Aviation Safety Team Results

E 5.3.1 North Asia Regional Aviation Safety Team (NARAST) meetings are normally conducted every nine months, and a detailed record of discussions is prepared and forwarded to participants at the end of each meeting.

E 5.3.2 In addition to the record of discussions, a NARAST Implementation Status Report is prepared and provided to the NARAST and Steering Committee Meetings. The NARAST Implementation Status Report provides details of the implementation of NARAST recommendations by NARAST Members and, subsequently, the action taken by Member States.

E 5.4 Missions to States

E 5.4.1 In consultation with Member States, a Tentative Work Plan of missions to states is established by COSCAP-NA in December to cover the next calendar year. These missions offer the opportunity for COSCAP-NA to provide individual support to specific States, such as State-specific training programmes, on-the-job training, safety oversight support, USOAP preparations, and technical advice.

E.5.4.2 Well before each mission, the programme for the mission is confirmed in writing with the Member State and ICAO TCB requested to authorize the mission. After completion of the mission, a mission report is provided to TCB on the activities completed. Dependent upon the activity, COSCAP staff often provides a report to the Director General of CAA with recommendations.

E 5.4.3 As feedback to Steering Committee Members, CTA will provide a brief report on what was accomplished during the missions to States since the previous Steering Committee Meeting. The report will provide an overview of specific COSCAP-NA activities being conducted in that State.

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Sample Letter to Director General[Date]

Mr. [ name]Director GeneralCivil Aviation Authority of [State][State]Fax:

Dear Mr. [ name]:

Subject: COSCAP-NA Results Report

Kindly recall that COSCAP-NA completed the [ name of programme] at the

[ venue of programme]. I am pleased to note that Mr./Ms. [ names of participants] participated in the programme on behalf of CAA of [ state].

In order to measure the effectiveness of this programme, identify further activities that may be required by CAA [state], and provide feedback to the Steering Committee on the results of the programme, I would kindly request that CAA [state] complete the attached Results Report Form and return it to COSCAP-NA as soon as practicable. If there were multiple CAA staff who attended the programme, I would request that only one consolidated report form be forwarded to my office. COSCAP-NA will compile the information from all States and provide feedback to participants at the next Steering Committee Meeting.

Your assistance in this matter is very much appreciated, and I look forward to my next visit to [state].

Sincerely yours,

CTA, Programme Coordinator COSCAP-NA

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Documents

Table of Contents - COSCAP-NA IFA… · Web viewCOSCAP-NA INSTITUTIONAL FRAMEWORK AND ADMINISTRATIVE PROCEDURES MANUAL. ... sa. l. Safety. Oversight ... China $80,000 plus programme