# PROVISIONAL EDITION

NOVEMBER 2010



# RESOLUTIONS

ADOPTED BY THE ASSEMBLY

ASSEMBLY

– 37th SESSION

Montréal, 28 September—8 October 2010

INTERNATIONAL CIVIL AVIATION ORGANIZATION

###      (i) RESOLUTIONS ADOPTED AT THE 37TH SESSION OF THE ASSEMBLY

PROVISIONAL EDITION

TABLE OF CONTENTS

Resolution Page

A37-1 Principles for a code of conduct on th e sharing and use of safety information ............... 1

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

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

A37-4 ICAO global planning for safety ...................................................................................... 4

A37-5 The Universal Safety Oversight Audit Programme (USOAP) continuous monitoring approach ........................................................................................................ 7

A37-6 Runway safety ........................................................................................................... ....... 9

A37-7 Comprehensive Regional Implementation Pl an for Aviation Safety in Africa ............. 10

A37-8 Regional cooperation and assistance to resolve safety-related deficiencies .................. 12

A37-9 Halon replacement ....................................................................................................... .. 14

A37-10 Proficiency in the English language used for radiotelephony communications ............ 15

A37-11 Performance-based na vigation global goals .................................................................. 17

A37-12 ICAO global planning for sustainability ........................................................................ 19

A37-13 Prevention of spread of communicable disease through air travel ................................ 20

A37-14 Non-chemical disinsection of th e aircraft cabin and flight deck for international flights ........................................................................................................ 21

A37-15 Consolidated statement of c ontinuing ICAO policies and associated practices related specifically to air navigation ............................................................... 22

A37-16 The Safety Fund (SAFE) ............................................................................................... 2 7

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

unlawful interference ..................................................................................................... 28

A37-18 Consolidated statement of continuing ICAO policies and practices related to environmental prot ection – General provisions, noise and local air quality .............................................................................................. 41Page

(ii) A37-19 Consolidated statement of continuing ICAO policies and practices related to environmental prot ection – Climate change .................................................. 55

A37-20 Consolidated statement of continuing ICAO policies in the air transport field ........................................................................................................... . 64

A37-21 Cooperation with regi onal organizations and regiona l civil aviation bodies ................. 80

A37-22 Consolidated Statement of Conti nuing ICAO policies in the legal field ....................... 81

A37-23 Promotion of the Be ijing Convention and the Beijing Protocol of 2010 ....................... 86

A37-24 Promotion of the Mont real Convention of 1999 ............................................................ 87

A37-25 ICAO Policy on the language services .......................................................................... 87

A37-26 Budgets for 2011, 2012 and 2013 .................................................................................. 88

A37-27 Assessments to the General Fund for 2011, 2012 and 2013 .......................................... 90

A37-28 Working Capital Fund ................................................................................................... 95

A37-29 Amendment of the Fi nancial Regulations ...................................................................... 97

A37-30 Approval of the accounts of the Organization for the financial years 2007, 2008 and 2009 and exam ination of the Audit Reports thereon ............................ 97

A37-31 Appointment of th e External Auditor ............................................................................ 98

A37-32 Discharge by Contracting Stat es of financial obligations to the Organization and action to be taken in case of their failure to do so ............................. 98RESOLUTIONS ADOPTED AT THE 37TH SESSION OF THE ASSEMBLY

PROVISIONAL EDITION

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

information

Whereas ensuring the safety of international civil avia tion is the responsibility of Member States both collectively and individually;

Whereas the Convention and its Annexes provide the legal and operational framework upon

which Member States can build a civil aviation safet y system based on mutual trust and recognition, requiring that all Member States fulfil their obliga tions in implementing the Standards and Recommended Practices (SARPs) and in adequa tely performing safety oversight;

Recallin g that mutual trust between States, as well as public confidence in the safety of air transportation is contingent upon access to adequa te information regarding the implementation of international SARPs;

Recalling that transparency and the sharing of such in formation are fundamental tenets of a safe air transportation system and that one of the objectives of sharing information is to ensure a consistent, fact-based and transparent response to safety con cerns at the State and at the global levels;

Recognizing that the safety information in the possession of individual States, aviation industry and aviation organizations regarding the existence of operational hazards has the potential to provide a clearer perspective on existing and emerging areas of ri sk and the opportunity for timely interventions to improve safety when shared and acted upon collectively ;

Recognizing that there is a need to develop principl es of confidentiality and transparency to ensure that safety information is used in an appropr iate, fair and consistent manner, solely to improve aviation safety and not for inappropriate purposes, including for the purpose of gaining economic advantage ; and

Mindful that the use of such information for other than safety-related purposes may inhibit the provision of such information, with an adverse effect on aviation safety:

The Assembly:

1. Instructs the Council to develop a Code of Conduc t for the Sharing and Use of Safety Information based on the following principles, among others

a) Member States will collect and share releva nt and appropriate safety information to ensure that they can effectively disch arge their individual and collective responsibilities for the safety of international civil aviation;

b) Member States will utilize safety informati on to assist in ensuring that operations under their oversight are conducted in full compliance with app licable SARPs and other regulations;

c) Member States, aviation industry and aviation organizations will ensure that shared safety information is used in an appropriat e, fair and consistent manner, solely to improve aviation safety;- 2 -

d) Member States, aviation industry and aviation organizations will use caution in disclosing information, keeping in mind equally the need for transparency and the possibility that such disclosure may inhibit the future provision of such information;

and

e) Member States receiving safety information from another State, will agree to provide levels of confidentiality and uphold princi ples for disclosure equivalent to those provided by the State generating the information.

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

Whereas the primary objective of the Organization continues to be that of ensuring the safety of international civil aviation worldwide;

Whereas it is essential that cognizance be taken that it is not the purpose of the investigation of accidents and incidents to apportion blame or liability;

Recognizing that it is essential that all relevant info rmation be made available to the accident investigators to facilitate the establishment of the causes and/or contributing factors of accidents and incidents in order to enable preventative action to be taken;

Recognizing that the prevention of accidents is essential to safeguard the continued confidence in air transport;

Recognizing that public attention will continue to focu s on States’ investigative actions, including calls for access to accident and incident records;

Recognizing that the protection of certain accident and incident records from inappropriate use is essential to ensure the continued availability of all rele vant information to accident investigators in future investigations;

Recognizing that the use of information, derived from accident investigations, for disciplinary, civil, administrative and criminal proceedings is generally not a means to improve aviation safety;

Recognizing that the measures taken so far to ensure the protection of certain accident and incident records may not be sufficient, and noting the issuance by ICAO of legal guidance to assist States in this regard;

Recognizing that the legal guidance in Attachment E to Annex 13 has assisted many States in the development and implementation of means to prot ect certain accident and incident records from inappropriate use;

Considering that a balance needs to be struck between the need for the protection of safety information and the need for the proper administration of justice, and that protection should be to a level

commensurate with the nature of the information ea ch source generates, as well as with the purpose of disclosure of such information;

Mindful that the accident investigation authorities a nd the civil aviation authorities acknowledged the need for further study by ICAO on the protection of safety information; and- 3 -

Recognizing the recommendations of the High-level Safety Conference 2010 to establish a multidisciplinary group to address the prot ection of certain safety information:

The Assembly:

1. Urges Contracting States to continue to examine and if necessary adjust their laws, regulations and policies to protect certain accident and incident records in compliance with paragraph 5.12 of Annex 13, in or der to mitigate impediments to accide nt and incident investigations, in consideration of the legal guidance for the protecti on of information from safety data collection and processing systems issued by ICAO;

2. Instructs the Council to consider to enhance, in view of the results of the work of the multidisciplinary group, the provisions on the protection of certain accident and incident records with the aim of facilitating the implementation of Annex 13 provisions addressing the protection of safety information, taking into account the necessary interac tion between safety and judicial authorities in the context of open reporting culture; and

3. Declares that this resolution supersedes Resolution A36-8.

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

Whereas the primary objective of the Organization continues to be that of ensuring the safety of international civil aviation worldwide;

Recognizing the importance of the free communication of safety information amongst the stakeholders of the aviation system;

Recognizing that the protection of safety information fro m inappropriate use is essential to ensure the continued availability of all relevant safety info rmation, to enable proper and timely preventive actions to be taken;

Concerned by a trend for safety information to be used for disciplinary and enforcement actions and to be admitted as evidence in judicial proceedings;

Noting the importance of a balanced environment in which disciplinary action is not taken as consequence of actions by oper ational personnel that are commensurate with their experience and training, but where gross negligence or wilful violations are not tolerated;

Mindful that the use of safety information for other than safety-related purposes may inhibit the provision of such information, with an adverse effect on aviation safety;

Considering that a balance needs to be struck between the need for the protection of safety information and the need for the proper administration of justice, and that protection should be to a level

commensurate with the nature of the information ea ch source generates, as well as with the purpose of disclosure of such information;

Recognizing that technological advances have made possible new safety data collection, processing and exchange systems, resulting in multiple sources of safety information that are essential in order to improve aviation safety;- 4 -

Noting that existing international laws, as well as nati onal laws and regulations in many States, may not adequately address the manner in which safety information is protected from inappropriate use;

Noting the issuance by ICAO of legal guidance aimed at assisting States enact national laws and regulations to protect information gathered from sa fety data collection and processing systems, while allowing for the proper administration of justice;

Recognizing that the legal guidance in Attachment E to Annex 13 has assisted many States in the development and implementation of means to protect information gathered from safety data collection and processing systems;

Mindful that the civil aviation authorities acknowledged the need for a further study by ICAO on the protection of safety information; and

Recognizing the recommendations of the High-level Safety Conference 2010 to establish a multidisciplinary group to address the prot ection of certain safety information:

The Assembly:

1 . Urges all Contracting States to continue to examine their existing legislation and adjust as necessary, or enact laws and regulations to protect information gathered from all relevant safety data collection and processing systems based, to the exte nt possible, on the legal guidance developed by ICAO;

2 . Urges the Council to cooperate with Contractin g States and appropriate international organizations regarding the devel opment and implementation of guidance to support the establishment of effective safety-reporting systems, and the achieve ment of a balanced environment where valuable information derived from all relevant safety data co llection and processing systems is readily accessible, while respecting principles of administration of justice and freedom of information;

3. Instructs the Council to consider to enhance, in view of the results of the work of the multidisciplinary group, the provisions on the protec tion of information gathered from safety data collection and processing systems (SDCPS) with a view to ensure and sustain th e availability of safety information required for the management of safety, taking into account the necessary interaction between safety and judicial authorities in the context of open reporting culture; and

4 . Declares that this resolution supersedes Resolution A36-9.

A37-4: ICAO global planning for safety

Whereas ICAO strives to achieve the goal of a safe and orderly development of civil aviation through cooperation among Contractin g States and other stakeholders;

Whereas to realize this goal, the Organization has estab lished Strategic Objectives in the fields of, inter alia, safety and efficiency;

Recognizing the importance of a global framework to support the Strategic Objectives of ICAO;

Recognizing the importance of regional and national plans and initiatives based on the global framework for effective implementation; and- 5 -

Recognizing that further progress in improving global saf ety and efficiency of civil aviation is best achieved through a cooperative, collaborative and coordinated approach in partnership with all stakeholders under the leadership of ICAO;

The Assembly:

1. Resolves that ICAO shall implement and keep current the Global Aviation Safety Plan (GASP) and the Global Air Navigation Plan (GANP) to support the relevant Strategic Objectives of the Organization;

2. Resolves that these global plans shall be implemented and kept current in close cooperation and coordination with all concerned stakeholders;

3. Resolves that these global plans shall provide the framework in which regional, subregional and national implementation plans w ill be developed and implemented thus ensuring

harmonization and coordination of efforts aimed at improving international civil aviation safety and efficiency;

4 . Calls upon States and invites other stakeholders to coopera te in the development and implementation of regional, subregi onal and national plans based on the framework of the global plans;

5. Instructs the Council to provide a report on the implementation and evolution of the global plans to future regular sessions of the Assembly;

6. Instructs the Secretary General to promote, make available and effectively communicate the GANP, GASP and its associated Global Aviation Safety Roadmap (GASR) global plans; and

7. Declares that this Assembly resolution super sedes Assembly Resolution A36-7 on the ICAO Global Aviation Safety Plan (GASP).

APPENDIX

Global Aviation Safety Plan

Reaffirming that the primary objective of the Organization continues to be the improvement of safety and an associated reduction in the number of acci dents and related fatalities within the international civil aviation system;

Recognizing that safety is a shared responsibility involving ICAO, Contracting States and all other stakeholders;

Recognizing the safety benefits that can be drawn fro m partnerships between States and industry such as the Commercial Aviation Safety Team (CAST), the European Strategic Safety Initiative (ESSI), the Regional Aviation Safety Group-Pan-American (RASG-PA) and the African and Indian Ocean Islands Safety Enhancement Team (ASET);

Recognizing that the High-level Safety Conference ( 2010) reaffirmed the need for the ICAO safety framework to continuously evolve to ensure its sustained effectiveness and efficiency in the changing regulatory, economic and technical environment;- 6 -

Noting that the expected increase in international civil aviation traffic will result in an increasing number of aircraft accidents unless the accident rate is reduced;

Realizing the need to maintain the public’s confid ence in air transport through the dissemination of safety information;

Recognizing that a proactive approach in which safety risks are identified and managed is of paramount importance to the achievement of further improvements in aviation safety;

Recognizing that regional aviation safety groups shou ld be implemented by ICAO, taking into account the needs of the various regions and buildi ng on the already existing structures and forms of cooperation;

Noting with satisfaction the Global Aviation Safety Roadmap as developed by key industry partners acting as the Industry Safety Strategy Gr oup (ISSG) with ICAO and which forms the basis for the Global Aviation Safety Plan (GASP);

Noting the intent to continuously apply the GASP as a tool to enhance safety by focusing action where it is most needed; and

Noting the unified strategy established by ICAO to resolve safety-related deficiencies:

The Assembly:

1

. Stresses the need for continuous improvement of aviation safety through a reduction in

the number of accidents and related fatalities in air transport operations in all parts of the world, particularly in States where safety records are significantly worse than the worldwide average;

2. Stresses that limited resources of the internati onal aviation community should be used in the first place to support States or regions whose safety performance is not at an acceptable level and where political willingness exists to improve safety oversight functions;

3. Urges Contracting States to support the GASP objectives by:

a) implementing the State Safety Programme (SSP);

b) expeditiously implementing safety management systems across the aviation industry to complement the existing regulatory framework;

c) sharing operational safety intelligen ce among States and relevant aviation stakeholders;

d) ensuring that the travelling public has access to easily understandable safety-related information to enable informed decisions;

e) creating an environment in which th e reporting and sharing of information is encouraged and facilitated and in which reme dial action is undertaken in a timely fashion when deficiencies are reported; and

f) reporting accident and incident data as required to ICAO;- 7 -

4. Urges Contracting States, regional safety overs ight organizations and international organizations concerned to work with all stak eholders to implement the GASP objectives and GASR methodology objectives and to implement these methodologi es to reduce the number and rate of aircraft accidents;

5 . Urges Contracting States to demonstrate the po litical will necessary for taking remedial actions to address deficiencies including those identif ied by Universal Safety Oversight Audit Programme (USOAP) audits and through the application of GASP objectives and the ICAO regional planning

process;

6. Urges States to fully exercise safety oversight of their operators in full compliance with applicable Standards and Recommended Practices (SARPs ), and assure themselves that foreign operators flying in their territory receive adequate oversight from their own State and take appropriate action when necessary to preserve safety;

7. Urges States to develop sustainable safety solutions to fully exercise their safety oversight responsibilities. This can be achieved by sh aring resources, utilizing internal and/or external resources, such as regional and subregional safety ove rsight organizations and the expertise of other States; and

8. Urges Contracting States, the industry and fina ncing institutions to provide the needed support for the coordinated impl ementation of the ICAO Global Aviation Safety Plan, avoiding duplication of efforts.

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

Whereas the primary objective of the Organization continues to be that of ensuring the safety of international civil aviation worldwide;

Whereas Article 37 of the Convention requires each Contracting State to collaborate in securing the highest practicable degree of uniformity in regul ations, standards, procedures and organization in relation to all matters in which such uniformity will facilitate and improve air navigation;

Whereas safety oversight, and the safety of intern ational civil aviation in general, is the responsibility of Contracting States, both collectivel y and individually, it also depends on the active collaboration of ICAO, Contracting States, industry a nd all other stakeholders in the implementation of the Global Aviation Safety Plan (GASP);

Whereas the DGCA/06 Conference made recommendations to allow public access to appropriate information on safety oversight audits and to deve lop an additional mechanism to rapidly resolve significant safety concerns (SSCs) identified under USOAP;

Whereas the High Level Safety Conference (HLSC) 2010 made recommendations for ICAO to develop criteria for the sharing of SSCs with interest ed stakeholders and to assess how the information on SSCs could be shared with the public in a form whic h would allow them to make an informed decision about the safety of air transportation;

Whereas the HLSC 2010 made recommendations for IC AO to enter into new agreements and amend existing agreements for the sharing of confid ential safety information with international entities and organizations in order to reduce the burden on St ates caused by repetitive audits or inspections and to decrease the duplication of monitoring activities;- 8 -

Recalling that the 32nd Session of the Assembly resolved that a Universal Safety Oversight Audit Programme (USOAP) be established, comprising regul ar, mandatory, systematic and harmonized safety oversight audits to be carried out by ICAO;

Whereas the implementation of the USOAP has been a major achievement for aviation safety, successfully meeting the mandate given by Resoluti ons A32-11 and A35-6 and providing the ability to evaluate contracting States’ oversight capabilities and identify areas of improvement;

Recalling that Assembly Resolution A33-8 request ed the Council to ensure the long-term financial sustainability of the USOAP, phasing in a ll of its activities into the Regular Programme budget;

Recalling the objectives of the USOAP, which seeks to ensure that Contracting States are adequately discharging their responsibilities for safety oversight;

Recognizing that it is essential that the USOAP c ontinue to cover all safety-related Annex provisions in order to promote the adequate implementation of safety-related Standards and Recommended Practices;

Recognizing that the Secretary General has taken appropr iate steps to ensure the establishment of an independent quality assurance mechanism to monitor and assess Programme quality;

Recognizing that the effective implementation of St ate action plans is essential to enhance the overall safety of global air navigation;

Recognizing the safety enhancement contributions resulting from audits conducted by international and regional organiza tions, including those organizations that have agreements with ICAO such as the European Aviation Safe ty Agency (EASA), International Air Transport Association (IATA) and European Organisation for the Safe ty of Air Navigation (EUROCONTROL);

Recognizing that transparency and the sharing of safe ty information is one of the fundamental tenets of a safe air transportation system; and

Recognizing that regional safety oversight organizations (RSOOs) have an important role in the USOAP CMA and that, wherever applicable, the word “States” below should be read to include RSOOs:

The Assembly:

1. Expresses its appreciation to the Secretary General on the successful implementation of the USOAP Comprehensive System Approach;

2 . Directs the Secretary General, from 1 January 2011, to evolve the USOAP to a continuous monitoring approach (CMA), which will inco rporate the analysis of safety risk factors and be applied on a universal basis in order to assess States’ oversight capabilities;

3. Directs the Secretary General to ensure that the CMA continues to maintain as core elements the key 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 ;

4. Directs the Secretary General to continue to ensure the maintenance of the quality

assurance mechanism established to monitor and assess Programme quality, and the transparency of all aspects of the continuous monitoring process;

5. Directs the Council to develop criteria for the sharing of SSCs with interested
stakeholders and assess how the information on SSCs c ould be shared with the public in a form which

would allow them to make an informed deci sion about the safety of air transportation;- 9 -

6. Directs the Secretary General to make all safet y oversight-related in formation generated by the CMA available to all Contracting St ates through the ICAO restricted website;

7. Directs the Secretary General to continue to foster coordination and cooperation between USOAP and audit programmes of other organizations related to aviation safety; for the sharing of confidential safety information in order to reduce the burden on States caused by repetitive audits or inspections and to decrease the duplication of monitoring activities;

8. Directs the Secretary General to continue to enhance the Flight Safety Information Exchange (FSIX), for the purpose of facilitating th e sharing of safety-critical information among Contracting States, industry and ot her stakeholders, as appropriate;

9. Calls on all Contracting States able to do so to second qualified and experienced technical staff to ICAO on a long- or short-term basis, with a view to enabling the Organization to continue to successfully implement the Programme;

10. Urges all Contracting States to submit to ICAO, in a timely manner, and keep up to date all the information and documentation requested by ICAO for the purpose of ensuring the effective implementation of the USOAP-CMA;

11 . Urges all Contracting States to cooperate with ICAO and as much as practicable to accept Continuous Monitoring activities scheduled by th e Organization, including audits and validation missions, in order to facilitate the smooth functioning of the USOAP-CMA;

12. Urges all Contracting States to share with other Contracting States critical safety information which may have an impact on the safety of international air navigati on and to facilitate access to all relevant safety information;

13. Encourages Contracting States to make full use of available safety information when performing their safety oversight functions, including du ring inspections as provided for in Article 16 of the Convention;

14. Reminds Contracting States of the need for surveillance of all aircraft operations, including foreign aircraft within their territory and to take approp riate action when necessary to preserve safety;

15 . Directs that the Council report to the next ordinary session of the Assembly on the overall implementation of the USOAP-CMA; and

16. Declares that Resolutions A35-6: Transition to a comprehensive systems approach for audits in the ICAO Universal Safety Oversight Audit Programme (USOAP) and A36-4: Application of a continuous monitoring approach for the ICAO Un iversal Safety Oversight Audit Programme (USOAP) beyond 2010 , as well as articles one to six of A36-2: Unified strategy to resolve safety-related deficiencies have been superseded by this resolution.

A37-6: Runway safety

Whereas runway accidents constitute a large portion of all accidents and have resulted in a great number of fatalities;

Whereas runway excursions are the highest single occurrence category of all accidents over the last ten years for all commercial and general aviati on operations of fixed-wing aircraft above 5 700 kg certified maximum take-off mass;- 10 -

Whereas there are several areas of technological deve lopment underway in the aviation industry that show great promise in the prevention and mitig ation of runway accidents and serious incidents:

The Assembly :

1. Urges States to take measures to enhance runw ay safety, including the establishment of runway safety programmes using a multidisciplinary appr oach, that include at least regulators, aircraft operators, air navigation services providers, aerodrome operators and aircraft manufacturers to prevent and mitigate the effects of runway excursions, runway incursions and other occurrences related to runway safety;

2. Resolves that ICAO shall actively pursue runway safety using a multidisciplinary approach; and

3. Invites States to monitor runway safety events and related precursors as part of the safety data collection and processing system estab lished under their State Safety Programmes.

Associated Practices

1. The runway safety programmes should be based on inter-organizational safety management including the creation of local runway sa fety teams that address prevention and mitigation of runway excursions, runway incursions and ot her occurrences related to runway safety.

2. The Council should further de velop provisions to assist States in establishing runway safety programmes.

3. States should be encouraged to participat e in global and regional seminars and workshops to exchange safety information and best practices on runway safety.

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

Whereas ICAO continues to play its leadership role to reduce serious deficiencies in the AfricaIndian Ocean (AFI) Region which are detrimental to the functioning and further development of international civil aviation;

Noting that actions taken by ICAO under the Comp rehensive Regional Implementation Plan for Aviation Safety in Africa (the AFI Plan) have begun to demonstrate positive progress in enhancing aviation safety in the continent;

Recognizing that success in fully achieving the objectiv es of the AFI Plan mainly depends on the efforts made by the African States themselves;

Recognizing that many Contracting States in the AF I Region, despite the efforts they make, would, in the immediate future, re quire continued technical and/or financial support from ICAO and other stakeholders to comply with the requirement s of the Chicago Convention and its Annexes;

Recognizing that many African States cannot, on their own, support an effective and sustainable national safety oversight system and therefore have to be urged and supported to establish regional safety oversight organizations;- 11 -

Recalling Recommendation 4/5 of the Special Africa-Indian Ocean Regional Air Navigation Meeting (SP AFI/08 RAN) on the establishment of regional accident investigation agencies alongside the development and establishment of regional safety oversight organizations, thus enabling States to meet their in ternational obligations in the ar ea of accident investigation by collaborating and sharing resources;

Noting that ICAO, under its AFI Comprehensive Im plementation Programme (ACIP), has begun to support many African States to establish a Regi onal Safety Oversight Organizations and Regional Accident Investigation Agencies;

Noting the recommendations of the ICAO and AFCA C joint meeting on enhancement of aviation safety in Africa held in N’djamena, Chad on 13 May 2010;

Noting that regional organizations initiated or est ablished in the AFI Region will continue to require ICAO support for the near future and until they are solidly established and self-supporting;

Recognizing the benefit of continuing to coordinate , under the ICAO umbrella, activities of all stakeholders providing assistance to States in the AFI Region;

Recognizing that ICAO will require additional resources to successfully carry out the support it provides to States in the AFI Region; and

Noting that strong Regional Offices would be a pos itive catalyst for the enhancement of aviation safety in the AFI Region:

The Assembly:

1. Welcomes the considerable effort made by Afri can States and regional organizations to enhance aviation safety;

2 . Declares that the implementation of ACIP programme activities will continue within the work programme of the African Regional Offices ;

3. Urges the Secretary General to ensure that the African Regional Offices are provided with the required personnel and financial resources to ensure the effective continuation of the work programme initiated by ACIP;

4. Urges Contracting States of the AFI Region to commit to and accelerate the establishment of regional safety oversight organizati ons and regional accident investigation agencies, where required, and strengthen cooperation across the region in order to make the optimum use of available resources;

5. Instructs the Council to notify States, industry and donors of the priority projects arising from the gap analysis;

6. Urges States, industry and donors to implement priority projects identified by the gap analysis, performed in accordance with the Global Aviation Safety Plan (GASP);

7. Urges States, industry and donors to make contributions in cash and kind towards the implementation of the AFI Plan and instructs the Council to recognize all such contributions;- 12 -

8. Urges African States, ICAO and AFCAC to jointly address deficiencies identified through the safety oversight audits and implemen t the recommendations made by the ICAO/AFCAC joint meeting on aviation safety in Africa;

9. Instructs the Council to monitor the implementati on of the recommendations of the joint ICAO/AFCAC meeting on aviation safety in Africa;

10. Instructs the Council to ensure a stronger ICAO leadership role in coordinating activities, initiatives and implementation strategies aimed specifica lly at implementing priority projects to achieve sustainable improvement of flight safety in the AFI Region and to allocate resources to the relevant Regional Offices accordingly;

11. Instructs the Council to monitor and measure the status of implementation in the AFI Region throughout the triennium and to report to th e next ordinary session of the Assembly on the progress made; and

12. Declares that this resolution supersedes Resolution A36-1.

A37-8: Regional cooperation and a ssistance to resolve safety-related

deficiencies

Whereas a primary objective of the Organization continues to be that of ensuring the safety of international civil aviation worldwide;

Whereas ensuring the safety of international civil avia tion is also the responsibility of Contracting States both collectively and individually;

Whereas in accordance with Article 37 of the Convention on International Civil Aviation each Contracting State undertakes to collaborate in securi ng the highest practicable degree of uniformity in regulation, standards, procedures a nd organization in relation to aircra ft, personnel, airports, airways and auxiliary services in all matters in which uniform ity will facilitate and improve air navigation;

Whereas the improvement of the safety of international civil aviation on a worldwide basis requires the active collaboration of all stakeholders;

Whereas the Convention and its Annexes provide the legal and operational framework for Contracting States to build a civil aviation safety syst em based on mutual trust and recognition, requiring that all Contracting States implement the SARPs as far as practicable and adequately perform safety oversight;

Whereas the results of the Universal Safety Oversi ght Audit Programme (USOAP) indicate that several Contracting States have not yet been able to establish a satisfactory national safety oversight

system;

Whereas ICAO plays a leadership role in facilitating the implementation of SARPs and the rectification of safety-related deficiencies;

Whereas the High-level Safety Conference (2010) re commended that States should support ICAO in efforts to foster the development and sustainab ility of regional safety oversight organizations and should participate and actively support regional safet y oversight organizations whenever possible;- 13 -

Whereas ICAO has a Policy on Regional Cooperati on which is committed to render assistance, advice and any other form of support, to the extent possible, in the technical and policy aspects of international civil aviation to Contracting States in carrying out their responsibilities pertaining to the

Convention on International Civil Aviation and ICAO Strategic Objectives, inter alia by promoting regional cooperation through close part nerships with regional organiza tions and regional civil aviation bodies;

Recognizing that not all Contracting States have the requisite human, technical and financial resources to adequately perform safety oversight;

Recognizing that the establishment of subregional a nd regional aviation safety and safety oversight bodies, including regional safety oversight organizations, has great potential to assist States in complying with their obligations under the Ch icago Convention through economies of scale and harmonization on a larger scale; and

Recognizing that the assistance available to Contrac ting States experiencing difficulties in correcting deficiencies identified through the safety oversight audits would be greatly enhanced by coordination amongst all Contracting States, ICAO and other concerned parties in civil aviation operations:

The Assembly:

1. Directs the Council to promote the concept of regional cooperation for the purpose of enhancing safety and safety oversight, including the establishment of regional safety oversight organizations;

2. Directs the Council to continue to partner with Contracting States, industry and other

stakeholders for coordinati ng and facilitating the prov ision of financial and technical assistance to States and subregional and regional safety and safety over sight bodies, including regional safety oversight organizations, in order to enhance safety and strengthen safety oversight capabilities;

3. Directs the Council to continue the analysis of relevant safety-critical information for determining effective means of providing assistance to States and subregional and regional safety and safety oversight bodies, including regional safety oversight organizations;

4. Directs the Council to continue implemen ting an Implementation Support and Development – Safety (ISD-Safety) Programme to provide assistance to States and subregional and regional safety and safety oversight bodies, in cluding regional safety oversight organizations;

5. Urges Contracting States to develop and furt her strengthen regional and sub-regional cooperation in order to promote the highest degree of aviation safety;

6. Encourages Contracting States to foster the creation of regional or sub-regional partnerships to collaborate in the development of solutions to common problems to build State safety oversight capability, and to participate in, or provide tangible support for, the strengthening and furtherance of subregional and regional aviation saf ety and safety oversight bodies, including regional safety oversight organizations;

7. Encourages Contracting States to establish partnershi ps with other States, industry, air navigation service providers, financia l institutions and other stakeholde rs to strengthen safety oversight capabilities, in order to better discharge State respons ibilities and foster a safer international civil aviation

system;- 14 -

8. Requests the Council to report to the next ordinary session of the Assembly on the overall implementation of the Programme; and

9. Declares that this resolution supersedes Resolutions A36-2 and A36-3.

A37-9: Halon replacement

Whereas halons contribute to climate change and ar e no longer being produced by international agreement because they are ozone-dep leting chemicals, and have been used as fire-extinguishing agents in commercial transport aircraft for 45 years;

Recognizing that more needs to be done because the available halon supplies are dwindling and that the environmental community continues to be concerned that halon alternatives have not been developed for all fire extinguishing systems in civil aircraft;

Recognizing that the Minimum Performance Standard fo r each application of halon has been developed already by the International Aircraft Syst ems Fire Protection Working Group with participation by industry and regulatory authorities;

Recognizing that there are stringent aircraft-specific requirements for each application of halon

that must be met before a re placement can be implemented;

Recognizing that the production and import/export of halon is prohibited by international agreement, thus halon is mainly available by recyc ling existing supplies. Thus recycling of halon gas needs to be rigorously controlled to prevent the possi bility of contaminated halon being supplied to the aviation industry;

Recognizing that any strategy must depend on alternatives that do not pose an unacceptable environmental or health risk as compared to the halons they are replacing; and

Recognizing that while halon alternatives for lavatori es are available, and that progress has been made in the development of halon a lternatives in hand-held fire extinguish ers, more work is needed in the development of halon alternatives for cargo comp artment and engine/auxiliary power unit fire extinguishing systems, and that regular reviews are necessary to evaluate and understand the implication of potential halon alternatives on the industry and the environment:

The Assembly:

1. Agrees with the urgency of the need to con tinue developing and implementing halon alternatives for civil aviation;

2. Urges States to intensify development of acceptable halon alternatives for fire extinguishing systems in cargo compartments and engi ne/auxiliary power units, and to continue work towards improving halon alternatives for hand-held fire extinguishers;

3. Directs the Council to establish a mandate for the replacement of halon:

— in lavatory fire extinguishing systems used in aircraft produced after a specified date in the 2011 timeframe;

— in hand-held fire extinguishers used in airc raft produced after a specified date in the 2016 timeframe; and- 15 -

— in engine and auxiliary power unit fire extinguishing systems used in aircraft for which application for type certification will be submitted after a specified date in the 2014 timeframe;

4. Directs the Council to conduct regular reviews of th e status of potential halon alternatives to support the agreed upon implementation dates give n the evolving situation regarding the suitability of potential halon alternative agents as they continue to be identified, tested, certified and implemented;

5. Urges States to advise their aircraft manufactur ers, approved maintenance organizations, air operators, chemical suppliers, and fire-extinguishi ng companies to verify the quality of halon in their possession or provided by suppliers through effective tes ting or certification to an international or State recognized quality standard. States are also urged to require that the quality systems of air operators, approved maintenance organizations , and manufacturers provide a means for requesting from halon suppliers certification documentation attesting to the quality of halon to an established and recognized international standard;

6. Encourages ICAO to continue collaboration with the International Aircraft Systems Fire Protection Working Group and the United Nations E nvironment Programme’s (UNEP) Ozone Secretariat through its Technology and Economic Assessment Panel’s Halons T echnical Options Committee on the topic of halon alternatives for civil aviation;

7. Urges States to inform ICAO regularly of their halon reserves and directs the Secretary General to report the results to the Council. Further, the Council is directed to report on the status of halon reserves at the next ordinary session of the Assembly;

8. Resolves that the Council shall report to the next ordinary session of the Assembly on progress made developing halon alternatives for cargo co mpartments and engine/auxiliary power unit fire extinguishing systems as well as the status of halon alternatives for hand-held fire extinguishers; and

9. Declares that this resolution supersedes Resolution A36-12.

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

communications

Whereas to prevent accidents, ICAO introduced language provisions to ensure that air traffic personnel and pilots are proficie nt in conducting and comprehending radiotelephony communications in the English language, including requirements that the E nglish language shall be available on request at all stations on the ground serving designated airports and routes used by international air services;

Recognizing that the language provisions reinforce th e requirement to use ICAO standardized phraseology in all situations fo r which it has been specified;

Recognizing that Contracting States have made substan tial efforts to comply with the language proficiency requirements;

Recognizing that some Contracting States encounter considerable difficulties in implementing the language proficiency requirements including the est ablishment of language training and testing capabilities;

Recognizing that some Contracting States required a dditional time to implement the language proficiency provisions beyond the applicability date;- 16 -

Whereas in accordance with Article 38 of the Conven tion any Contracting State which finds it impracticable to comply in all resp ects with any international standard or procedure is obliged to give immediate notification to ICAO;

Whereas in accordance with Article 39 b) of th e Convention any person holding a licence not satisfying in full the conditions laid down in the inte rnational standard relating to the class of licence or certificate held, shall have endorsed on or attached to the licence all the particulars in which this person does not satisfy such conditions; and

Whereas pursuant to Article 40 of the Convention no personnel having certificates or licences so endorsed shall participate in international navigation, except with the permission of the State or States whose territory is entered:

The Assembly:

1. Urges the Contracting States to use ICAO standard ized phraseology in all situations for which it has been specified;

2. Directs the Council to continue to support Contracting States in their implementation of the language proficiency requirements;

3. Urges Contracting States to assist each other in their implementation of the language proficiency requirements;

4. Urges Contracting States that have not co mplied with the language proficiency requirement by the applicability date to post their language proficiency implem entation plans including their interim measures to mitigate risk, as required, for pilots, air traffic controllers and aeronautical station operators involved in international operati ons on the ICAO website as outlined in accordance with the associated practices below and ICAO guidance material;

5. Urges Contracting States to waive the permi ssion requirement under Article 40 of the Convention, in the airspace under their jurisdiction fo r pilots who do not yet meet the ICAO Language Proficiency Requirements, for a period not exceeding three years after the applicability date of 5 March 2008, provided that the States which issu ed or rendered valid the licences have made their implementation plans available to all other Contract ing States and have notified ICAO of the differences pertaining to language provisions;

6. Urges Contracting States not to restrict their operators, conducting commercial or general aviation operations, from entering the airspace under th e jurisdiction or responsibility of other States where air traffic controllers or radio station ope rators do not yet meet the language proficiency requirements for a period not exceeding three years afte r the applicability date of 5 March 2008, provided that those States have made their implementation plan s available to all other Contracting States and have notified ICAO of the differences pertaining to language provisions;

7. Urges Contracting States not yet fully compliant on 5 March 2011 to continue to provide ICAO with regularly updated implementation plan s including progress achieved in meeting their timelines for full compliance;

8. Urges Contracting States after 5 March 2011 to ta ke a flexible appro ach towards States that do not yet meet the Language Proficiency Requirements, yet are making progress as evidenced in their implementation plans. Decisions concerni ng operations should be ma de on a non-discriminatory basis and not be made for the purpose of gaining economic advantage;- 17 -

9. Directs the Council to monitor the status of im plementation of the Language Proficiency Requirements and take necessary actions to advance saf ety and maintain the regularity of international civil aviation;

10. Requests the Council to submit to the next ordinary session of the Assembly a report regarding the implementation of the ICAO language proficiency requirements; and

11. Declares that this resolution supersedes Resolution A36-11.

Associated practices

Contracting States that did not meet the Langua ge Proficiency Requir ements by 5 March 2008

should:

1. Develop implementation plans for the Langua ge Proficiency Requirements that include the following:

a) a timeline for adoption of the Language Pr oficiency Requirements in their national regulations;

b) a timeline for establishment of language training and assessment capabilities;

c) a description of a risk-based prioritization sy stem for the interim measures to be put in place until full compliance with the Language Proficiency Requirements is achieved;

d) timelines, with identifiable milestones, for full implementation of the Language Proficiency Requirements;

e) a procedure for endorsing licences to indicat e the holders’ language proficiency level;

and

f) designation of a national focal point in rela tion to the English language proficiency implementation plan;

2. Make their language proficiency implementa tion plans available to all other Contracting States by posting their plans on the ICAO website and update them on a regular basis until full implementation has been achieved;

3. Notify ICAO of differences to the langua ge proficiency Standards and Recommended Practices; and

4. Publish differences to the Language Proficie ncy Requirements in relation to the provision of air navigation services in their Aero nautical Information Publications.

A37-11: Performance-based navigation global goals

Whereas a primary objective of ICAO is that of ensu ring the safe and efficient performance of the global Air Navigation System;

Whereas the improvement of the performance of the air navigation system on a harmonized, worldwide basis requires the active collaboration of all stakeholders;- 18 -

Whereas the Eleventh Air Navigation Conference recommended that ICAO, as a matter of urgency, address and progress the issues associated w ith the introduction of area navigation (RNAV) and required navigation performance (RNP);

Whereas the Eleventh Air Navigation Conference recommended that ICAO develop RNAV procedures supported by global navigation satellite system (GNSS) for fixed wing aircraft, providing high track and velocity-keeping accuracy to maintain separation through curv es and enable flexible approach line-ups;

Whereas the Eleventh Air Navigation Conference recommended that ICAO develop RNAV procedures supported by GNSS for both fixed and rota ry wing aircraft, enabling lower operating minima in obstacle-rich or otherwise constrained environments;

Whereas Resolution A33-16 requested the Council to develop a programme to encourage States to implement approach procedures with vertical guidance (APV) utilizing such inputs as GNSS or distance measuring equipment (DME)/DME, in accordance with ICAO provisions;

Recognizing that not all airports have the infrastructur e to support APV operations and not all aircraft are currently capable of APV;

Recognizing that many States already have the requisite infrastructure and aircraft capable of performing straight-in approaches with lateral guidance (LNAV approaches) based on the RNP specifications and that straight in approaches provi de demonstrated and significant safety enhancements over circling approaches;

Recognizing that the Global Aviation Safety Plan h as identified Global Safety Initiatives (GSIs) to concentrate on developing a safety strategy for the future that includes the effective use of technology to enhance safety, consistent adop tion of industry best practices, alignment of global industry safety strategies and consistent regulatory oversight;

Recognizing that the Global Air Navigation Plan has identified Global Plan Initiatives (GPIs) to concentrate on the incorporation of advanced airc raft navigation capabilities into the air navigation system infrastructure, the optimization of the terminal control area through improved design and management techniques, the optimization of the term inal control area through implementation of RNP and RNAV SIDs and STARs and the optimization of te rminal control area to provide for more fuel efficient aircraft operations through FMS-based arrival procedures; and

Recognizing that the continuing development of diverg ing navigation specifications would result in safety and efficiency impacts and penalties to States and industry;

Noting with satisfaction that planning and implementati on regional groups (PIRGs) have completed regional PBN implementation plans; and

Recognizing that not all States have developed a PBN im plementation plan by the target date of

2009:

The Assembly:

1. Urges all States to implement RNAV and RNP air traffic services (ATS) routes and approach procedures in accordance with the ICAO PBN concept laid down in the Performance-based Navigation (PBN) Manual (Doc 9613);- 19 -

2. Resolves that:

a) States complete a PBN implementation plan as a matter of urgency to achieve:

1) implementation of RNAV and RNP operations (where required) for en route and terminal areas according to established timelines and intermediate milestones;

2) implementation of approach procedures with vertical guidance (APV) (Baro-VNAV and/or augmented GNSS), including LNAV only minima, for all instrument runway ends, either as the primary approach or as a back-up for precision approaches by 2016 with intermediate milestones as follows: 30 per cent by 2010, 70 per cent by 2014; and

3) implementation of straight-in LNAV only procedures, as an exception to 2) above, for instrument runways at aerodro mes where there is no local altimeter setting available and where there are no aircraft suitably equipped for APV operations with a maximum certificated ta ke-off mass of 5 700 kg or more;

b) ICAO develop a coordinated action plan to assist States in the implementation of PBN and to ensure development and/or ma intenance of globally harmonized SARPs, Procedures for Air Navigation Services (PANS) and guidance material including a global harmonized safety assessment met hodology to keep pace with operational demands;

3. Urges that States include in their PBN implementation plan provisions for implementation of approach procedures with vertical guidance (APV) to all runway end serving aircraft

with a maximum certificated take-off mass of 5 700 kg or more, according to established timelines and intermediate milestones;

4. Instructs the Council to provide a progress repor t on PBN implementation to the next ordinary session of the Assembly, as necessary;

5. Requests the Planning and Implementation Regional Groups (PIRGs) to include in their work programme the review of status of implementation of PBN by States according to the defined implementation plans and report annually to IC AO any deficiencies that may occur; and

6. Declares that this resolution supersedes Resolution A36-23.

A37-12: ICAO global planning for sustainability

Whereas the enhancement of the efficiency of aviati on operations is a key element of the ICAO Strategic Objectives;

Having adopted Resolution A35-15, a consolidated st atement of continuing ICAO policies and practices related to a global air traffic management (ATM) system and communications, navigation and surveillance/air traffic management (CNS/ATM) systems;

Noting the acceptance of 30 November 2006 by the Council of the new version of the Global Air Navigation Plan (GANP); and

Recognizing that many States are developing new generation plans for their own air navigation

modernization:- 20 -

The Assembly :

1. Instructs the Council to amend the GANP to incl ude a framework that will allow ICAO to easily analyze the impact of States’ air navigation modernization plans on the global system and then take appropriate action as needed to ensure global harmonization;

2. Calls upon States, planning and implementation re gional groups (PIRGs) and the aviation industry to utilize the guidance provided in the GANP for planning and implementation activities;

3. Urges Contracting States, industry and financ ing institutions to provide the necessary support for coordinated implementation of th e GANP, avoiding duplication of effort;

4. Urges States that are developing new generation plans for their own air navigation modernization to share their plans in a timely ma nner with ICAO to ensure global compatibility and harmonization;

5. Instructs the Council to ensure that the GANP is continuously maintained up to date in light of further operational and technical developm ents, in close collaboration with States and other stakeholders; and

6. Instructs the Council to organize a Twelfth Air Navigation Conference in 2012, to develop longer-term planning for ICAO based on an update of the GANP.

A37-13: Prevention of spread of co mmunicable disease through air travel

Whereas Article 14 of the Convention on International Civil Aviation states that ‘Each contracting State agrees to take effective measures to prevent the spread by means of air navigation of cholera, typhus (epidemic), smallpox, yellow fever, plague, and such other communicable diseases as the contracting States shall from time to time decide to d esignate, and to that end contracting States will keep in close consultation with the ag encies concerned with international regulations relating to sanitary measures applicable to aircraft’;

Whereas Article 14(1) of the World Health Organiza tion International Health Regulations (2005) states that ‘WHO shall cooperate and coordinate its activities, as appropriate, with other competent intergovernmental organizations or international bodies in the im plementation of these Regulations, including through the conclusion of agre ements and other similar arrangements’;

Whereas ICAO Resolution A35-12 states that ‘the prot ection of the health of passengers and crews on international flights is an integral element of safe air travel and that conditions should be in place to ensure its preservation in a timely and cost-effective manner’;

Whereas Article 44 of the Convention on Internationa l Civil Aviation states that ‘The aims and objectives of the Organization are to develop the principles and techniques of international air navigation and to foster the planning and development of interna tional air transport so as to ...[m]eet the needs of the peoples of the world for safe, regular, efficient and economical air transport’;

Whereas Annex 6 – Operation of Aircraft , Annex 9 – Facilitation , Annex 11 – Air Traffic
Services, Annex 14 – Aerodromes , Volume I — Aerodrome Design and Operations to the Convention on

International Civil Aviation and the Procedures for Air Navigation Service – Air Traffic Management (Doc 4444) contain several Standards and Recommended Pr actices and Procedures relating to health measures that should be taken by Contracting States to manage public health emer gencies of international concern and to prevent the spread of communicable disease by air travel; and- 21 -

Whereas the ICAO Cooperative Arrangement for the Prevention of Spread of Communicable Disease through Air Travel (CAPSCA) project is an appropriate measure to improve and harmonize preparedness plans:

The Assembly:

1. Urges Contracting States and regional safety oversight organizations to ensure that the public health sector and the aviation sector collabor ate to develop a national preparedness plan for aviation which addresses public health emergencies of in ternational concern and which is integrated with the general national preparedness plan;

2. Urges Contracting States to develop a national pr eparedness plan for av iation that is in compliance with the World Health Organization Intern ational Health Regulations (2005) and which are based on scientific principles and on the guidelines from ICAO and the World Health Organization;

3. Urges Contracting States, and regional safety ov ersight organizations as appropriate, to establish requirements for the involvement of stakeholde rs such as airport operators, aircraft operators and air navigation service providers in the development of a national preparedness plan for aviation; and

4. Urges Contracting States to join and participat e in the Cooperative Arrangement for the Prevention of Spread of Communicable Disease through Air Travel (CAPSCA) project, where available, to ensure that its goals are achieved, unl ess equivalent measures are already in place.

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

Whereas ICAO Assemblies have demonstrated a concern for the quality of life and the environment in which human beings work and live, including matters related to engine emissions, the ozone layer, aircraft noise, sm oking and invasive alien species;

Whereas the 35th session of the Assembly declared that ‘the protection of the health of passengers and crews on international flights is an inte gral element of safe air travel and that conditions should be in place to ensure its preservation in a timely and cost-effective manner’;

Whereas the 2005 revisions to the International H ealth Regulations, which strengthen public health security in travel and transportation and mi nimize public health risk, expanded the definition of disinsection to include the control as well as the killing of insect vectors;

Whereas concern has been expressed that the current practice by some States of requiring the use

of insecticides to disinsect aircraft can result in disco mfort and adverse health effects to aircraft crews and passengers, which may potentially r esult in a medical emergency;

Whereas there are conflicting reports concerning the efficacy of insecticides used for disinsection and the effectiveness of existing insec ticide-based disinsection protocols;

Whereas recent outbreaks of vector borne diseases highlig ht the need to control the transportation of insect vectors by air; and

Whereas some recently conducted research has show n non-chemical methods of disinsection to be efficacious in preventing mosquitoes and ot her flying insects from entering an aircraft:- 22 -

The Assembly:

1. Requests that the Council urge the World Health Organization to continue to explore methods of disinsection of the cabin and flight deck in which:

a) information on advances of both chemical and non-chemical disinsection is reviewed;

b) the efficacy and safety of non-chemical disi nsection are compared with the efficacy and safety of pesticide based disinsection; and

c) recommendations are made on acceptable disinsection practices;

2. Requests the Council to encourage the exploration of non-chemical approaches to aircraft disinsection of the cabin and flight deck;

3. Encourages Contracting States to allow the evaluation of non-chemical aircraft disinsection technology on flights over their terr itories, without prejudice to existing disinsection requirements;

4. Encourages Contracting States, in collaboration w ith the World Health Organization, to develop and adopt performance based criteria for disinsection requirements;

5. Urges Contracting States to ensure that aircraft operators are made aware of requirements for aircraft disinsection. Information provided should include whether or not the State requires disinsection, for which routes, and which methods of disinsection are acceptable;

6. Requests the Council to report on the implementa tion of this Resolution at the next ordinary session of the Assembly; and

7. Declares that this Resolution supersedes Resolution A36-24.

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

Whereas in Resolution A15-9 the Assembly resolv ed to adopt in each session for which a

Technical Commission is established a consolidated st atement of continuing policies related specifically to air navigation up to date as at the end of that session;

Whereas a statement of continuing policies and ass ociated practices related specifically to air navigation as they existed at the end of the 36th Sessi on of the Assembly was adopted by the Assembly in

Resolution A36-13 1 , Appendices A to W inclusive;

Whereas the Assembly has reviewed proposals by the Council for the amendment of the statement of continuing policies and associated pr actices in Resolution A36-13, Appendices A to W inclusive, and has amended the statement to refl ect the decisions taken during the 37th Session; and

Whereas the statement of continuing policies in Resolution A36-13 is hereby superseded:

1 The full text of Resolution A36-13 and it s appendices appears on pages II-2 to II-24 of Assembly Resolutions in Force (as of

28 September 2007) (Doc 9902).- 23 -

The Assembly :

1. Resolves that:

a) the Appendices attached to this resoluti on constitute the consolidated statement of continuing air navigation policies and associated practices of the Organization as they exist at the close of the 37th Session of the Assembly; and

b) the practices associated with the indi vidual policies in the appendices constitute guidance intended to facilitate and ensure implementation of the respective policies;

and

2. Declares that this resolution supersedes Reso lution A36-13 with its Appendices A to W

inclusive.

APPENDIX A

Formulation of Standards and Recommended Practices (SARPs) and Procedures for Air Navigation Services (PANS)

. . .

7. The applicability dates of amendments to SARPs and PANS shall be so established as to allow the Contracting States sufficient time for their implementation;

8. No Annex or PANS document shall be am ended more frequently than once per calendar

year.

Associated practices

1. The Council should ensure that provis ions of SARPs and PANS are completely consistent with each other. Furthermore, the Council should endeavour to improve the processing, presentation and usefulness of ICAO documents contai ning SARPs, PANS and other related provisions, especially for complex systems and their associated a pplications. To that end the Council should promote the development and upkeep of broad system-level , functional and performance requirements. The Council should continue seeking the most appropriate means of development, translation, processing and dissemination of technical specifications.

2. Contracting States should comment fully and in detail on the proposals for amendment of SARPs and PANS or at least should express their ag reement or disagreement on their substance. They should be allowed at least three months for this pu rpose. Furthermore, Contracting States should receive at least 30 days of notification of the intended approv al or adoption of detailed material on which they are

not consulted.

3. Contracting States should be allowed a full three months for notifying disapproval of adopted SARPs amendments; in establishing a date fo r notifying disapproval the Council should take into account the time needed for transmission of the adopte d amendments and for receipt of notifications from

States.

. . .- 24 -

APPENDIX O

Coordination and cooperation of civil and military air traffic

Whereas the airspace is a resource common to both civil and military aviation, and given that many air navigation facilities and services are provide d and used by both civil and military aviation;

Whereas the Preamble of the Convention on International Civil Aviation stipulates that signatories thereto had “agreed on certain principles a nd 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 oppor tunity and operated s oundly and economically”;

Whereas Article 3 a) of the Convention states that “the Convention shall be applicable only to civil aircraft, and shall not be appli cable to state aircraft” and Article 3 d) requires that “contracting States undertake, when issuing regulations for their stat e aircraft, that they will have due regard for the safety of navigation of civil aircraft”;

Recognizing that growing civil air traffic and mission-oriented military air traffic would benefit greatly from a more flexible use of airspace used fo r military purposes and that satisfactory solutions to the problem of cooperative access to airspace have not evolved in all areas;

Whereas the flexible use of airspace by both civil an d military air traffic may be regarded as the ultimate goal, improvement in civil/military coordinati on and cooperation, offers an immediate approach towards more effective airspace management; and

Recalling that the ICAO Global ATM Operational Concept states that all airspace should be a usable resource, any restriction on the use of any particular volume of airspace should be considered transitory, and all airspace should be managed flexibly:

The Assembly resolves that:

1. the common use by civil and military avia tion of airspace and of certain facilities and services shall be arranged so as to ensure the safety, regularity and efficiency of civil aviation as well as to ensure the requirements of military air traffic are met;

2. the regulations and procedures established by Contracting States to govern the operation of their state aircraft over the high seas shall ensure that these operations do not compromise the safety, regularity and efficiency of international civil air traffic and that, to the extent practicable, these operations comply with the rules of the air in Annex 2;

3. the Secretary General shall provide gui dance on best practices for civil/military coordination and cooperation;

4. Contracting States may include, when appr opriate, representatives of military authorities in their delegations to ICAO meetings; and

5. ICAO serves as an international forum th at plays a role in facilitating improved civil/military cooperation, collaboration and the shari ng of best practices, and to provide the necessary follow-up activities that build on the success of the Global Air Traffic Management Forum on Civil/Military Cooperation (2009) with th e support of civil/military partners.- 25 -

Associated practices

1. Contracting States should as necessary in itiate or improve the coordination and cooperation between their civil and military air tra ffic services to implement the policy in Resolving

Clause 1 above.

2. When establishing the regulations and procedures mentioned in Resolving Clause 2, the

State concerned should coordinate the matter with a ll States responsible for the provision of air traffic services over the high seas in the area in question.

3. The Council should ensure that the matte r of civil and military coordination and cooperation in the use of airspace is included, when appropriate, in the agenda of divisional and regional meetings, in accordance with Resolving Clauses 3, 4 and 5 above.

APPENDIX P

The provision of adequate aerodromes

Whereas major improvements to the physical characteristics of aerodromes are required at many locations;

Whereas in certain cases these improvements will i nvolve considerable ou tlay and it would be inadvisable to plan such work without taking into account future developments;

Whereas States and aerodrome authorities will continue to need to know the general trends in aerodrome requirements which succeeding generatio ns of aircraft will most likely produce;

Whereas many serious problems can be avoided if the operating requirements of new aircraft are such as to permit them to operate economically without further demands on the physical characteristics of aerodromes;

Whereas the operation of aerodromes has many advant ages, environmental considerations have imposed limitations upon the operation of aircraft at some locations. In view of the capacity problems currently experienced globally, account should be taken of the introduction into service of newer quieter aircraft; and

Whereas there is a growing trend for aerodromes to be operated by autonomous entities, the obligation of States to ensure safe aerodr ome facilities and services remains unaffected:

The Assembly resolves that:

1. the technical requirements for aerodromes shall be kept under review by the Organization;

2. there is a need for future generations of airc raft to be designed so that they are capable of being operated efficiently, and with the least possi ble environmental disturbance, from aerodromes used for the operation of present-day aircraft;

3. States shall undertake certification of aerodromes;

4. States should ensure that safety manageme nt systems are introduced at their aerodromes;

and

5. States should place greater emphasis on the management of aerodrome operations, with runway safety given a high priority.- 26 -

Associated practices

1. In the light of the results of the continuing review mentioned in Resolving Clause 1 above, the Council, taking into account the requireme nt to improve still further existing safety levels,

should:

a) develop additional guidance ma terial on future developments;

b) develop procedures for the mana gement of aerodrome operations; and

c) keep Contracting States informed of developments.

2. The Council should continue to draw the atte ntion of aircraft manufacturers and operators to the policy expressed in Resolving Clause 2.

. . .

APPENDIX U

Cooperation among Contracting States in investigations of certain aircraft accidents

Whereas it is incumbent on the State in which an accident occurs to institute an inquiry into the circumstances of the accident in conformity with Article 26 of the Convention;

Whereas , owing to the growing sophistication and comp lexity of modern aircraft, the conduct of an accident investigation requires participation by experts from many specialized technical and operational fields and access to specially equipped facilities for investigation;

Whereas many Contracting States do not have such specialized technical and operational expertise and appropriate facilities;

Whereas it is essential for flight safety and accident prevention that acci dents be thoroughly investigated and reported and that the effectiveness of the investigations should not be unduly hampered by considerations of cost; and

Whereas the costs of salvage and investigation of major aircraft accidents may place a heavy

financial burden on the resources of the State where the accident occurred:

The Assembly resolves to recommend that Contracting States cooperate in the investigation of major aircraft accidents or accidents in which the i nvestigation requires highly specialized experts and facilities and that to this end Contracting States and regional safety oversight organizations, to the extent possible, inter alia :

a) provide, on request by other Contracti ng States, expert assistance and facilities for the investigation of major aircraft accidents; and

b) afford opportunity to Contracting States seeking investigation experience to attend investigations of major aircraft accidents, in the interest of developing and furthering investigation expertise.- 27 -

Associated practices

1. Contracting States should be encouraged to support the convening of regional accident investigation workshops with a view to exchanging information on each State’s investigation legislation and procedures, on the sharing of knowledge and expe rtise in investigation management and techniques, on the availability of experts and facilities and on pr actices in dealing with encountered accident investigation difficulties.

2. Contracting States should be encouraged to f acilitate the participation of investigators of accident investigation authorities as observers in inv estigations in other States for training purposes and

orientation visits.

3. Contracting States and regional safety overs ight organization should be encouraged to assess their needs and capabilities in the field of aircraft accident inv estigation and prevention with a view to developing training curricula for basic accident investigation and prevention courses. The use of regional training centres for such courses should be fu lly explored as well as the incorporation of the TRAINAIR methodology which provides for in ternationally standardized training.

4. Contracting States should be encouraged to refer to the model Memorandum of Understanding (MOU) developed by ICAO in 2007 for use by States to encourage mutual cooperation during the investigation of aircraft accidents and ser ious incidents. The model MOU is available on the

ICAO FSIX website.

. . .

A37-16: The Safety Fund (SAFE)

Whereas under Article 44 of the Convention on International Civil Aviation the aims and objectives of ICAO inter alia are to foster planning and development of international air transport so as to ensure the safe and orderly growth of international civil aviation, meet the needs of the people of the world for safe, regular and economical air transport, and promote safety of flight in international air navigation;

Whereas Articles 69 to 76 of the Convention provide that the Council may make arrangements as appropriate with a view to finding means for the im provement of air navigation facilities of Contracting States as required so as to ensure safe, regular, effi cient and economical operation of international air services;

Whereas , under Article 70 of the Convention, the Council may, in the circumstances arising under the provision of Article 69, make arrangements w ith Contracting States relating to the financing of air navigation facilities;

Considering that, in some cases, Contracting Stat es may not have access to the necessary resources for improvements to their air navigation faciliti es, in particular for the remedy of safety-related deficiencies identified through the ICAO Universal Safety Oversight Audit Programme (USOAP);

Whereas most developing States experience difficulties in gaining access to many financial market sources, particularly foreign capital markets, for funding their airport and air navigation services infrastructure, including safety-related components of that infrastructure;

Whereas the High-level Safety Conference (HLSC) 2 010 identified several States and regions of

the world that are in need of assist ance in the development of sustainable levels of aviation safety, and particularly in the development of funding models th at would guarantee sustainability in the provision of infrastructure and services for adequate air transport activity;- 28 -

Whereas the HLSC 2010 made a recommendation th at ICAO should work with States and Regional Organizations requiring assistance to devel op appropriate funding models to ensure the sustainable provision of infrastructure and services based on the level of activity for adequate air transport activity; and

Whereas the Council decided to establish the Safety Fund (SAFE) with the objective of improving the safety of civil aviation through the us e of a performance-based approach which will limit administrative costs and will not impose any costs on the Regular Programme Budget of the Organization, while ensuring that voluntary contributions to the fund are used in a responsible, useful and timely manner:

The Assembly:

1. Expresses appreciation to Contracting States and international organizations for their contributions to ICAO Funds associated with improving the safety of civil aviation;

2. Urges Contracting States, international organi zations and public and private parties

associated with international civil aviation to make voluntary contributions to SAFE;

3. Requests that the Council support the smooth func tioning of the SAFE through consistent monitoring of progress made by the SAFE in funding safety-related projects; and

4. Requests that the Council make every effort to attract contributions to the SAFE from

States and other contributors.

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

unlawful interference

Whereas it is considered desirable to consolidate As sembly resolutions on the policies related to the safeguarding of international civil aviation agains t acts of unlawful interference in order to facilitate their implementation and practical application by making their texts more readily available, understandable and logically organized;

Whereas in Resolution A36-20 the Assembly resolved to adopt at each session a consolidated statement of continuing ICAO policies related to the safeguarding of international civil aviation against acts of unlawful interference; and

Whereas the Assembly has reviewed proposals by the Council for the amendment of the consolidated statement of continuing ICAO policies in Resolution A36-20, Appendices A to H inclusive,

and has amended the statement to reflect the decisions taken during the 37th Session:

The Assembly:

1. Resolves that the Appendices attached to this resolution constitute the consolidated statement of continuing ICAO policies related to the safeguarding of international civil aviation against acts of unlawful interference, as these policies exist at the close of the 37th Session of the Assembly;

2. Resolves to request that the Council submit for review at each ordinary session a consolidated statement of continuing ICAO policies re lated to the safeguarding of international civil aviation against acts of unlawful interference; and

3. Declares that this resolution supersedes Resolution A36-20.- 29 -

APPENDIX A

General policy

Whereas the development of international civil avia tion can greatly help to create and preserve friendship and understanding among the nations and peoples of the world, yet its abuse can become a threat to general security;

Whereas acts of unlawful interference against civil aviation have become the main threat to its safe and orderly development;

Whereas the threat of terrorist acts, including those posed by the use of aircraft as a weapon of destruction, by the targeting of aircraft by man-portable air defence systems (MANPADS), other surface-to-air missiles systems, light weapons and rocket-propelled grenades, by carrying on board liquids, gels and aerosols as component parts of an improvised explosive device, by sabotage or attempted sabotage using an improvised explosive device, by the unlawful seizure of aircraft, or by attack on

aviation facilities and other acts of unlawful interfere nce against civil aviation, has a serious adverse effect on the safety, efficiency and regularity of in ternational civil aviation, endangering the lives of persons on board and on the ground and undermining the confidence of the peoples of the world in the safety of international civil aviation;

Whereas all acts of unlawful interference against in ternational civil aviation constitute a grave offence in violation of international law;

Recalling Assembly Resolutions A33-1 and A36-19 a nd the recommendations of the High-level, Ministerial Conference on Aviation Security held in February 2002;

Noting actions taken so far by the Council, in particular the adoption of the ICAO Aviation Security Plan of Action in June 2002, as well as the new preventive measures, strengthening the means available to the Organization in order to counter new and existing threats to civil aviation; and

Endorsing the ICAO Comprehensive Aviation Security Strategy and its seven strategic focus areas, as adopted by the Council on 17 February 2010, which provides the framework for ICAO’s aviation security activities for the next two triennia (2011-2016), to succeed the current Aviation Security

Plan of Action:

The Assembly:

1. Strongly condemns all acts of unlawful interference ag ainst civil aviation wherever and by whomsoever and for whatever reason they are perpetrated;

2. Notes with abhorrence acts and attempted acts of unlawful interference aimed at the destruction in flight of civil aircraft in commerc ial service including any misuse of civil aircraft as a weapon of destruction and the death of persons on board and on the ground;

3. Reaffirms that aviation security must continue to be treated as a matter of highest priority and appropriate resources should be made available by ICAO and its Member States;

4. Calls upon all Contracting States to confirm their resolute support for the established policy of ICAO by applying the most effective securi ty measures, individually and in cooperation with one another, to prevent acts of unlawful interference and to punish the perpetrators, planners, sponsors, and financiers of conspirators in any such acts;- 30 -

5. Reaffirms ICAO’s responsibility to facilitate the consistent and uniform resolution of questions which may arise between Contracting States in matters affecting the safe and orderly operation of international civil aviation throughout the world;

6. Directs the Council to continue, as an urgent pr iority, its work relating to measures for prevention of acts of unlawful interference, on the b asis of the strategic direction provided under the ICAO Comprehensive Aviation Security Strategy, and en sure that this work is carried out with the highest efficiency and responsiveness;

7. Expresses appreciation to Contracting States for the voluntary contributions in the form

of human and financial resources to the Aviation Secu rity Plan of Action durin g the 2008-2010 triennium and encourages the continuation of such voluntary c ontributions in order to fund additional aviation security activities beyond those budgeted fo r under the regular programme; and

8. Urges all Contracting States to continue to fi nancially support the Organization’s aviation security activities through the ICAO Comprehensive Aviation Security Strategy.

APPENDIX B

International legal instruments, enactment of national legislation and conclusion of appropriate agreements for the suppression of acts of unlawful interference with civil aviation

a) International legal instruments

Whereas the protection of civil aviation from acts of unlawful interference h as been enhanced by

the Convention on Offences and Certain Other Acts Committed on Board Aircraft (Tokyo, 1963), by the Convention for the Suppression of Unlawful Seizure of Aircraft (The Hague, 1970), by the Convention for the Suppression of Unlawful Acts Against the Safety of Civil Aviation (Montréal, 1971), by the Protocol for the Suppression of Unlawful Acts of Violence at Airports Serving International Civil Aviation

, Supplementary to the Convention for the Suppression of Unlawful Acts Against the Safety of Civil

Aviation (Montréal, 1988), by the Convention on the Marking of Plastic Explosives for the Purpose of

Detection (Montréal, 1991), by the Convention for the Suppression of Unlawful Acts Relating to

International Civil Aviation (Beijing, 2010), by the Protocol Supplementary to the Convention for the Suppression of Unlawful Seizure of Aircraft (Beijing, 2010), and by bilateral agreements for the suppression of such acts;

The Assembly:

1. Urges Contracting States which have not yet done so to become parties to the Convention on Offences and Certain Other Acts Committed on Board Aircraft (Tokyo, 1963), to the Convention for the Suppression of Unlawful Seizure of Aircraft (The Hague, 1970), to the Convention for the Suppression of Unlawful Acts Against the Safety of Civil Aviation (Montréal, 1971) and the 1988 Supplementary

Protocol to the Montréal Convention , to the Convention on the Marking of Plastic Explosives for the Purpose of Detection (Montréal, 1991), to the Convention for the Suppression of Unlawful Acts Relating

to International Civil Aviation (Beijing, 2010), and to the Protocol Supplementary to the Convention for the Suppression of Unlawful Seizure of Aircraft (Beijing, 2010). Lists of States Parties to aviation security legal instruments can be found on www.icao.int under the ICAO Treaty Collection;

2. Calls upon States not yet parties to the Convention on the Marking of Plastic Explosives for the Purpose of Detection to give effect, even before ratifica tion, acceptance, approval or accession, to the principles of that instrument and calls upon St ates which manufacture plastic explosives to implement the marking of such explosives as soon as possible; and- 31 -

3. Requests the Council to direct the Secretary General to continue to remind States of the importance of becoming parties to the Tokyo, The Hague, Montréal and Beijing Conventions, to the 1988 Supplementary Protocol to the Montréal Convention , to the 2010 Protocol Supplementary to the Convention for the Suppression of Unlawful Seizure of Aircraft and to the Convention on the Marking of Plastic Explosives for the Purpose of Detection and to provide assistance requested by States encountering any difficulties in becoming parties to these instruments.

b) Enactment of national legislation and conclusion of appropriate agreements

Whereas deterrence of acts of unlawful interference w ith civil aviation can be greatly facilitated through the enactment by Contracting States of national criminal laws providing severe penalties for such

acts:

The Assembly:

1. Calls upon Contracting States to give special attention to the adoption of adequate measures against persons committing, planning, spon soring, financing or facilitating acts of unlawful seizure of aircraft, acts of sabotage or attempted sabotage or other acts or attempted acts of unlawful interference against civil aviation, and in particular to include in their legislation rules for the severe punishment of such persons; and

2. Calls upon Contracting States to take adequate measures relating to the extradition or prosecution of persons committing acts of unlawful sei zure of aircraft, acts of sabotage or attempted sabotage or other acts or attempted acts of unlaw ful interference against ci vil aviation by adopting appropriate provisions in law or treaty for that purp ose or by strengthening existing arrangements and by concluding appropriate agreemen ts for the suppression of such acts which would provide for the extradition of persons committing criminal attacks on international civil aviation.

APPENDIX C

Implementation of technical security measures

Whereas protection of civil aviation against acts of unlawful interference requires continued vigilance and development and implementation of po sitive safeguarding action by the Organization and its Member States;

Whereas a clear need exists for the strengthening of security to be applied to all phases and processes associated with the carriage of persons, th eir cabin and hold baggage, cargo, mail, courier and express parcels;

Whereas Machine Readable Travel Documents strengt hen security by improving the integrity of documents which verify the identit y of travellers and air crew;

Whereas such Machine Readable Trav el Documents also enable high-level cooperation among States to strengthen resistance to passport fraud, incl uding the forgery or count erfeiting of passports, the use of valid passports by impostors, the use of expi red or revoked passports, and the use of fraudulently obtained passports;

Whereas the use of Machine Readable Travel Documents and other passenger information tools can also be employed for security purposes, adding an important layer to the international civil aviation system, in order to detect terrorists and prevent act s of unlawful interference well before the aircraft boarding process;- 32 -

Whereas the responsibility for ensuring that secur ity measures are applied by government agencies, airport authorities and aircraft operators rests with the Contracting States;

Whereas the implementation of the security measures advocated by ICAO is an effective means of preventing acts of unlawful inte rference with civil aviation; and

Whereas countermeasures for protection of civil aviation can only be effective through employment of highly trained security personnel, in addition to background checks, certification and quality control:

The Assembly:

1. Urges the Council to continue to attach the highest priority to the adoption of effective measures for the prevention of acts of unlawful interfere nce commensurate with th e current threat to the security of international civil aviation, to take in to account the innovative and e volving nature of that threat, and to keep up to date the provisions of A nnex 17 to the Chicago Convention from a threat and risk perspective;

2. Requests that the Council complete, in addition to the International Explosives Technical Commission (IETC) mandate as prescribed by the Convention on the Marking of Plastic Explosives for the Purpose of Detection , studies into methods of detecting explos ives or explosive materials, especially into the marking of those explosives of concern, ot her than plastic explosives, with a view to the evolution, if needed, of an appr opriate comprehensive legal regime;

3. Urges all States on an individual basis and in cooperation with other States to take all possible measures for the prevention of acts of unlawf ul interference, in particular, those required or

recommended in Annex 17 to the Convention on International Civil Aviation as well as those recommended by the Council;

4. Urges Contracting States to intensify their efforts for the implementation of existing Standards and Recommended Practices (SARPs), and procedures relating to aviation security, to monitor such implementation, to take all necessary steps to prevent acts of unlawful interference against

international civil aviation and to give appropriate attention to the guidance material contained in the

ICAO Security Manual for Safeguarding Civil Avia tion Against Acts of Unlawful Interference (Doc 8973) and available on the ICAO restricted website;

5. Encourages Contracting States to promote aviation security as a fundamental component of national, social and economic pr iorities, planning and operations;

6. Encourages Contracting States, pursuant to their domestic laws, regulations and aviation security programmes, and in accordance with applicab le SARPs and the capacity of each State, to promote the implementation of aviation security measures in a practical manner to:

a) broaden existing cooperation mechanis ms amongst States and industry, as appropriate, for information exchange and the early detection of security threats to civil aviation operations;

b) share expertise, best practices and info rmation relating to preventive security measures, including screening and inspection t echniques, the detection of explosives, airport security behavioural detection, scr eening and credentialing of airport staff, human resource development and the r esearch and development of relevant technologies;- 33 -

c) utilize modern technologies to detect prohibited materials and to prevent the carriage of such materials on board aircraft while respecting the privacy and safety of individuals; and

d) replace restrictions on the carriage of liquids, aerosols and gels (LAGs) by the screening of LAGs when appropriate expl osive detection technology becomes more widely available;

7. Calls upon Contracting States to examine inform ation exchange mechanisms including

the use of liaison officers and further use of A dvance Passenger Information (API) provided by air carriers, to reduce the risk to p assengers, while ensuring the protection of privacy and civil liberties;

8. Calls upon Contracting States, while respecting their sovereignty, to minimize disruption to air travel resulting from confusion or inconsiste nt interpretation of standards by cooperating and coordinating actions in order to implement SARPs a nd guidance consistently, efficiently and effectively and by providing clear, well-timed and readily av ailable information to the travelling public;

9. Calls upon Contracting States, when requesting a nother State to apply security measures to protect aircraft flying into its territory, to take fully into account the security measures already in place in the requested State and, where appropriate , to recognize those measures as equivalent;

10. Urges those Contracting States that have not already done so, to begin issuing only machine readable passports in accordance with the specifications of Doc 9303, Part 1;

11. Requests the Council to direct the Secretary General to:

a) ensure that the provisions of Annex 17 and Annex 9 — Facilitation are compatible with and complementary to each other, pr ovided that the effectiveness of security measures is not compromised;

b) where relevant, include items dealing with aviation security on the agenda of ICAO meetings;

c) continue to promote the adoption of e ffective security processes and concepts, through awareness raising regional and sub -regional aviation security events at the request of States concerned;

d) develop and update the ICAO Training Programme for Aviation Security and Aviation Security Training Packages (ASTPs);

e) oversee, develop and promote the aviation security training centres (ASTCs) network within the existing framework to ensure tr aining standards are maintained and sound levels of cooperation are achieved;

f) continue to work with the Aviation Securi ty Panel to address new and existing threats to civil aviation, and to develop appropriate preventive measures, including the screening of airport staff with access to secu red airport facilities, enhanced screening of passengers and baggage, a ppropriate security controls for cargo, the supply chain and service providers, as well as the selec tion and training of persons executing and implementing security measures; and- 34 -

g) promote the development of mutual rec ognition processes with the goal of assisting States in achieving mutually beneficial arrangements, including one-stop security

arrangements;

12. Directs the Council to require the Secretary Gene ral to update and amend at appropriate intervals the Security Manual and develop new guidan ce material, including detailed guidance material on liquids, aerosols and gels, and human factors, as re quired, designed to assist Contracting States in responding to new and existing threats to aviation a nd implementing the specifications and procedures related to civil aviation security;

13. Directs the Council to instruct the Aviation Security Panel to identify and develop a risk assessment methodology for aviation security and to include risk-based assessment with any recommendations for the adoption of new or amended aviation security measures in Annex 17 or in any other ICAO document; and

14. Directs the Council to instruct the Aviation Security Panel to continually assess its terms of reference and governing procedures to ensure ther e are no constraints on the Panel’s ability to consider the full scope of aviation security issues.

APPENDIX D

Action of States concerned with an act of unlawful interference

a) Acts of unlawful interference

Whereas acts of unlawful interference continue serious ly to compromise the safety, regularity and efficiency of international civil aviation;

Whereas the safety of flights of aircraft subjected to acts of unlawful seizure may be further jeopardized by the denial of navigation aids and air traffic services, the blocking of runways and taxiways and the closure of airports; and

Whereas the safety of passengers and crew of an aircraft subjected to an act of unlawful seizure may also be further jeopardized if the aircraft is permitted to take o ff while still under seizure:

The Assembly:

1. Expresses concern about the challenges posed to security of civil aviation by new and existing threats and the changing modus operandi used in perpetrating acts of unlawful interference;

2. Recalls in this regard the relevant provisions of the Chicago, Tokyo, The Hague, and Montréal Conventions, and the 1988 Supplementary Protocol to the Montréal Convention;

3. Recommends that States take into acco unt the above considerations in the development of their policies and contingency plans for d ealing with acts of unlawful interference;

4. Urges Contracting States to provide assistance to an aircraft subjected to an act of unlawful seizure, including the provision of navigation aids, air traffic services and permission to land;

5. Urges Contracting States to ensure that an aircra ft subjected to an act of unlawful seizure which has landed in its territory is detained on th e ground unless its departure is necessitated by the overriding duty to protect human life;- 35 -

6. Recognizes the importance of consultations between the State where an aircraft subjected

to an act of unlawful seizure has landed and the State of the operator of that aircraft as well as notification by the State where the aircraft has landed to the States of assumed or stated destination;

7. Urges Contracting States to cooperate for the purpose of providing a joint response in connection with an act of unlawful interference, as well as utilizing, if necessary, the experience and capabilities of the State of the operator, the State of ma nufacture and the State of registration of an aircraft which has been subjected to an act of unlawful inte rference, while taking measures in their territory to free the passengers and crew members of that aircraft;

8. Condemns any failure by a Contracting State to fulfil its obligations to return without delay an aircraft which is being illegally detained and to submit to competent authorities or extradite without delay the case of any person accused of an act of unlawful interference with civil aviation;

9. Condemns the reporting of false threats to civil aviation and calls upon Contracting States to prosecute the perpetrators of such acts in orde r to prevent the disruption of civil aviation operations;

and

10. Calls upon Contracting States to continue to assist in the investigation of such acts and in the apprehension and prosecution of those responsible.

b) Reporting on acts of unlawful interference

Whereas official reports filed by States concerned with acts of unlawful interference should provide credible information and constitute the basis for evaluation and analysis of acts; and

Whereas the ICAO online database of acts of unlawful interference is an effective tool for the prompt dissemination of information related to aviati on security incidents, and is readily accessible by Contracting States:

The Assembly:

1. Notes with concern that many States experiencing acts of unlawful interference often do not provide the Council with the official reports on such acts;

2. Urges States to fulfil their obligations unde r Article 11 of The Hague Convention and

Article 13 of the Montréal Convention as well as u nder Annex 17, following occurrences of unlawful interference, to forward to the Council, as soon as po ssible, all relevant information required by those

Articles and SARPs in order to enable the Secretariat to retain accurate and comp lete information and to analyse trends and new threats to civil aviation;

3. Directs the Council to direct the Secretary Gene ral, within a reasonable time from the date of a specific occurrence of unlawful interference, to request that concerned States forward to the

Council in accordance with their national law all rele vant information concerning such an occurrence, including, particularly, information relating to extradition or other legal proceedings; and

4. Requests that the Council direct the Secretary Ge neral, in conjunction with the Aviation Security Panel, to monitor, collate, verify and an alyse reported acts of unlawful interference, inform States of trends and potential and new threats, and develop appropriate guidance to deter new and existing

threats.- 36 -

APPENDIX E The ICAO Universal Security Audit Programme

Whereas the ICAO Universal Security Audit Progra mme (USAP) has been successful in meeting the mandate of Resolution A36-20, Appendix E;

Whereas the primary objective of the Organization con tinues to be that of ensuring the safety and security of international civil aviation worldwide;

Whereas the establishment of an effective security oversight system by States supports the implementation of international aviation security Standards and contributes to this objective;

Recalling that the ultimate responsibility to ensure both the safety and security of civil aviation rests with Member States;

Recalling that the 36th Session of the Assembly direct ed the Council to ensure the continuation of the USAP following the initial cycle of audits at the end of 2007 focu sing, wherever possible, on a State’s capability to provide appropriate national oversight of its aviation security activities through the effective implementation of the critical elements of a security oversight system; and expanding future audits to include relevant security-related provisions of Annex 9 — Facilitation ;

Considering that the USAP has proven to be instrument al in the identification of aviation security concerns and in providing recommendations for their r esolution, and that the pr ogramme has validated an increased level of implementation of ICAO security Standards;

Recognizing that the effective implementation of State corrective action plans to address the deficiencies identified through the audit is an integral and crucial part of the audit process in order to achieve the overall objective of e nhancing global aviation security;

Considering the introduction of a limited level of transparency with respect to ICAO aviation security audit results, balancing the need for States to be aware of unresolved security concerns with the need to keep sensitive security information out of the public realm;

Considering the approval by the Council of a mechanis m to address significant security concerns (SSeCs) in a timely manner;

Recognizing the importance of a coordinated strategy for facilitating assistance to States through the high-level Secretariat Audit Results Review Board;

Recognizing that the continuation of the USAP is e ssential to create mutual confidence in the level of aviation security between Member States and to encourage the adequate implementation of security-related Standards; and

Recognizing the need to consider the future nature and direction of the USAP following the completion of the current audit cycle in 2013 and the di rection given by the Council to conduct a study to assess the feasibility of extending the continuous m onitoring approach (CMA) to the USAP after the conclusion of the current audit cycle:

The Assembly:

1. Notes with satisfaction that the ICAO Universal Security Audit Programme (USAP) has proven to be instrumental in the identification of aviation security concerns and in providing recommendations for their resolution;- 37 -

2. Expresses its appreciation to Member States for their cooperation in the audit process and for making available security experts to be certifie d as USAP auditors to serve as short-term experts in the conduct of audits, as well as long-term experts to act as USAP audit team leaders;

3. Requests the Council to establish a mechanism to validate the implementation of State corrective action plans through the conduct of ICAO coordinated validation missions or other means when sufficient evidence is presented by a State to warrant such a mission;

4. Endorses the policy of transparency of security audit results for the second cycle of the USAP, particularly relating to the prompt notificatio n of the existence of significant security concerns;

5. Urges all Member States to give full support to ICAO by:

a) accepting the audit missions as scheduled by the Organization, in coordination with relevant States;

b) facilitating the work of the audit teams;

c) preparing and submitting to ICAO the required pre-audit documentation; and

d) preparing and submitting an appropriate corr ective action plan to address deficiencies identified during the audit, as well as other post-audit documentation;

6. Urges all Member States, if requested by anothe r State, to share the results of the audit carried out by ICAO and the corrective actions taken by the audited State, as appropriate and consistent with their sovereignty; and

7. Requests that the Council report to the next ordinary session of the Assembly on the overall implementation of the USAP, including its decision with regard to the study to assess the feasibility of extending the CMA to the USAP after th e conclusion of the current audit cycle in 2013.

APPENDIX F

Assistance to States in establishing aviation security oversight capacity for the protection of

international civil aviation

Whereas the implementation of technical measures fo r prevention of acts of unlawful interference with international civil aviation requires fi nancial resources and training of personnel; and

Whereas notwithstanding assistance given, some count ries, in particular developing countries, lack aviation security oversight capacity and still face difficulties in fully implementing preventive measures due to insufficient financial, technical and material resources:

The Assembly:

1. Directs the Council to request the Se cretary General to facilitate and coordinate technical assistance and support for States that need to improve their security oversight and airport security as identified in the Universal Security Audit Programme (USAP) reports;

2. Invites developed countries to give assistance to the countries which are not able to implement programmes of recommended technical measure s for the protection of aircraft on the ground and, in particular, in the processing of passengers, th eir cabin and hold baggage, and cargo, mail, courier and express parcels;- 38 -

3. Invites Contracting States to consider requesting assistance from ICAO and other international organizations to meet their technical ass istance requirements arising from the need to protect international civil aviation;

4. Invites Contracting States to take advantage of ICAO short-term remedial assistance and longer-term State assistance projects to remedy deficiencies identified during audits;

5. Directs the Council to request the Secretary General to assess the quality and effectiveness of ICAO assistance projects;

6. Urges all States that have the means to do so to increase technical, financial and material

assistance to countries in need of such assistance to improve aviation security through bilateral and multilateral efforts, that are fully coordinated, through ICAO;

7. Urges Contracting States to utilize ICAO ASTCs for security training;

8. Urges Contracting States and organizations to share with ICAO information on their assistance programmes and activities in order to promot e the efficient and effective use of resources;

9. Directs the Council to request the Secretary General to facilitate the coordination of assistance programmes and activities by collec ting information on such initiatives; and

10. Urges the international community to cons ider increasing assistance to States and enhancing cooperation amongst them, in order to be able to benefit from the achievement of the aims and objectives of the Convention on the Marking of Plastic Expl osives for the Purpose of Detection , in particular through the International Explosives Technical Commission (IETC).

APPENDIX G

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

Whereas the rights and obligations of States under th e international legal instruments on aviation security and under the SARPs adopted by the Council on aviation security could be complemented and

reinforced in multilateral and bila teral cooperation between States;

Whereas the multilateral and bilateral agreements on air services represent the main legal basis for international commercial carriage by ai r of passengers, bagga ge, cargo and mail; and

Whereas provisions on aviation security should form an integral part of the multilateral and bilateral agreements on air services:

The Assembly:

1. Recognizes that success in eliminating threats to civil aviation can only be achieved through the concerted effort of everyone concerne d and a close working rela tionship between national agencies and aviation security regulators of all Contracting States;

2. Urges all Contracting States to insert into th eir multilateral and bilateral agreements on air services a clause on aviation security, taking into account the model clause adopted by the Council on 25 June 1986 and the model agreement adopted by the Council on 30 June 1989;- 39 -

3. Urges all Contracting States, who have not yet done so, to participate in the ICAO Aviation Security Point of Contact (PoC) Network, established for the communication of imminent threats to civil air transport operations, with the obj ective of providing a network of international aviation security contacts within each State;

4. Urges the Council to request the Secretary Ge neral to promote initiatives which enable the establishment of technological platforms for the exchange of aviation security information among Contracting States;

5. Requests that the Council continue to:

a) gather the results of States’ experience in cooperating with each other to prevent acts of unlawful interference with international civil aviation;

b) analyse differing circumstances and trends in preventing threats to international civil aviation in different regions of the world; and

c) prepare recommendations for strengthening measures to deter and prevent such acts of unlawful interference; and

6. Directs the Council to act with the requisite urgency and expeditio n to address new and existing threats to civil aviation, seeking to mitigat e unnecessary disruption to air travel as a result of

confusion or incons istent implementation or interpretation of necessary measures, facilitating a common and consistent response by States, and encouragin g clear communication by States to the travelling public.

APPENDIX H

International and regional cooperation in the field of aviation security

Recognizing that the threat posed to civil aviation re quires development of an effective global response by States and concerned intern ational and regional organizations:

The Assembly:

1. Invites the Civil Air Navigation Services Organization (CANSO), the International Atomic Energy Agency (IAEA), th e International Criminal Police Organization (ICPO/INTERPOL), the Organization for Security and Cooperation for Euro pe (OSCE), the United Nations Office on Drugs and Crime (UNODC), the Universal Postal Union (UPU), th e International Air Transport Association (IATA), Airports Council International (ACI), the Interna tional Federation of Airline Pilots’ Associations (IFALPA) and other stakeholders to continue thei r cooperation with ICAO, to the maximum extent possible, to safeguard international civil av iation against acts of unlawful interference;

2. Directs the Council to take into account the G8 Secure and Facilitated International Travel Initiative (SAFTI) and to continue its collabor ation with this group and other relevant groups of States such as the Asia-Pacific Economic Cooperati on Secure Trade in the Asia and Pacific Region (STAR) initiative in its work relating to developmen t of countermeasures agai nst the threat posed by man-portable air defence systems (MANPADS) and en courage their implementation by all Contracting States; and

3. Directs the Council to continue its cooperation with the United Nations Counter-Terrorism Committee (CTC), in the global effort to combat terrorism.- 40 -

Declaration On Aviation Security

The Assembly , recognizing the need to strengthen aviation secu rity worldwide, in light of the continuing threat to civil aviation, including the attempted sabotage of Northwest Airlines flight 253 on 25 December 2009; and acknowledging the value of the joint declara tions on civil aviation security emanating from regional conferences held with a view to enhancing international cooperation, hereby

urges Member States to take the following actions to e nhance international cooperation to counter threats

to civil aviation:

1) strengthen and promote the effective app lication of ICAO Standards and Recommended Practices, with particular focus on Annex 17 — Security, and develop strategies to address current and emerging threats;

2) strengthen security screening procedures, e nhance human factors and utilize modern technologies to detect prohibited articles and support research and development of technology for the detection of explosives, weapons and prohibited articles in order to prevent acts of unlawful interference;

3) develop enhanced security measures to prot ect airport facilities and improve in-flight security, with appropriate enhancem ents in technology and training;

4) develop and implement strengthened and harmonized measures and best practices for air cargo security, taking into account the need to protect the entire air cargo supply chain;

5) promote enhanced travel document security and the validation thereof using the ICAO Public Key Directory (PKD) in conjunction with biometric information, and the commitment to report on a regular basis, lost and stolen passports to the INTERPOL Lost and Stolen Travel Documents Database to pr event the use of such travel documents for acts of unlawful interference against civil aviation;

6) improve Member States’ ability to correct deficiencies identified under the Universal Security Audit Programme (USAP) by ensuri ng the appropriate availability of audit results among Member States, which would en able better targeting of capacity-building and technical assistance efforts;

7) provide technical assistance to States in need, including funding, capacity building and technology transfer to effectively address secur ity threats to civil aviation, in cooperation with other States, international or ganizations and industry partners;

8) promote the increased use of cooperation mechanisms among Member States and with the civil aviation industry, for information exchange on security measures in order to avoid redundancy, where appropriate, and for early detection and dissemination of information on security threats to civil av iation, including through the collection and transmission of advance passenger information (API) and passenger name record (PNR) data, as an aid to security, whilst ensuring th e protection of passengers’ privacy and civil liberties; and

9) share best practices and information in a range of key areas, such as: screening and inspection techniques, including assessments of advanced screening technology for the detection of weapons and e xplosives; document security and fraud detection; behaviour

detection and threat-based risk analysis; screening of airport employees; the privacy and dignity of persons; and aircraft security.- 41 -

A37-18: Consolidated statement of co ntinuing ICAO policies and practices related to environmental protection – General provisions, noise and local air quality

Whereas in Resolution A36-22 the Assembly resolved to continue to adopt at each ordinary Session a consolidated statement of continuing ICAO policies and practices related to environmental protection;

Whereas Resolution A36-22 consists of an introd uctory text and a number of Appendices concerning specific but interrelated subjects;

Considering the need to reflect developments that ha ve taken place since the 36th Session of the Assembly in the field of aircraft noise and engine emissions; and

Considering the need to define a specific ICAO po licy to address aviation’s impact on global climate (A37-19: Consolidated statement of c ontinuing ICAO policies a nd practices related to environmental protection - Climate change ), the increasing concern on aviation and climate change and as part of ICAO’s policies and practices related to environmental protection:

The Assembly:

1. Resolves that the Appendices attached to this Reso lution and listed below, together with

A37-19: Consolidated statement of continuing ICAO policies and practices related to environmental protection - Climate change , constitute the consolidated statem ent of continuing ICAO policies and practices related to environmental protection, as these po licies exist at the close of the 37th Session of the Assembly:

Appendix A — General

Appendix B — Development of Standards, Recommended Practices and Procedures and/or guidance material relating to the quality of the environment

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

management

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

Annex 16

Appendix E — Local noise-related opera ting restrictions at airports

Appendix F — Land-use planning and management

Appendix G — Supersonic aircraft — The problem of sonic boom

Appendix H — Aviation impact on local air quality

2. Requests the Council to submit the ICAO policies and practices related to environmental protection for review at each ordinary session of the Assembly; and

3. Declares that this resolution, together with A37-19 Consolidated statement of continuing ICAO policies and practices related to en vironmental protection - Climate change , supersede Resolution

A36-22.- 42 -

APPENDIX A

General

Whereas the preamble to the Convention on International Civil Aviation states that ‘the future development of international civi l aviation can greatly help to create and preserve friendship and understanding among the nations and peoples of the world . . .’ and Article 44 of that Convention states that ICAO should ‘develop the principles and techniques of international air navigation and . . . foster the planning and development of international air transpor t so as to . . . meet the needs of the peoples of the world for safe, regular, efficient and economical air transport’;

Whereas many of the adverse environmental effects of civil aviation activity can be reduced by the application of comprehensive measures embraci ng technological improvements, more efficient air traffic management and operational procedures and th e appropriate use of airport planning, land-use planning and management and market-based measures;

Whereas all ICAO Contracting States agreed to continue to pursue all aviation matters related to

the environment and also maintain the initiative in developing policy guidance on these matters, and not leave such initiatives to other organizations;

Whereas other international organizations are em phasising the importance of environmental policies affecting air transport;

Whereas the sustainable growth of aviation is im portant for future economic growth and development, trade and commer ce, cultural exchange and unders tanding among peoples and nations; therefore prompt action must be taken to ensure that it is compatible with the quality of the environment and develops in ways that alleviate adverse impacts;

Whereas reliable and best available information on the environmental effects of aviation is essential for the development of policy by ICAO and its Contracting States;

Whereas as far as there are recognized interdepende ncies of the environmental effects from aviation, such as noise and engine emissions, they n eed to be considered when defining source control and operational mitigation policies;

Whereas airspace management and design can play a role in addressing the impacts of aviation greenhouse gas emissions on the global climate, and th e related economic and institutional issues need to be addressed by States, either individually or collectively on a regional basis;

Whereas cooperation with other international orga nizations is important to progress the understanding of aviation’s impacts on the environment a nd in order to develop the appropriate policies to address these impacts; and

Recognizing the importance of research and development in fuel efficiency and alternative fuels

for aviation that will enable international air tran sport operations with a lower environmental impact:

The Assembly:

1. Declares that ICAO, as the lead United Nations (UN) Agency in matters involving international civil aviation, is conscious of and will continue to address the adverse environmental impacts that may be related to civil aviation activ ity and acknowledges its responsibility and that of its Contracting States to achieve maximum compatibility between the safe and orderly development of civil- 43 -

aviation and the quality of the environment. In carry ing out its responsibilities, ICAO and its Contracting

States will strive to:

a) limit or reduce the number of people affected by significant aircraft noise;

b) limit or reduce the impact of aviation emissions on local air quality; and

c) limit or reduce the impact of aviation greenhouse gas emissions on the global climate;

2. Emphasizes the importance of ICAO continuing to demonstrate its leadership role on all

international civil aviation matters related to the environment and requests the Council to maintain the initiative in developing policy guidance on these matters, which recognises the seriousness of the challenges which the sector faces;

3. Requests the Council to assess regularly the present and future impact of aircraft noise and aircraft engine emissions and to cont inue to develop tools for this purpose;

4. Requests the Council to maintain and update knowl edge of the interdependencies and

trade-offs related to measures to mitigate the impact of aviation on th e environment so as to optimise decision making;

5. Requests the Council to establish a set of aviation environmental indicators which States could use to evaluate the performan ce of aviation operations and the e ffectiveness of standards, policies and measures to mitigate aviation’s impacts on the environment;

6. Requests the Council to disseminate informati on on the present and future impact and trends of aircraft noise and aircraft engine emissi ons and on ICAO policy and guidance material in the environmental field, in an appropriate manner, such as through regular reporting and workshops;

7. Invites States to continue their active support for ICAO’s environment-related activities, and urges Contracting States to support activities no t foreseen in the budget by providing a reasonable level of voluntary contributions;

8. Invites States and international organizations to provide the necessary scientific

information and data to enable ICAO to substantiate its work in this field;

9. Encourages the Council to continue to cooperate cl osely with international organizations and other UN bodies on the understanding of avia tion impacts on the environment and on the establishment of policies to address such impacts; and

10. Urges States to refrain from environmental me asures that would adversely affect the orderly and sustainable development of international civil aviation.

APPENDIX B

Development of Standards, Recommended Practices and Procedures and/or guidance material relating to the quality of the environment

Whereas the problem of aircraft noise in the vicinity of many of the world’s airports, which continues to arouse public concern and limit airport infrastructure development, requires appropriate action;- 44 -

Whereas the scientific community is improving the unde rstanding of uncertainties associated with the environmental impact of aircraft emissions at bot h the local and global levels, this impact remains a cause of concern and requires appropriate action;

Recognizing that there are interdependencies related to design and operations of aircraft when addressing concerns related to noise, lo cal air quality, and climate change;

Whereas the Council has established a Committee on Aviation Environmental Protection (CAEP) for the purpose of assisting in the further deve lopment of Standards, Recommended Practices and Procedures and/or guidance material on aircraft noise and engine emissions;

Whereas the Council has adopted Annex 16, Volume I — Aircraft Noise , which comprises noise certification standards for subsonic aircraft (except Short Take Off and Landing /Vertical Take Off and Landing aeroplanes) and has notified Contracting States of this action;

Whereas the Council has adopted Annex 16, Volume II — Aircraft Engine Emissions , which comprises emissions certification Standards for new aircraft engines and has notified Contracting States of this action;

Whereas the Council has initiated work on the deve lopment and adoption of an aircraft

CO 2 Standard and has notified Contracting States of this action;

Whereas ICAO policy guidance on measures to address envi ronmental concerns related to aircraft noise and engine emissions has been published; and

Whereas the Council has adopted medium and long term technology goals for reduction of noise and oxides of nitrogen (NO

x ) while making significant progress on technology and operational goals for

aircraft fuel burn reduction:

The Assembly:

1. Welcomes the continuing benefits of the more stringent aircraft noise Standard in Annex 16, Volume I, Chapter 4 that took effect on 1 January 2006 and the wo rk initiated in 2010 on assessing scenarios for more stringent noise Standards;

2. Welcomes the consideration by the Council in May 2010 of the new, more stringent

Standards for emissions of NO

x proposed to be implemented on 31 December 2013 as well as consideration of a production cut-off for aircraft engi nes not meeting the current standards for emissions

of NO

x proposed to be implemented on 31 December 2012;

3. Welcomes the plan approved by the Council in Ma y 2010 for development of an aircraft

CO 2 Standard;

4. Requests the Council, with the assistance and cooperation of other bodies of the Organization and of other internati onal organizations, to continue with vigour the work related to the development of Standards, Recommended Practices a nd Procedures and/or guidance material dealing with the impact of aviation on the environment;

5. Welcomes the adoption by the Council in May 2010 of the medium- and long-term technology goals for reducing aircraft noise and engine emissions of NO

x ;

6. Requests the Council, with the assistance and cooperation of other bodies of the Organization and of other interna tional organizations, to establish me dium and long term technology and- 45 -

operational goals related to aircraft fuel burn, in addition to the recent development of NO

x and noise reduction goals;

7. Requests the Council to ensure that its Committee on Aviation Environmental Protection (CAEP) pursues its work programme in the noise a nd emissions fields expeditiously in order that appropriate solutions can be developed as quickly as possible, and that the necessary resources are made available to do so;

8. Urges Contracting States from regions of the world that are currently under-represented in CAEP to participate in the Committee’s work;

9. Requests the Council to provide States and Inte rnational Organizations information on available measures to reduce the impact of aviation operations on the environment so that action can be taken using the appropriate measures;

10. Urges Contracting States to follow, where a ppropriate, the ICAO provisions developed pursuant to Clause 4 of this Appendix; and

11. Requests the Council to continue the work on developing and employing scenarios for assessing the future environmental impa ct of aviation emissions and to c ooperate with other international organizations in this area.

APPENDIX C

Policies and programmes based on a ‘balanced approach’ to aircraft noise management

Whereas a goal of ICAO is to promote the highest practicable degree of consistency in international civil aviation, incl uding environmental regulations;

Whereas the uncoordinated development of national and regional policies and programmes for

the alleviation of aircraft noise could hinder the role of civil aviation in economic development;

Whereas the severity of the aircraft noise problem at many airports has given rise to measures which limit aircraft operations and has provoked vigorous opposition to the expansion of existing airports or construction of new airports;

Whereas ICAO has accepted full responsibility for pursuing a course aimed at achieving maximum compatibility between the safe, economically effective and orderly development of civil aviation and the quality of the environment, and is ac tively pursuing the concept of a ‘balanced approach’ for the reduction of aircraft noise and guidance on how States might apply such an approach;

Whereas the balanced approach to noise management developed by ICAO consists of identifying the noise problem at an airport and then analysing the various measures available to reduce noise through the exploration of four principal elements, na mely reduction at source, land-use planning and management, noise abatement operational procedures and operating restrictions, with the goal of addressing the noise problem in the most cost-effective manner;

Whereas the assessment of present and future impact of aviation noise is an essential tool for the development of policy by ICAO and its Contracting States;

Whereas the process for implementation and decisions between elements of the balanced approach is for Contracting States and it is ultimate ly the responsibility of individual States to develop appropriate solutions to the noise problems at their ai rports, with due regard to ICAO rules and policies;- 46 -

Whereas the ICAO guidance developed to assist States in implementing the balanced approach ( Guidance on the Balanced Approach to Aircraft Noise Management (Doc 9829)) has been subsequently updated;

Recognizing that solutions to noise problems need to be tailored to the specific characteristics of the airport concerned, which calls for an airport-by-a irport approach, and that similar solutions could be applied if similar noise problems are identified at airports;

Recognizing that measures to address noise may have si gnificant cost implications for operators and other stakeholders, particularly those from developing countries;

Recognizing that States have relevant legal obligati ons, existing agreements, current laws and established policies which may influence their im plementation of the ICAO ‘balanced approach’;

Recognizing that some States may also have wider policies on noise management; and

Considering that the improvements in the noise climate achieved at many airports through the replacement of Chapter 2 compliant aircraft (aircraf t which comply with the noise certification standards in Volume I, Chapter 2 of Annex 16 but which ex ceed the noise levels in Volume I, Chapter 3 of Annex 16) by quieter aircraft should be safeguarded by taking account of the sustainability of future growth and should not be eroded by incomp atible urban encroachment around airports:

The Assembly :

1 . Calls upon all ICAO Contracting States and international organizations to recognize the leading role of I CAO in dealing with the problems of aircraft noise;

2 . Urges States to:

a) adopt a balanced approach to noise management, taking full account of ICAO guidance (Doc 9829), relevant legal obliga tions, existing agreements, current laws and established policies, when addressing noise problems at their international airports;

b) institute or oversee a transparent process when considering measures to alleviate noise, including:

1) assessment of the noise problem at the airport concerned based on objective, measurable criteria and other relevant factors;

2) evaluation of the likely co sts and benefits of the various measures available and, based on that evaluation, selection of measures with the goal to achieve maximum environmental benefit most cost-effectively; and

3) provision for dissemination of the ev aluation results, for consultation with stakeholders and for dispute resolution;

3. Encourages States to:

a) promote and support studies, research and technology programmes aimed at reducing noise at source or by other means taking into account interdependencies with other environmental concerns;- 47 -

b) apply land-use planning and management policies to limit the encroachment of incompatible development into noise-sen sitive areas and mitigation measures for areas affected by noise, consistent with Appendix F to this Resolution;

c) apply noise abatement operational procedures, to the extent possible without affecting safety and considering interd ependencies with other environmental concerns; and

d) not apply operating restrictions as a first resort but only after consideration of the benefits to be gained from other elements of the balanced approach and in a manner which is consistent with Appendix E to this Resolution and taking into account the possible impact of such restrictions at other airports;

4. Requests States to:

a) work closely together to ensure the harm onization of programmes, plans and policies to the extent possible;

b) ensure that the application of any measures to alleviate noise are consistent with the non-discrimination principle in Article 15 of the Chicago Convention; and

c) take into consideration the particular economic conditions of developing countries;

5. Invites States to keep the Council informed of their policies and programmes to alleviate the problem of aircraft noise in international civil aviation;

6. Requests the Council to:

a) assess continuously the evolution of the impact of aircraft noise;

b) ensure that the guidance on the balanced approach in Doc 9829 is current and responsive to the requirements of States; and

c) promote the use of the balanced appro ach, for example through workshops; and

7. Calls upon States to provide appropriate support for this work on ICAO guidance and any additional work on methodologies, and for the assessme nt of the impact or effectiveness of measures under the balanced approach as necessary.

APPENDIX D

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

Whereas certification standards for subsonic jet aircraft noise levels are specified in Volume I of Annex 16;

Whereas for the purpose of this Appendix, a phase-out is defined as withdrawal of a noise-based category of aircraft from international operati ons at all airports in one or more States;

Whereas the Committee on Aviation Environmental Pr otection has concluded that a general phase-out of Chapter 3 aircraft operations by all th e countries which imposed a phase-out on operations of Chapter 2 aircraft is not supported on cost-benefit grounds;- 48 -

Whereas some States have implemented or initiated ph ase-outs of aircraft which exceed the noise levels in Volume I, Chapter 3 of A nnex 16, or are considering so doing;

Recognizing that the noise standards in Annex 16 are not intended to introduce operating restrictions on aircraft;

Recognizing that operating restrictions on existing aircra ft may increase the costs of airlines and could impose a heavy economic burden, particularly on aircraft operators which may not have the financial resources to re-equip their fleets, such as those from developing countries; and

Considering that resolution of problems due to aircraft noise must be based on the mutual recognition of the difficulties encountered by States and a balance among their different concerns:

The Assembly :

1. Urges States not to introduce any phase-outs of aircraft which exceed the noise levels in Volume I, Chapter 3 of Annex 16 before considering:

a) whether the normal attrition of existing fl eets of such aircraft will provide the necessary protection of noise climates around their airports;

b) whether the necessary protection can be ach ieved by regulations preventing their operators from adding such aircraft to their fleets through either purchase, or lease/charter/interchange, or alternativ ely by incentives to accelerate fleet modernization;

c) whether the necessary protection can be ach ieved through restrictions limited to airports and runways the use of which has been identified and declared by them as generating noise problems and limited to tim e periods when greater noise disturbance is caused; and

d) the implications of any restrictions for ot her States concerned, consulting these States and giving them reasonable notice of intention;

2. Urges States which, despite the considerations in Resolving Clause 1 above, decide to phase out aircraft which comply with the noise certifi cation standards in Volume I, Chapter 2 of Annex

16 but which exceed the noise levels in Volume I, Chapter 3 of Annex 16:

a) to frame any restrictions so that Chapter 2 compliant aircraft of an individual operator which are presently operating to their territories may be withdrawn from these operations gradually over a period of not less than 7 years;

b) not to restrict before the end of the above period the operations of any aircraft less than 25 years after the date of issue of its first individual certificate of airworthiness;

c) not to restrict before the end of the period the operations of any presently existing wide-body aircraft or of any fitted with e ngines that have a by-pass ratio higher than 2 to 1; and

d) to inform ICAO, as well as the other States concerned, of all restrictions imposed;- 49 -

3. Strongly encourages States to continue to cooperate bilaterally, regionally and interregionally with a view to:

a) alleviating the noise burden on communities around airports without imposing severe economic hardship on ai rcraft operators; and

b) taking into account the problems of operators of developing countries with regard to Chapter 2 aircraft presently on their regist er, where they cannot be replaced before the end of the phase-out period, provided th at there is proof of a purchase order or leasing contract placed for a replacement Chapter 3 compliant aircraft and the first date of delivery of the aircraft has been accepted;

4. Urges States not to introduce measures to ph ase out aircraft which comply, through original certification or recertification, with the noise certification standards in Volume I, Chapters 3 or 4 of Annex 16;

5. Urges States not to impose any operating restrictions on Chapter 3 compliant aircraft, except as part of the balanced appr oach to noise management developed by ICAO and in accordance with Appendices C and E to this Resolution; and

6. Urges States to assist aircraft operators in thei r efforts to accelerate fleet modernization and thereby prevent obstacles and permit all States to have access to lease or purchase aircraft compliant with Chapter 3, including the provision of mu ltilateral technical assistance where appropriate.

APPENDIX E

Local noise-related operating restrictions at airports

Whereas certification standards for subsonic jet airc raft noise are specified in Volume I of Annex 16;

Whereas for the purposes of this Appendix an operating restriction is defined as any noise-related action that limits or reduces an aircraft’s access to an airport;

Whereas Appendix C to this Resolution calls for Stat es to adopt a balanced approach to noise management when addressing noise proble ms at their international airports;

Whereas the scope for further reductions in noise at sour ce is limited in that past improvements in noise reduction technology are being gradually assimilate d into the fleet but no significant breakthroughs in technology are anticipated in the foreseeable future;

Whereas at many airports, land-use planning and management and noise abatement operational procedures are already being used and other noise mitigation measures are in place, although urban encroachment continues in certain cases;

Whereas implementation of the phase-out of aircraft which comply with the noise certification standards in Volume I, Chapter 2 of Annex 16 but wh ich exceed the noise levels in Volume I, Chapter 3 of Annex 16 (as provided for in Appendix D to this Resolution) has been completed in some States and, assuming continued growth in aviation activity, without further action the number of people exposed to aircraft noise at some airports in those States may increase;

Whereas there are significant regional differences in th e extent to which aircraft noise is expected to be a problem over the next two decades and some States have consequently been considering placing- 50 -

operating restrictions on certain aircraft which comply with the noise certification standards in Volume I, Chapter 3 of Annex 16;

Whereas if operating restrictions on Chapter 3 aircraft are introduced at certain airports, this

should be based on the balanced a pproach and relevant ICAO guidance (Doc 9829) and should be tailored to the specific requirements of the airport concerned;

Whereas these restrictions could have a significan t economic impact on fleet investments of aircraft operators from States other than t hose in which the restrictions are imposed;

Recognizing that these restrictions go beyond the po licy established in Appendix D to this Resolution and other relevant policy guidance developed by ICAO;

Recognizing that ICAO places no obligation on States to impose operating restrictions on Chapter 3 aircraft;

Recognizing that the noise standards in Annex 16 were not intended to introduce operating restrictions on aircraft and, specifically, that th e new standard contained in Annex 16, Volume I, Chapter 4 is based on the understanding that it is for certification purposes only; and

Recognizing in particular that States have legal ob ligations, laws, existing arrangements and established policies which may govern the management of noise problems at their airports and could affect the implementation of this Appendix:

The Assembly:

1. Urges States to ensure, wherever possible, that any operating restrictions be adopted only where such action is supported by a prior assessment of anticipated benefits and of possible adverse impacts;

2. Urges States not to introduce any operating restrictions at any airport on aircraft which comply with Volume I, Chapter 3 of Annex 16 before:

a) completing the phase-out of aircraft which exceed the noise levels in Volume I, Chapter 3 of Annex 16, at the airport concerned; and

b) fully assessing available measures to address the noise problem at the airport

concerned in accordance with the balanced approach described in Appendix C;

3. Urges States which, despite the considerations in Resolving Clause 2 above, permit the introduction of restrictions at an airport on the operati ons of aircraft which comply, either through original certification or recertification, with Volume I, Chapter 3 of Annex 16:

a) to base such restrictions on the noise perfo rmance of the aircraft, as determined by the certification procedure conducted cons istent with Annex 16, Volume I;

b) to tailor such restrictions to the noise pr oblem of the airport concerned in accordance with the balanced approach;

c) to limit such restrictions to those of a partia l nature wherever possible, rather than the complete withdrawal of operations at an airport;- 51 -

d) to take into account possible consequences for air transport services for which there are no suitable alternatives (for example, long-haul services);

e) to consider the special circumstances of operators from developi ng countries, in order to avoid undue hardship for such operators, by granting exemptions;

f) to introduce such restrictions gradually ove r time, where possible, in order to take into account the economic impact on operators of the affected aircraft;

g) to give operators a reasonable period of advance notice;

h) to take account of the economic and environmental impact on civil aviation; and

i) to inform ICAO, as well as the other Stat es concerned, of all such restrictions imposed; and

4. Further urges States not to permit the introduction of any operating restrictions aimed at the withdrawal of aircraft that comply, through either original certification or recertification, with the noise standards in Volume I, Chapter 4 of Annex 16.

APPENDIX F

Land-use planning and management

Whereas land-use planning and management is one of the four principal elements of the balanced approach to noise management;

Whereas the number of people affected by aircraft no ise is dependent on the way in which the use of land surrounding an airport is planned and managed, and in particular the extent to which residential development and other noise sensitive activities are controlled;

Whereas activity may increase significantly at most airpor ts and there is a risk that future growth may be constrained by inappropriate land use near airports;

Whereas the phase-out of subsonic jet aircraft which comply with the noise certification standards in Volume I, Chapter 2 of Annex 16 but which ex ceed the noise levels in Volume I, Chapter 3 of Annex 16 has succeeded at many airports in reduci ng the size of the noise contours depicting the areas where people are exposed to unacceptable noise levels as well as in reducing the total number of people exposed to noise;

Considering it essential that these improvements should be preserved to the greatest extent practicable for the benefit of local communities;

Recognizing that the new standard contained in Annex 16, Volume I, Chapter 4 has increased the opportunities for operators to replace aircraft in their fleets by quieter aircraft;

Recognizing that while land-use management includes planning activities that may primarily be the responsibility of local authorities, it neverthe less affects airport capacity, which in turn has implications for civil aviation; and

Whereas guidance material on appropriate land-us e planning and noise mitigation measures is included in the Airport Planning Manual (Doc 9184), Part 2 — Land Use and Environmental Control, which has recently been updated:- 52 -

The Assembly:

1. Urges States that have phased out operations of Chapter 2 aircraft at their airports as provided for in Appendix D to this Resolution, whils t preserving the benefits for local communities to the greatest extent practicable, to avoid inappropriate la nd use or encroachment whenever possible in areas where reductions in noise levels have been achieved;

2. Urges States to ensure that the potential reducti ons in noise levels to be gained from the introduction of quieter aircraft, particularly those comp lying with the new Chapter 4 standard, are also not avoidably compromised by inappropriate land use or encroachment;

3. Urges States, where the opportunity still exists to minimize aircraft noise problems through preventive measures, to:

a) locate new airports at an appropriate place, such as away from noise-sensitive areas;

b) take the appropriate measures so that land- use planning is taken fully into account at the initial stage of any new airport or of development at an existing airport;

c) define zones around airports associated with different noise levels taking into account population levels and growth as well as forecasts of traffic growth and establish criteria for the appropriate use of such land, taking account of ICAO guidance;

d) enact legislation, establish guidance or other appropriate means to achieve compliance with those criteria for land use; and

e) ensure that reader-friendly information on ai rcraft operations and their environmental effects is available to communities near airports; and

4. Requests the Council to:

a) ensure that the guidance on land use in Doc 9184 is current and responsive to the requirements of States; and

b) consider what steps might be taken to pr omote land-use management, particularly in those parts of the world where the opportunity may exist to avoid aircraft noise problems in the future.

APPENDIX G

Supersonic aircraft — The problem of sonic boom

Whereas since the introduction of supersonic aircraft in commercial service action has been taken to avoid creating unacceptable situations for the public due to sonic boom, such as interference with sleep and injurious effects to persons and property on land and at sea caused by the magnification of the sonic boom; and

Whereas the States involved in the manufacture of such supersonic aircraft, as well as other States, continue to carry out resear ch into the physical, physiological and sociological effects of sonic

boom:- 53 -

The Assembly:

1. Reaffirms the importance it attaches to ensuring that no unacceptable situation for the public is created by sonic boom from supersonic aircraft in commercial service;

2. Instructs the Council, in the light of the availabl e information and availing itself of the appropriate machinery, to review the Annexes and other relevant documents, so as to ensure that they take due account of the problems which the operation of supe rsonic aircraft may create for the public and, in particular, as regards sonic boom, to take action to achieve international agreement on measurement of the sonic boom, the definition in quantitative or qualitative terms of the expression “unacceptable situations for the public” and the establishment of the corresponding limits; and

3. Invites the States involved in the manufacture of supersonic aircraft to furnish ICAO in due course with proposals on the manner in which an y specifications established by ICAO could be met.

APPENDIX H

Aviation impact on local air quality

Whereas there are growing concerns about the impact of aviation on the atmosphere with respect to local air quality and the associated human health and welfare impacts;

Whereas the evidence of this impact from emissions of NO

x and particulate matter (PM) from aircraft engines on local surface and regi onal air quality is now more compelling;

Recognizing that the scientific community is improving the understanding of uncertainties associated with the impact from emissions of NOx a nd PM from aircraft engines on the global climate;

Recognizing that there are interdependencies related to design and operations of aircraft when addressing concerns related to noise, lo cal air quality, and climate change;

Recognizing that ICAO has established technical Sta ndards and fostered the development of operational procedures that have reduced signifi cantly local air quality pollution from aircraft;

Whereas many pollutants such as soot and unburned hy drocarbons from aircraft engines affecting local and regional air quality, have declined dramatically over the last few decades;

Whereas recent progress in operational procedures such as continuous descent operations has resulted in further reduction of emissions from aircraft;

Whereas an assessment of trends in aviation emissions of NO

x , PM, and other gaseous emissions shows increasing global emissions values;

Whereas the impacts of aviation emissions of NO

x , PM, and other gaseous emissions need to be further assessed and understood;

Recognizing the robust progress made in understanding impacts of non-volatile component of PM

emissions while the scientific and technical work c ontinues on better assessment of volatile component of PM emissions;- 54 -

Whereas the impacts of aviation emissions on local and regional air quality is part of the total

emissions in the affected area and should be consid ered in the broader context of all sources that contribute to the air quality concerns;

Whereas the actual local air quality and health impacts of aviation emissions depend on a series of factors among which are the contribution to the to tal concentrations and the number of people exposed in the area being considered;

Whereas Article 15 of the Convention on International Civil Aviation contains provisions regarding airport and similar charges, including the principle of non-discrimination, and ICAO has developed policy guidance for Contracting States regarding charges ( ICAO’s Policies on Charges for Airports and Air Navigation Services , Doc 9082) including specific guidance on noise-related charges and emissions-related charges for local air quality;

Whereas the ICAO Council had adopted on 9 December 1996 a policy statement of an interim nature on emission-related charges and taxes in the form of a resolution wher ein the Council strongly recommends that any such levies be in the form of char ges rather than taxes, a nd that the funds collected should be applied in the first instance to mitigating th e environmental impact of aircraft engine emissions;

Whereas such charges should be based on the costs of mitigating the environmental impact of aircraft engine emissions to the extent that such cost s can be properly identified and directly attributed to air transport;

Whereas the ICAO Council has adopted policy and gui dance material related to the use of emission-related charges to address the impact of ai rcraft engine emissions at or around airports;

Noting that the ICAO Council has published information on environmental management systems (EMS) that are in use by aviation stakeholders; and

Noting that the ICAO Council has developed an Airp ort Air Quality Guidance Manual which has been subsequently updated:

The Assembly:

1. Requests the Council to monitor and develop its knowledge of, in cooperation with other relevant international organizations such as W HO, the effects of aviation emissions of PM, NO

x and other gases on human welfare and health, and to di sseminate information in this regard;

2. Requests the Council to continue its work to develop technologically feasible, environmentally beneficial and economically reasonabl e standards to further re duce the impact of local air pollution from aircraft;

3. Requests the Council to develop certification re quirements for non-volatile PM emissions while continuing to monitor progress in scientific a nd technical understanding of volatile and non-volatile components of PM emissions;

4. Requests the Council to ensure that the interd ependencies between measures to reduce aircraft noise and engine emissions that affect lo cal air quality as well as global climate are given due consideration;

5

. Requests the Council continue its work to deve lop long-term technology and operational goals with respect to aviation environmental issues, including NO

x emissions from aircraft;- 55 -

6 . Requests the Council continue to foster operational and air traffic improvements that reduce the impact of local air pollution from aircraft;

7. Encourages action by Contracting States, and othe r parties involved, to limit or reduce international aviation emissions affecting local ai r quality through voluntary measures and to keep ICAO informed;

8. Welcomes the development and promotion of guidance material on issues related to the assessment of airport-related air quality and requests th e Council to actively pursue this activity, aiming for the completion of the Airport Air Quality guidance in 2011;

9. Requests the Council to work with States and stak eholders in promoting and sharing best practices applied at airports in reducing the adverse effects of aviation emissions on local air quality;

10. Welcomes the development of the guidance on emission charges related to local air quality and requests the Council to keep up-to-date such guidance and urges Contracting States to share information on the implementation of such charges; and

11. Urges Contracting States to ensure the highest pr actical level of consistency and take due account of ICAO policies and guidance on emissi ons charges related to local air quality.

A37-19: Consolidated statement of continuing ICAO policies and practices related to environmental protection – Climate change

Whereas ICAO and its member States recognize the cr itical importance of providing continuous leadership to international civil aviation in limiting or reducing its emissions that contribute to global climate change;

Reemphasizing the vital role which international avia tion plays in global economic and social development and the need to ensure that internatio nal aviation continues to develop in a sustainable

manner;

Whereas the ultimate objective of the United Nations Framework Convention on Climate Change (UNFCCC) is to achieve stabilization of greenhouse g as (GHG) concentrations in the atmosphere at a level that would prevent dangerous anthropoge nic interference with the climate system;

Whereas the Kyoto Protocol, which was adopted by the Conference of the Parties to the

UNFCCC in December 1997 and entered into force on 16 February 2005, calls for developed countries (Annex I Parties) to pursue limitation or reducti on of greenhouse gases from “aviation bunker fuels” (international aviation) working through ICAO (Article 2.2);

Acknowledging that international aviation emissions, cu rrently accounting for less than 2 per cent of total global CO 2 emissions, are projected to grow as a resu lt of the continued development of the

sector;

Whereas a comprehensive assessment of aviation’s impact on the atmosphere is contained in the special report on Aviation and the Global Atmosphere , published in 1999, which was prepared at ICAO’s request by the Intergovernmental Panel on Climate Ch ange (IPCC) in collaboration with the Scientific

Assessment Panel to the Montreal Protocol on Substances that Deplete the Ozone Layer;- 56 -

Whereas the IPCC special report recognized that the effects of some types of aircraft emissions are well understood, it revealed that the effects of ot hers are not, and identified a number of key areas of scientific uncertainty that limit the ability to pr oject aviation’s full impacts on climate and ozone;

Whereas ICAO requested that the IPCC include an update of the main findings of the special report in its Fourth Assessment Report, published in 2007 and its Fifth Assessment Report to be published in 2014;

Noting the scientific view that the increase in globa l average temperature above pre-industrial levels ought not to exceed 2°C;

Acknowledging the principles and provisions on comm on but differentiated responsibilities and respective capabilities, and with developed countr ies taking the lead under the UNFCCC and the Kyoto Protocol;

Also acknowledging the principles of non-discrimination and equal and fair opportunities to develop international aviation set forth in the Chicago Convention;

Recognizing that this Resolution does not set a precedent for or prejudge the outcome of negotiations under the UNFCCC and its Kyoto Protocol nor represent the position of the Parties to the UNFCCC and its Kyoto Protocol;

Noting that, consistent with Assembly Reso lution A36-22, the High-level Meeting on International Aviation and Climate Change in Oc tober 2009 (HLM-ENV/09) endorsed the Programme of Action on International Aviation and Climate Change which included global aspirational goals in the form of fuel efficiency, a basket of measures and the means to measure progress;

Recognizing that the aspirational goal of 2 per cent annual fuel efficiency improvement is unlikely to deliver the level of reduction necessar y to stabilize and then reduce aviation’s absolute emissions contribution to climate change, and that goals of more ambition will need to be considered to deliver a sustainable path for aviation;

Noting that, to promote sustainable growth of avia tion, a comprehensive approach, consisting of work on technology and standards, and on operationa l and market-based measures to reduce emissions is

necessary;

Noting that the HLM-ENV/09 declared that ICAO would establish a process to develop a

framework for market based measures in international aviation, taking into account the conclusions of the HLM-ENV/9 and outcome of the UNFCCC COP 15 and bearing in mind relevant ICAO Assembly resolutions and the appendices with a view to complete this process expeditiously;

Noting that the Conference on Aviation and Alternative Fuels in November 2009 (CAAF/09)

endorsed the use of sustainable altern ative fuels for aviation, particularly the use of drop-in fuels in the short to mid-term, as an important means of reducing aviation emissions;

Also noting that the CAAF/09 established an ICAO Gl obal Framework for Aviation Alternative Fuels (GFAAF);

Recognizing the different circumstances among States in their capacity to respond to the challenges associated with climate change and the need to provide necessary support, in particular to developing countries and States having particular needs;- 57 -

Affirming that specific measures to assist developi ng States as well as to facilitate access to financial support, technology transfer a nd capacity building should be initiated;

Whereas the Kyoto Protocol provides for different flexible instruments (such as the Clean Development Mechanism — CDM) which would benefit projects involving developing States;

Affirming that addressing GHG emissions from international aviation requires the active engagement and cooperation of States and the industry, and noting the collective commitments announced by Airports Council International (ACI), Civ il Air Navigation Services Organisation (CANSO), International Air Transport Association (IATA), a nd International Coordinating Council of Aerospace Industries Associations (ICCAIA) on behalf of the inte rnational air transport industry to continuously improve CO 2 efficiency by an average of 1.5 per cent per annum from 2009 until 2020, to achieve carbon neutral growth from 2020 and reducing its carbon em issions by 50 per cent by 2050 compared to 2005 levels;

Recognizing the need to monitor and report the potential impacts of climate change on international aviation operations and related infrastructure; and

Recognizing the progress made by ICAO in its implementation of the Climate Neutral UN initiative and the significant support provided by IC AO to the initiative, in particular through the development of a common methodology for calculating GHG emissions from air travel:

The Assembly:

1. Resolves that this Resolution, together with R esolution A37-18: Consolidated statement of continuing ICAO policies and practices related to environmental protection - General provisions, noise and local air quality, supersede Resolution A36-22 and constitute the consolidated statement of continuing ICAO policies and practices re lated to environmental protection;

2. Requests the Council to:

a) ensure that ICAO exercise continuous lead ership on environmental issues relating to international civil aviation, including GHG emissions;

b) continue to study policy options to lim it or reduce the environmental impact of aircraft engine emissions and to devel op concrete proposals and provide advice as soon as possible to the Conference of th e Parties of the UNFCCC, encompassing technical solutions and market-based measures, and taking into account potential implications of such measures for deve loping as well as developed countries; and

c) continue to cooperate with organizations involved in policy-making in this field, notably with the Conference of the Parties to the UNFCCC;

3. Reiterates that:

a) ICAO should continue to take initiatives to promote information on scientific understanding of aviation’s impact a nd action undertaken to address aviation emissions and continue to provide the forum to facilitate discussions on solutions to address aviation emissions; and

b) emphasis should be on those policy options that will reduce aircraft engine emissions without negatively impacting the growth of air transport especially in developing economies;- 58 -

4. Resolves that States and relevant organizations will work through ICAO to achieve a global annual average fuel efficiency improvement of 2 per cent until 2020 and an aspirational global fuel efficiency improvement rate of 2 per cent per annum from 2021 to 2050, calculated on the basis of volume of fuel used per revenue tonne kilometre performed;

5. Agrees that the goals mentioned in paragra ph 4 above would not attribute specific obligations to individual States, and the different circumstances, respective capabilities and contribution of developing and developed States to the concentr ation of aviation GHG emissions in the atmosphere will determine how each State may voluntarily cont ribute to achieving the global aspirational goals;

6. Also resolves that, without any attribution of specific obligations to individual States, ICAO and its member States with relevant organizati ons will work together to strive to achieve a collective medium term global aspirational goal of keeping the global net carbon emissions from international aviation from 2020 at the same level, taking into account:

a) the special circumstances and respectiv e capabilities of developing countries;

b) that the different circumstances, respectiv e capabilities and contribution of States to

the concentration of aviation GHG emissions in the atmosphere will determine how each State may contribute to achieving the global aspirational goals;

c) that some States may take more ambitious actions prior to 2020, which may offset an increase in emissions from the growth of air transport in developing States;

d) the maturity of aviation markets;

e) the sustainable growth of the international aviation industry; and

f) that emissions may increase due to the exp ected growth in international air traffic until lower emitting technologies and fuels and other mitigating measures are developed and deployed;

7. Agrees to review, at its 38th Session, the goal me ntioned in paragraph 6 above in light of progress towards the goal, new studies regarding the feasibility of achieving the goal, and relevant information from States;

8. Requests the Council to explore the feasibility of a long term global aspirational goal for international aviation, through co nducting detailed studies assessing the attainability and impacts of any goals proposed, including the impact on growth as well as costs in all countries, especially developing countries, for the progress of the work to be prese nted to the 38th Session of the ICAO Assembly. Assessment of long term goals should include in formation from member States on their experiences working towards the medium term goal;

9. Encourages States to submit their action plans out lining their respective policies and actions, and annual reporting on international aviation CO 2 emissions to ICAO;

10. Invites those States that choose to prepare thei r action plans to submit them to ICAO as soon as possible preferably by the end of June 2012 in order that ICAO can compile the information in relation to achieving the global aspirational goals, an d the action plans should include information on the basket of measures considered by States, reflecting their respective national capacities and circumstances, and information on any specific assistance needs;- 59 -

11. Requests the Council to facilitate the dissemination of economic and technical studies and best practices related to aspirational goals and to provide guidance and other technical assistance for the preparation of States’ action plans prior to the end of June 2012, in order for States to conduct their necessary studies and to voluntarily submit their action plans to ICAO;

12. Resolves that a de minimis threshold of international aviation activity of 1 per cent of

total revenue ton kilometres s hould apply to the submission of States’ action plans as follows:

a) States below the threshold are not expected to submit action plans towards achieving the global goals; and

b) States below the threshold but that otherwise have agreed to voluntarily contribute to achieving the global goals are expected to submit action plans;

13. Requests the Council, with the support of member States, to undertake work to develop a framework for market-based measures (MBMs) in intern ational aviation, including further elaboration of the guiding principles listed in the Annex, for consid eration by the 38th Session of the ICAO Assembly;

14. Urges States to respect the guiding principles listed in the Annex, when designing new and implementing existing MBMs for in ternational aviation, and to engage in constructive bilateral and/or

multilateral consultations and negotiations with other Stat es to reach an agreement;

15. Resolves on a de minimis threshold of international aviati on activity, consistent with the guiding principles in the Annex, of 1 per cent of total revenue ton kilometres to MBMs as follows:

a) commercial aircraft operators of Stat es below the threshold should qualify for exemption for application of MBMs that are established on national, regional and global levels; and

b) States and regions implementing MBMs may wish to also consider an exemption for other small aircraft operators;

16. Requests the Council to review the de minimis threshold to MBMs in paragraph 15, taking into account specific circumstances of States and potential impacts on the aviation industry and markets, and with regard to the guiding principles listed in the Annex, by the end of 2011;

17. Urges States to review existing and planned MB Ms for international aviation to ensure their consistency with the guiding principles listed in the Annex and the provisions in paragraphs 15 and 16 above;

18. Requests the Council, with the support of member States and international organizations, to continue to explore the feasibility of a globa l MBM scheme by undertaking further studies on the technical aspects, environmental benefits, economic impacts and the modalities of such a scheme, taking into account the outcome of the negotiations under th e UNFCCC and other interna tional developments, as appropriate, and report the progress for consideration by the 38th Session of the ICAO Assembly;

19. Recognizes that in the short term voluntary carbon offsetting schemes constitute a practical way to offset CO 2 emissions, and invites States to encourage their operators wishing to take early actions to use carbon offsetting, particular ly through the use of credits generated from internationally recognized schemes such as the CDM;

20. Requests the Council to collect information on the volume of carbon offsets purchased in relation to air transport, and to c ontinue to develop and disseminate best practices and tools, such as the- 60 -

ICAO Carbon Emissions Calculator, that will help harmonize the implementation of carbon offset

programmes;

21. Requests the Council to regularly report CO 2 emissions from international aviation to the UNFCCC, as part of its contribution to assessing progress made in the implementation actions in the sector based on information approved by its member States;

22. Requests the Council to:

a) study, identify and develop processes and me chanisms to facilitate the provision of technical and financial assistance, as we ll as facilitate access to existing and new financial resources, technology transfer and capacity building, to developing countries and report on its progress, includi ng processes and mechanisms developed, results achieved as well as further recommendations, preliminarily by the end of 2012 and at the 38th Session of the Assembly; and

b) initiate specific measures to assist developi ng States as well as to facilitate access to financial resources, technology transfer and capacity building;

23. Requests States to:

a) promote scientific research aimed at continuing to address the uncertainties identified in the IPCC special report on Aviation and the Global Atmosphere and in the Fourth Assessment report;

b) ensure that future international assessmen ts of climate change undertaken by IPCC

and other relevant United Nations bodies in clude updated information, if any, on aircraft-induced effects on the atmosphere;

c) accelerate investments on research and development to bring to market even more efficient technology by 2020;

d) accelerate the development and implementation of fuel efficient routings and procedures to reduce aviation emissions;

e) accelerate efforts to achieve environmen tal benefits through the application of satellite-based technologies that improve th e efficiency of air navigation and work with ICAO to bring these benefits to all regions and States;

f) reduce legal, security, economic and ot her institutional barriers to enable implementation of the new ATM operating con cepts for the environmentally efficient use of airspace;

g) develop policy actions to accelerate the appropriate development, deployment and use of sustainable alternative fuels for aviation;

h) work together through ICAO and other re levant international bodies, to exchange information and best practices; and

i) consider measures to support sustainabl e aviation alternative fuels research and development, investments in new feedstoc k cultivations and production facilities, as

well as incentives to stimulate commercialisa tion and use of sustainable alternative

fuels for aviation to accelerate the reduction of aviation CO 2 emissions;- 61 -

24. Requests the Council to:

a) continue to develop and keep up-to-date the guidance for member States on the application of policies and measures aimed at reducing or limiting the environmental impact of emissions from aviation, and conduct further studies with respect to mitigating the impact of aviation on climate change;

b) encourage States to cooperate in the development of predictive analytical models for the assessment of aviation impacts;

c) continue evaluating the costs and benefits of the various measures, including existingmeasures, with the goal of addressing aircraft engine emissions in the most costeffective manner, taking into account the interests of all parties concerned, including potential impacts on developing world;

d) provide the necessary guidance and direction to ICAO’s Regional Offices to assist member States with studies, evaluations and development of procedures, in collaboration with other States in the region, to limit or reduce GHG emissions on a global basis and work together collaborativel y to optimize the environmental benefits that can be achieved through their various programmes;

e) develop a global CO 2 Standard for aircraft aiming for 2013;

f) further elaborate on relevant fuel effici ency metrics, including for international business aviation, and develop medium a nd long term technological and operational goals for aircraft fuel burn;

g) encourage member States and invite indus try to actively participate in further work on sustainable alternative fuels for aviation;

h) work with financial institutions to fa cilitate access to financing infrastructure development projects dedicated to sustainable aviation alternative fuels and incentives to overcome initial market hurdles;

i) continue to develop the necessary tools to assess the benefits associated with ATM improvements, and intensify its efforts on the development of new guidance on operational measures to reduce inte rnational aviation emissions;

j) implement an emphasis on increasing fuel efficiency in all aspects of the ICAO’s Global Air Navigation Plan, and encourage St ates and stakeholders to develop air traffic management that optimize environm ental benefits and to promote and share best practices applied at airports in reducing the adverse effects of GHG emissions of civil aviation;

k) identify appropriate standard methodologi es and a mechanism to measure/estimate, monitor and verify global GHG emissions from international aviation, and States support the work of ICAO on measuring progress through the reporting of annual data on traffic and fuel consumption;

l) request States to continue to support th e efforts of ICAO on enhancing the reliability of measuring/estimating global GHG emissions from international aviation;- 62 -

m) undertake a study on the possible application of CDM of the Kyoto Protocol to international aviation;

n) monitor and disseminate relevant info rmation on the potential impacts of climate change on international aviation operations and related infrastructure, in cooperation

with other relevant international or ganizations and the industry; and

o) continue to cooperate with the Climate Neutral UN initiative, remain at the forefront of developing methods and tools for qua ntifying aviation’s GHG emissions with respect to the initiative, and further deve lop and implement the strategy for reducing GHG emissions and enhancing in-house sustai nability management practices of the Organization.

Annex

The guiding principles for the design and implem entation of market-based measures (MBMs) for

international aviation:

a) MBMs should support sustainable developmen t of the international aviation sector;

b) MBMs should support the mitigation of GHG emissions from international aviation;

c) MBMs should contribute towards ach ieving global aspirational goals;

d) MBMs should be transparent and administratively simple;

e) MBMs should be cost-effective;

f) MBMs should not be duplicativ e and international aviation CO 2 emissions should be accounted for only once;

g) MBMs should minimize carbon leakage and market distortions;

h) MBMs should ensure the fair treatment of the international aviation sector in relation to other sectors;

i) MBMs should recognize past and future ach ievements and investments in aviation fuel efficiency and in other measures to reduce aviation emissions;

j) MBMs should not impose inappropriate ec onomic burden on international aviation;

k) MBMs should facilitate appropriate access to all carbon markets;

l) MBMs should be assessed in relation to various measures on the basis of performance measured in terms of CO 2 emissions reductions or avoidance, where appropriate;

m) MBMs should include de minimis provisions;

n) where revenues are generated from MBMs, it is strongly recommended that they should be applied in the first instance to mitigating the environmental impact of- 63 -

aircraft engine emissions, including mitigation and adaptation, as well as assistance to and support for developing States; and

o) where emissions reductions are achieved thr ough MBMs, they should be identified in States’ emissions reporting.

Reservations to Resolution A37-19

The following reservations were recorded by th e delegations indicated below in respect of specific articles of Resolution A37-19 and are available at http://www.icao.int/Assembly37/docs/

Paras 6, 12, 14, 15, 16 Argentina, Bolivia, Brazil, Cuba, India, Iran, Iraq, Libyan Arab Jamahiriya, Pakistan, Saudi Arabia,

Venezuela

Paras. 6c), 15 Australia

Paras. 6, 14, 15, 17 Belgium on behalf of EU and its member States and

the other ECAC members

Paras. 6 c), 15, Canada

Paras. 6, 14, 15 China

Para. 6c) Japan

Paras. 12, 15 Russian Federation

Para. 15 Singapore, United Arab Emirates

Paras. 6, 15 United States- 64 -

A37-20: Consolidated statement of continuing ICAO policies in the air transport field

Introduction

Whereas the Convention on International Civil Aviation establishes the basic principles to be followed by governments to ensure that internatio nal air transport services may be developed in an orderly, regular, efficient, economical, harmonious a nd sustainable manner and it is therefore one of the purposes of ICAO to support principles and arrangements in order that international air transport services may be established on the basis of equality of op portunity, sound and economic operation, mutual respect of the rights of States and taking into account the general interest;

Whereas air transport is a major factor in promoting and fostering sustained economic development at national as well as international levels;

Whereas it is becoming increasingly difficult, particular ly for developing countries, to secure the necessary resources required to optimize the opportun ities and meet the challenges inherent in the development of air transport, and to keep pace w ith the challenges posed by demands on air transport;

Whereas the Organization prepares guidance, studies and statistics on the development of air transport for Contracting States on a continuing basi s and these should be kept current, focused and

relevant and should be dissemina ted to Contracting States through the most effective means;

Whereas Contracting States are required to provide accu rate and factual statistical data and other information in order that the Orga nization may prepare this guidance;

Whereas the Organization is moving toward management by objective with more focus on implementation over standard setting;

Whereas guidance developed by the Organization, and action taken by the Organization in implementing its Strategic Objectives, should assist Contracting States in developing policies and practices that facilitate the globalization, commerci alization and liberalizati on of international air transport; and

Whereas it is important for Contracting States to partic ipate in the work of the Organization in the air transport field:

The Assembly:

1. Resolves that the Appendices attached to this resolution and listed below constitute the consolidated statement of continuing ICAO policies in the air transport field, as these policies exist at the close of the 37th Session of the Assembly:

Appendix A — Economic regulation of international air transport

Appendix B — Statistics

Appendix C — Forecasting, planning and economic analyses

Appendix D — Facilitation

Appendix E — Taxation

Appendix F — Airports and air navigation services- 65 -

Appendix G — Air carrier economics

Appendix H — Air mail

2. Urges Contracting States to have regard to th ese policies and their continuing elaboration by the Council in documents identified in this conso lidated statement and by the Secretary General in manuals and circulars;

3. Urges Contracting States to make every effort to fulfil their obligations, arising out of the Convention and Assembly resolutions, to support the work of the Organization in the air transport field, and, in particular, to provide as completely and prom ptly as possible the statistical and other information asked for by the Organization for its air transport studies;

4. Requests the Council to attach particular importance to the problem of financing the development of the human and technical resources neces sary to ensure the best possible contribution of air transport to the economic and social well-being of developing countries;

5. Requests the Council, when it considers that it w ould be of benefit in assisting its work on any air transport issues, to consult expert re presentatives from Contracting States by the most appropriate means, including the establishment of pane ls of such qualified experts, reporting to the Air Transport Committee or of Secretariat study groups , and working by correspondence or by meetings;

6. Requests the Council to convene Conferences or Divisional meetings, in which all Contracting States may participate, as the princi pal means of progressing the resolution of issues of worldwide importance in the air transport field, wh en such meetings are justified by the number and importance of the issues to be dea lt with and where there is the like lihood of constructive action upon them;

7. Requests the Council to provide for workshops, se minars and other such meetings as may be required to disseminate ICAO’s air transpor t policies and associated guidance to and amongst Contracting States;

8. Requests the Council to keep the consolidated statement of ICAO’s air transport policies under review and advise the Assembly as appropriate when changes are needed to the statement; and

9. Declares that this resolution supersedes Resolution A36-15.

APPENDIX A

Economic regulation of international air transport

Section I. Agreements and arrangements

Whereas the basic principles of sovereignty, fair and equal opportunity, non-discrimination, interdependence, harmonization and cooperation set out in the Conventi on have served international air transport well and continue to provide the basis for its future development;

Whereas multilateralism in commercial rights to the gr eatest possible extent continues to be an objective of the Organization;- 66 -

Whereas within the framework of the Convention, Contracting States have many differing regulatory goals and policies but share a fundamental objective of participation through reliable and

sustained involvement in the inte rnational air transport system;

Whereas one of the objectives of the Convention is that international air transport services may be operated soundly and eco nomically and in that regard the Inte rnational Air Services Transit Agreement (IASTA) facilitates the achievement of that objective fo r the Contracting States who are already parties to it;

Whereas the Assembly has repeatedly stressed the ob ligation of each Contracting State to comply with Article 83 of the Convention by registering with the Council as soon as possible all arrangements relating to international civil aviation, in accordance with the Rules for Registration with ICAO of Aeronautical Agreements and Arrangements ;

Whereas undue delays and non-compliance relating to th e registration of aeronautical agreements and arrangements are not desirable for the accuracy and completeness of regulatory information and for enhancing transparency;

Whereas the establishment of international air transpor t fares and rates should be fair, transparent and designed to promote the satisfactory development of air services;

Whereas consumer interest should be given due re gard in the development of policy and regulation of international air transport;

Whereas there is a need to adapt to the changing regu latory and operating environment in the air transport field and the Organization has accordingl y developed policy guidan ce for the regulation of international air transport, including model clauses and template air services agreements, for optional use by States in bilateral or regional agreements; and

Noting that the Organization has developed and provid ed to States an innovative meeting facility, the ICAO Air Services Negotiation Conference (ICAN), which facilitates and improves the efficiency of their air services negotiations and consultations:

The Assembly:

1. Reaffirms the primary role of ICAO in developi ng policy guidance on the regulation of international air transport and in assistin g and facilitating liberalization as necessary;

2. Urges Contracting States that have not yet become parties to the International Air Services Transit Agreement (IASTA) to give urgent consideration to so doing;

3. Urges all Contracting States to register coope rative agreements and arrangements relating

to international civil aviation with ICAO in acco rdance with Article 83 of the Convention and the Rules for Registration with ICAO of Aeronautical Agreements and Arrangements ;

4. Urges Contracting States to keep the Council fully informed of serious problems arising from the application of air services agreements or arrangements and of any developments which tend toward the objective of multilateralism in the exchange of commercial rights;

5. Encourages Contracting States to make use of and benefit from the ICAO Air Services Negotiation Conference facility;

6. Requests the Council to continue to cooperate with regional and subregional bodies in their examination and development of measures of cooperation, including liberalized arrangements, and- 67 -

the results of these measures, in order to see whether similar or other measures should at the appropriate time be recommended to Contracting States for application on a wider basis;

7. Requests the Council to continue the comparative and analytical study of the policies and practices of Contracting States and airlines concerning commercial rights and the provisions of air services agreements and to inform all Contracting States of any new developments in international cooperation, including liberalized arrangem ents, with respect to commercial rights;

8. Requests the Council to keep under review the machinery for establishing the Organization’s policy guidance on the regulation of intern ational air transport, and to revise or update it as required;

9. Requests the Council to review periodically the rules for registration of aeronautical agreements and arrangements with a view to simplifying the process of registration;

10. Requests the Secretary General to remind Contracting States of the importance of registration without undue delay, of aeronautical agreements and arrangements and to provide such assistance to Contracting States as they may require in registering their aeronautical agreements and arrangements with the Council; and

11. Requests the President of the Council and the Secretary General to promote universal adherence to and implementation of the Internatio nal Air Services Transit Agreement (IASTA) and to urge Contracting States to inform the Secretariat of their intentions with respect to adherence to the

agreement.

Section II. Cooperation in regulatory arrangements

Whereas certain economic, financial and operational constraints un ilaterally introduced at the national level affect the stability of, and tend to create unfair discriminatory trading practices in, international air transport and might be incompatible with the basic principles of the Convention and the orderly and harmonious development of international air transport;

Whereas the provision of regular and reliable air tran sport services is of fundamental importance to the development of the economies of States, especially the developing States, including those dependent on tourism;

Whereas the strict application of the criterion of su bstantial ownership and effective control for

the authorization of an airline to exercise route and other air transport rights could deny many States a fair and equal opportunity to operate in ternational air services and to optimize the benefits to be derived therefrom;

Whereas air carrier designation and authorization for ma rket access should be liberalized at each State’s pace and discretion progressively, flexibly and with effective regulatory control in particular regarding safety and security;

Whereas the broadening or the flexible applicatio n of the criteria for airline designation and authorization could help create an operating environmen t in which international air transport may develop and flourish in a stable, efficient and economical manne r, and contribute to the participation objectives of States in the liberalization process, without prejudice to States’ obligations for aviation safety and security;

Whereas the realization of developmental objectives among such States is increasingly being promoted by cooperative arrangements in the form of regional economic groupings and functional- 68 -

cooperation symbolic of the affinity and community of interest which are particularly shared among developing States belonging to such regi onal economic integration movements; and

Whereas the exercise of route and other air transport rights of a developing State having such community of interest by an airline substantially ow ned and effectively controll ed by another developing State or States or its or their nationals sharing the same community of interests will serve to promote the foregoing interests of developing States:

The Assembly:

1. Urges Contracting States to avoid adopting unilate ral measures that may affect the orderly and harmonious development of international air tr ansport and to ensure that domestic policies and legislation are not applied to international air tr ansport without taking due account of its special characteristics;

2. Urges Contracting States to accept such designations and allow such airlines to exercise the route rights and other air transport rights of a State or States, in particular developing States, within the same grouping, under mutually acceptable terms a nd conditions including air transport agreements negotiated or to be negotiate d by the parties concerned;

3. Urges Contracting States to recognize the concept of community of interest within regional or subregional economic groupings as a valid basis for the designation by one developing State or States of an airline of another developing State or States w ithin the same regional economic grouping where such airline is substantially owned and e ffectively controlled by such other developing State or States or its or their nationals;

4. Urges Contracting States to give consideration to the use of alternative criteria for airline designation and authorization, including those devel oped by ICAO, and to adopt a flexible and positive approach to accommodate other States in their effo rts to liberalize air carrier ownership and control without compromising safety and security;

5. Invites Contracting States with experience in various forms of joint operation of international air services to submit to the Council, on a continuing basis, full information concerning their experience, so that the Organization may have in this particular field all information that might be of assistance to Contracting States;

6. Requests the Council, when approached, to rende r all feasible assistance to Contracting States wishing to enter regional or subregional ec onomic groupings with respect to the operation of international air services; and

7. Requests the Council to give assistance, when approached, to Contracting States that take the initiative in developing cooperative arrangeme nts for the joint ownership and operation of international air services, directly among themselves or whose airlines develop such arrangements, and to promptly circulate to States information concerning such cooperative arrangements.

Section III. Airline product distribution

Whereas the advancement of information and el ectronic technologies have had a significant impact on the way the airline industry is doing business, particularly on its product distribution; and

Whereas ICAO has developed a Code of Conduct for the Regulation and Operation of Computer Reservation Systems (CRSs) for States to follow, and two related Model Clauses for optional use by States in their air services agreements:- 69 -

The Assembly:

1. Requests the Council to monitor developments in airline product distribution and related regulatory practices, and disseminate information to Contracting States on significant developments; and

2. Requests the Council to review whether there is a continued need for the ICAO CRS Code and Model Clauses in light of the industry and regulatory changes.

Section IV. Trade in services

Whereas on the issue of including aspects of inte rnational air transport under the General Agreement on Trade in Services (GATS), ICAO has ac tively promoted an understanding by all parties concerned of the provisions of the Convention on International Civil Aviation and of the particular mandate and role of ICAO in international air transport:

The Assembly:

1. Reaffirms the need for ICAO to continue to e xplore future regulatory arrangements and develop recommendations and proposals to meet th e challenges facing international air transport, responding to the internal and external changes affecting it;

2. Recognizes that such arrangements should create an environment in which international air transport may develop and continue to flourish in an orderly, efficient and economical manner without compromising safety and security, while ensuring the interests of all Contracting States and their effective and sustained participation in international air transport;

3. Reaffirms the primary role of ICAO in developi ng policy guidance on the regulation of international air transport;

4. Urges Contracting States that participate in trade negotiations, agreements and arrangements relating to inte rnational air transport to:

a) ensure internal coordination in their na tional administrations and in particular the

direct involvement of aeronautical aut horities and the aviation industry in the negotiations;

b) ensure that their representatives are fully aware of the provisions of the Convention
on International Civil Aviation , the particular characteristics of international air transport and its regulatory structur es, agreements and arrangements;

c) take into account their rights and obligations vis-à-vis those of ICAO Member States which are not members of the World Trade Organization;

d) examine carefully the implications of an y proposed inclusion of an additional air transport service or activity in the GATS bearing in mind, in particular, the close linkage between economic, environmen tal, safety and security aspects of international air transport;

e) promote a full understanding of the role and mandate of ICAO in developing policy guidance on economic regulation, including liberalization of international air transport, and consider using this guidance; and- 70 -

f) file with ICAO under Article 83 of the Convention copies of any exemptions and specific commitments pertaining to international air transport made under the GATS;

5. Requests the World Trade Organization, its Member States and Observers to accord due

consideration to:

a) the particular regulatory structures and a rrangements of international air transport and the liberalization taking place at the bila teral, subregional and regional levels;

b) ICAO’s constitutional responsibility for intern ational air transport and, in particular, for its safety and security; and

c) ICAO’s existing policy and guidance ma terial on the economic regulation of international air transport and its continued work in the field; and

6. Requests the Council to:

a) continue to exert a global leadership ro le in facilitating and coordinating the process

of economic liberalization while ensuri ng safety, security and environmental protection in international air transport;

b) pursue in a proactive manner developments in trade in services that might impinge on international air transport and inform Contracting States accordingly; and

c) promote continued effective communica tion, cooperation and coordination between ICAO, the World Trade Organization, and other intergovernmental and nongovernmental organizations dealing with trade in services.

Section V. Elaboration of policy guidance

Whereas governments have international obliga tions and responsibilities in the economic regulation of international air transport;

Whereas economic liberalization and the evolution of ai r transport industry will continue to bring about opportunities, challenges and issues with respect to the regulation of international air transport; and

Whereas the Organization has addressed many of the regulatory issues and compiled related policies and guidance material:

The Assembly:

1. Urges Contracting States in their regulatory functions to have regard to the policies and guidance material developed by ICAO on economic regula tion of international air transport, such as those contained in Doc 9587, Policy and Guidance Material on the Economic Regulation of International Air Transport; and

2. Requests the Council to ensure that these polici es and guidance material are current and responsive to the requirements of Contracting Stat es, and to develop guidance on emerging issues of general interest where required.- 71 -

APPENDIX B

Statistics

Whereas ICAO’s Statistics Programme provides an independent and global foundation for the purpose of fostering the planning and sustainable development of international air transport;

Whereas each Contracting State has undertaken that its international airlines shall file the statistics requested by the Council in accordance with Article 67 of the Convention;

Whereas the Council has also laid down requirements for statistics on domestic airline operations, international airports, and international route facilitie s, pursuant to Articles 54 and 55 of the Convention;

Whereas the Council has laid down requirements for data collection on civil aircraft on register pursuant to Article 21 of the Convention;

Whereas there is a need for the Organization to co llect data from States on annual aviation fuel consumption to be used to address emerging challe nges of sustainable development of air transport;

Whereas the nomination by States of focal points for aviation statistics will facilitate the timely filing of statistics and data requested by ICAO;

Whereas the Council has adopted a policy of management by objective which requires collection of pertinent data and analysis to measure the performance of the Organization as a whole and of its constituent parts in meeting the Strate gic Objectives of the Organization;

Whereas the development of ICAO’s integrated statis tical database for validation and storage of data provides Contracting States and other users with an efficient online system for the retrieval of statistical data;

Whereas a number of Contracting States are still not filing, or have not been filing completely, the statistics requested by the Council; and

Whereas cooperation amongst international organizati ons active in the area of collection and distribution of aviation statistics may enable reduction in the burden of filing statistics:

The Assembly:

1. Urges Contracting States to nominate focal points for aviation statistics, and to make every effort to provide the statistics required by ICAO on time and to submit them electronically whenever possible;

2. Requests the Council, calling on national experts in the relevant disciplines as required, to examine on a regular basis the statistical data collect ed by ICAO in order to meet more effectively the needs of the Organization and its Member States, and to establish the necessary metrics to monitor the performance of the Organization in meeting its Strate gic Objectives, to improve the uniformity of the statistics, the completeness and timeliness of reporting by Contracting States, and the form and content of analyses; and

3. Requests the Council to:

a) continue to explore ways of closer coope ration with other international organizations active in the collection and distribution of aviation statistics; and- 72 -

b) make arrangements, on an appropriate basi s, for assistance to be given upon request to Contracting States by personnel of the Secretariat for the improvement of their

civil aviation statistics and their sta tistical reporting to the Organization.

APPENDIX C

Forecasting, planning and economic analyses

Whereas ICAO’s independence in carrying out inves tigations into trends and in applying economic analyses provides a necessary foundation for fostering the planning and sustainable development of international air transport;

Whereas Contracting States require global and regional forecasts of future civil aviation developments for various purposes;

Whereas the Council, in carrying out its continuing f unctions in the economic field, must foresee future developments likely to requ ire action by the Organization and must initiate such action in good time;

Whereas the Organization has to regularly assess its pe rformance against its Strategic Objectives with particular focus on safety, security, environmental protection a nd sustainable development of air transport; and

Whereas the Organization requires specific forecast s and economic support for airports and air navigation systems planning and environm ental monitoring and planning purposes:

The Assembly:

1. Requests the Council to prepare and maintain, as n ecessary, forecasts of future trends and developments in civil aviation of both a general a nd a specific kind, including, where possible, local and regional as well as global data, and to make these availa ble to Contracting States and support data needs of safety, security, environment and efficiency;

2. Requests the Council to develop methodologies and procedures for the preparation of forecasts, the analyses of cost-ben efit or cost-effectiveness, and the development of business cases to meet the needs of the Organization, the regional ai r navigation planning groups and, as required, other systems or environmental planning bodies of the Organization; and

3. Requests the Council to make arrangements to co llect and develop material on current forecasting methods both for the purposes described in clauses 1 and 2 and for dissemination to Contracting States from time to time as guidance in their own forecasting, planning and economic analyses.

APPENDIX D

Facilitation

Section I. Development and implementation of facilitation provisions

Whereas Annex 9 — Facilitation , was developed as a means of articulating the obligations of Contracting States under Articles 22, 23 and 24 of the Convention and standardizing procedures for meeting the legal requirements referred to in Articles 10, 13, 14, 29 and 35;- 73 -

Whereas implementation of the Standards and Recommended Practices in Annex 9 is essential to facilitate the clearance of aircraft, passengers and th eir baggage, cargo and mail and manage challenges in border controls and airport processes so as to mainta in the efficiency of air transport operations;

Whereas it is essential that Contracting States continue to pursue the objective of maximizing efficiency and security in such clearance operations;

Whereas the Convention on the Rights of Persons wi th Disabilities and its Optional Protocol, that had been adopted in December 2006 by the United Na tions General Assembly, entered into force on 3 May 2008;

Whereas the development of specifications for m achine readable travel documents by the Organization has proved effective in the developmen t of systems that expedite the movement of international passengers and crew members through clearance control at airports while enhancing immigration compliance programmes; and

Whereas the development of a set of standard sign s to facilitate the efficient use of airport terminals by travellers and other users has proved effective and beneficial:

The Assembly:

1. Urges Contracting States to give special attention to increasing their efforts to implement

Annex 9 Standards and Recommended Practices;

2. Requests the Council to ensure that Annex 9 — Facilitation, is current and addresses the contemporary requirements of Contracting States with respect to administration of border controls, cargo and passengers, the protection of passenger and crew health and the accessibility to air transport by persons with disabilities;

3. Requests the Council to ensure that the provisions of Annex 9 — Facilitation, and

Annex 17 — Security, are compatible with and complementary to each other;

4. Requests the Council to ensure that its specifications and guidance material in Doc 9303,
Machine Readable Travel Documents, remain up to date in the light of technological advances and to continue to explore technological solutions aimed at improving clearance procedures; and

5. Requests the Council to ensure that Doc 9636, International Signs to Provide Guidance to Persons at Airports and Marine Terminals , is current and responsive to the requirements of Contracting States.

Section II. International cooperation in protecting the security and integrity of passports

Whereas the passport is the basic official doc ument that denotes a person’s identity and citizenship and is intended to inform the State of transit or destination that the bearer can return to the State which issued the passport;

Whereas international confidence in the integrity of the passport is essential to the functioning of the international travel system;

Whereas the veracity and validity of machine read able travel documents (MRTDs) depends on

the documentation used to establish identity, confirm citizenship or nationality and assess entitlement of the passport applicant (i.e. ‘breeder’ documentation);- 74 -

Whereas Member States of the United Nati ons have resolved, under the Global Counter-Terrorism Strategy adopted on 8 September 2006, to step up efforts and cooperation at every level, as appropriate, to improve the security of manuf acturing and issuing identity and travel documents and to prevent and detect their alteration or fraudulent use;

Whereas Resolution 1373 adopted by the United Nations Security Council on 28 September 2001, decided that all States shall preven t the movement of terrorists or terrorist groups by

effective border controls and controls on issuance of identity papers and travel documents, and through measures for preventing counterfeiting, forgery or frau dulent use of identity papers and travel documents;

Whereas high-level cooperation among States is require d in order to strengthen resistance to passport fraud, including the forgery or counterfeiting of passports, the use of forged or counterfeit passports, the use of valid passports by impostors, th e use of expired or revoked passports, and the use of fraudulently obtained passports;

Whereas the use of stolen blank passports, by tho se attempting to enter a country under a false identity, is increasing worldwide; and

Whereas ICAO provides assistance to States in all matters related to MRTDs including project planning, implementation, education, training and system evaluation services, and has set up the Public Key Directory (PKD) to strengthen the security of biometrically-enhanced MRPs (ePassports):

The Assembly:

1. Urges Contracting States to intensify their effo rts to safeguard the security and integrity of the breeder documentation;

2. Urges Contracting States to intensify their effo rts to safeguard the security and integrity of their passports, to protect their passports agains t passport fraud, and to assist one another in these

matters;

3. Urges those Contracting States that have not already done so, to issue machine readable passports in accordance with the speci fications of Doc 9303, Part 1;

4. Urges Contracting States to ensure that th e expiration date of non-machine readable passports falls before 24 November 2015;

5. Urges those Contracting States requiring assistance in implementing MRTD standards and specifications to contact ICAO without delay;

6. Requests the Council to take appropriate measu res to establish guidance on breeder documentation;

7. Requests the Council to continue the work on en hancing the effectiveness of controls on passport fraud by implementing the related SARPs of Annex 9 and developing guidance material to assist Contracting States in maintaining the integrity and securi ty of their passports and other travel documents;

8. Urges those States issuing ePassports to join the ICAO PKD; and all receiving States to verify the digital signatures asso ciated with the passports; and

9. Urges those Contracting States that are not already doing so, to provide routine and timely submissions of lost and stolen passport data to Interpol’s Automated Search Facility/Stolen and

Lost Travel Document Database.- 75 -

Section III. National and international ac tion and cooperation on facilitation matters

Whereas there is a need for continuing action by Co ntracting States to improve the effectiveness and efficiency of clearance control formalities;

Whereas the establishment and active operation of national facilitation committees is a proven means of effecting needed improvements;

Whereas cooperation on facilitation matters amongst Contracting States and with the various national and international parties interested in facilita tion matters has brought benefits to all concerned;

and

Whereas such cooperation has become vital in the light of the proliferation of non-uniform passenger data exchange systems that adversely a ffect the viability of the air transport industry:

The Assembly:

1. Urges Contracting States to establish and utilize national facilitation committees and adopt policies of cooperation on a regional basis among neighbouring States;

2. Urges Contracting States to participate in regional and subregional facilitation programmes of other intergovern mental aviation organizations;

3. Urges Contracting States to take all necess ary steps, through national facilitation committees or other appropriate means, for:

a) regularly calling the attention of all inte rested departments of their governments to

the need for:

1) making the national regulations and pr actices conform to the provisions and intent of Annex 9; and

2) working out satisfactory solutions fo r day-to-day problems in the facilitation field; and

b) taking the initiative in any follow-up action required;

4. Urges Contracting States to encourage the study of facilitation problems by their national

and other facilitation committees an d to coordinate the findings of their committees on facilitation problems with those of other Contracting States with which they have air links;

5. Urges neighbouring and bordering States to cons ult one another about common problems that they may have in the facilitation field whenever it appears that these consultations may lead to a uniform solution of such problems;

6. Urges Contracting States to encourage their airc raft operators to continue to cooperate intensively with their governments as regards:

a) identification and solution of facilitation problems; and

b) developing cooperative arrangements for the prevention of illicit narcotics trafficking, illegal immigration and other threats to national interests;- 76 -

7. Urges Contracting States to call upon internati onal operators and their associations to participate to the extent possible in electronic data interchange systems in order to achieve maximum efficiency levels in the processing of passenger a nd cargo traffic at international terminals;

8. Urges Contracting States, in their use of electr onic data interchange systems, to ensure that their passenger data requirements conform to in ternational standards adopted by relevant United Nations agencies for this purpose; and

9. Urges States and operators, in cooperation with in terested international organizations, to make all possible efforts to speed up the handling an d clearance of air cargo, while ensuring the security of the international supply chain.

APPENDIX E

Taxation

Whereas international air transport plays a major role in the development and expansion of international trade and travel and the imposition of taxes on aircraft, fuel, and consumable technical supplies used for international air transport, taxes on the income of internationa l air transport enterprises and on aircraft and other movable property associated w ith the operation of aircraft in international air

transport, and taxes on its sale or use, may have an adverse economic and competitive impact on international air transport operations;

Whereas ICAO policies in Doc 8632, ICAO’s Policies on Taxation in the Field of International Air Transport , make a conceptual distinction between a charge an d a tax in that ‘a charge is a levy that is designed and applied specifically to recover the costs of providing facilities and services for civil aviation, and a tax is a levy that is designed to raise nationa l or local government revenues which are generally not applied to civil aviation in their en tirety or on a cost-specific basis’;

Whereas it is a matter of great concern that taxes are increasingly being imposed by some Contracting States in respect of certain aspects of intern ational air transport and that charges on air traffic, several of which can be categorized as taxes on the sale or use of international air transport, are proliferating;

Whereas the matter of aircraft engine emission-related levies is addressed in Assembly Resolution A37-18, Consolidated statement of continuing ICAO policies and practices related to environmental protection – General provisions, noise and local air quality (Appendix H, Aviation impact on local air quality) ; and

Whereas the resolution in Doc 8632 supplements Article 24 of the Convention and is designed to recognize the uniqueness of international civil aviation a nd the need to accord tax exempt status to certain aspects of the operations of international air transport:

The Assembly:

1. Urges Contracting States to follow the resolu tion of the Council as contained in Doc 8632, ICAO’s Policies on Taxation in the Field of International Air Transport ; and

2. Requests the Council to ensure that the guidance and advice contained in Doc 8632 are current and responsive to the requirements of Contracting States.- 77 -

APPENDIX F

Airports and air navigation services

Section I. Charging policy

Whereas ICAO policies in Doc 9082, ICAO's Policies on Charges for Airports and Air Navigation Services make a conceptual distinction between a char ge and a tax in that ‘a charge is a levy that is designed and applied specifically to recover the costs of providing facilities and services for civil aviation, and a tax is a levy that is designed to raise national or local government revenues which are generally not applied to civil aviation in their entirety or on a cost-specific basis’;

Whereas the matter of aircraft engine emission-related levies and market-based measures is addressed separately in Assembly Resolution A37-18, Consolidated statement of continuing ICAO policies and practices related to environmental prot ection – General provisions, noise and local air quality (Appendix H, Aviation impact on local air quality), and in Assembly Resolution A37-19, Consolidated statement of continuing ICAO policie s and practices related to environmental protection – Climate change ;

Whereas Article 15 of the Convention establishes the basis for the application and disclosure of charges for airports and air navigation services;

Whereas the Council has been directed to formulate recommendations for the guidance of Contracting States with regard to the principles on wh ich providers of airports and air navigation services for international civil aviation may charge to recover the costs of their provision and derive other revenue therefrom, and with regard to the methods that may be employed to that effect; and

Whereas the Council has adopted and revised, as necessary, and published in Doc 9082, ICAO’s Policies on Charges for Airports and Air Navigation Services :

The Assembly:

1. Urges Contracting States to ensure that Article 15 of the Convention is fully respected;

2. Urges Contracting States to base the recovery of the costs of the airports and air navigation services they provide or share in providing for international civil aviation on the principles set

forth in Article 15 of the Conven tion and additionally in Doc 9082, ICAO’s Policies on Charges for Airports and Air Navigation Services, regardless of the organizational structure under which the airports and air navigation services are operated;

3. Urges Contracting States to ensure that airport and air navigation services charges are applied towards defraying the costs of provi ding facilities and services for civil aviation;

4. Urges Contracting States to make every effort pursuant to Article 15 of the Convention to publish and communicate to the Organization any char ges that may be imposed or permitted to be imposed by a Contracting State for the use of air navi gation facilities and airports by the aircraft of any other Contracting State;

5. Encourages Contracting States to adopt the principles of non-discrimination, costrelatedness, transparency and consultation with users, as espoused in Doc 9082, in their national legislation, regulation or policies, as well as in air se rvices agreements, to ensure compliance by airports and air navigation services providers; and- 78 -

6. Requests the Council to ensure that the guidance and advice contained in Doc 9082 are current and responsive to the requirements of Contracting States.

Section II. Economics and management

Whereas in handling growing volumes of traffic the global costs of providing airports and air navigation services continue to rise;

Whereas Contracting States are placing increased emphasis on improving efficiency and costeffectiveness in the provision of airports and air navigation services;

Whereas a balance should be maintained between the r espective financial interests of providers of airports and air navigation services on the one hand and air carriers and other users on the other and which should be based on promoting coope ration between providers and users;

Whereas Contracting States have called on the Or ganization to provide advice and guidance aimed at promoting equitable recovery of airport and air navigation services costs;

Whereas Contracting States are increasingly assigning th e operation of airports and air navigation services to commercialized and privatized entities, which may have less awareness and knowledge of States’ obligations specified in the Convention an d its Annexes and of ICAO’s policies and guidance material in the economic field, and are using multinational facilities and services to meet the commitments they have assumed under Article 28 of the Convention; and

Whereas the Council has adopted provisional polic y guidance on the allocation of Global Navigation Satellite System (GNSS) costs to en sure an equitable treatment of all users:

The Assembly:

1. Reminds Contracting States that with regard to airports and air navigation services they alone remain responsible for the commitments th ey have assumed under Article 28 of the Convention regardless of what entity or entities operate the airports or air navigation services concerned;

2. Urges Contracting States to cooperate in th e recovery of costs of multinational air navigation facilities and services and to consider the use of the provisional Council policy guidance on the allocation of GNSS costs;

3. Requests the Council to continue to develop ICAO’s policy and guidance material with a view to contributing to increased efficiency and improved cost-effectiveness in the provision and operation of airports and air navigation services, including the foundation for a sound cooperation between providers and users;

4. Requests the Council to continue its refinement of its policy guidance on the allocation of GNSS costs and the coordination of technical, lega l and economic aspects, including cost-efficient interoperability;

5. Requests the Council to promote ICAO’s polici es on user charges and related guidance material, including organizational and managerial advice, in order to increase the awareness and knowledge of these among States and commercialized and privatized airports and air navigation services entities;

6. Requests the Council to keep the economic situation of airports and air navigation services under review and make reports thereon to Co ntracting States at appropriate intervals; and- 79 -

7. Urges Contracting States to make every effort to provide with the least possible delay the financial data relating to their airports and air na vigation services to enable Council to provide such advice and prepare such reports.

APPENDIX G

Air carrier economics

Whereas there is a continuing interest among users, including international organizations with interests in tourism, aviation and trade, in the leve l of international air carrier costs of operation and appropriate revenue yields;

Whereas the objective studies by ICAO on internati onal air transport costs and revenues are widely used by Contracting States and other intern ational organizations, have promoted neutrality and have resulted in a more equitable system of revenue sharing; and

Whereas ICAO requires air carrier revenue, cost and operational data to assist the Council in

assessment of the effectiveness of measures proposed for the implementation of the Strategic Objectives of the Organization, and for environmental planning, investment studies and other purposes:

The Assembly:

1. Requests the Council to instruct the Secretary General to issue periodically a study on regional differences in the level of international air transport operating costs, analysing how differences in operations and input prices may affect their levels a nd the impact that changes in costs may have on air transport tariffs; and

2. Urges Contracting States to make every effort to obtain from their international air carriers with the least possible delay the cost , revenue and other data requested by ICAO.

APPENDIX H

Air mail

Whereas the Assembly has given ongoing directions w ith regard to ICAO’s work in the field of

international air mail:

The Assembly:

1. Urges Contracting States to take into account the effects on international civil aviation whenever policy is being formulated in the field of in ternational air mail, and particularly at meetings of the Universal Postal Union (UPU); and

2. Directs the Secretary General to furnish to th e UPU, on request and, as stipulated in relevant cooperation arrangements between UPU and ICAO, informati on of a factual character which may be readily available.- 80 -

A37-21: Cooperation with regional organizations and regional civil

aviation bodies

Whereas Resolution A1-10, which was adopted at the first Assembly in 1947 and is still applicable, authorizes the Council to make appr opriate arrangements with public international organizations whose activities affect international ci vil aviation, through informal working arrangements, wherever practicable;

Whereas Resolution A27-17, pertaining to the rela tionship between ICAO and the regional civil aviation bodies states, inter alia, that ICAO supports the work and activities of any existing or future regional civil aviation bodies and directs the Council to conclude with each civil aviation body appropriate working arrangements;

Whereas in pursuance of these Resolutions, ICAO has developed various arrangements of cooperation with the regional civil aviation bodies;

Whereas ICAO’s Policy on Regional Cooperation provi des that ICAO is committed to render assistance, advice and other forms of support, to the extent possible, to Contracting States in carrying out their responsibilities pertaining to the Convention on International Civil Aviation and ICAO Strategic Objectives; and

Whereas ICAO will implement its Policy on Regiona l Cooperation through close partnerships with regional organizations a nd regional civil aviation bodies:

The Assembly:

1. Endorses ICAO’s Policy and Framework on Regional Cooperation;

2. Encourages regional organizations and regional civi l aviation bodies to enter into suitable arrangements with ICAO, in accordance with ICAO’ s Policy and Framework on Regional Cooperation;

3. Urges States to support their regional organiza tions and regional civil aviation bodies in entering into suitable arrangements with ICAO;

4. Encourages States to implement Standards and Recommended Practices of the Annexes

to the Convention on International Civil Aviation bo th individually and through regional cooperation;

5. Encourages States which do not have a regional body to endeavour to form one;

6. Directs the Council to ensure, through cooperativ e arrangements, that both ICAO and the regional civil aviation bodies encourage States to harmonize operational regula tions, requirements and procedures based on Standards and Recommended Practices;

7. Requests the Secretary General to implement the Action Plan approved by the Council to improve cooperation with re gional organizations and regi onal civil aviation bodies;

8. Requests the Secretary General to establish a synergy between ICAO and each regional civil aviation body in accordance with arrange ments as reflected by Memoranda of Cooperation concluded by them, thereby obviating duplication of work;

9. Requests the Secretary General to organize pe riodic meetings between ICAO and the regional civil aviation bodies and peri odic examination of progress; and- 81 -

10. Requests that the Council deliver to the next ordinary session of the Assembly a report on the overall implementation of ICAO’s Policy on Regional Cooperation and progress made.

A37-22: Consolidated Statement of Continuing ICAO Policies in the Legal

Field

Whereas it is considered desirable to consolidate Assembly resolutions on the Organization’s policies in the legal field in order to facilitate th eir implementation and practical application by making their texts more readily available, understandable and logically organized:

The Assembly:

1. Resolves that the Appendices attached to this resolution constitute the consolidated statement of continuing ICAO policies in the legal field, up to date as these policies exist at the close of the 37th Session of the Assembly;

2. Resolves to continue to adopt at each ordinary session a consolidated statement of continuing ICAO policies in the legal field; and

3. Declares that this resolution supersedes Resolution A36-26.

APPENDIX A

General Policy

Whereas international civil aviation can greatly he lp to create and preserve friendship and understanding among the nations and peoples of the worl d, yet its abuse can become a threat to the general security; and

Whereas it is desirable to avoid friction and to pr omote that cooperati on between nations and peoples upon which the peace of the world depends:

The Assembly:

Reaffirms the important role of law in the avoidance and resolution of conflicts and disputes among the nations and peoples of the world and, in particular, in the achievement by the Organization of its aims and objectives.

APPENDIX B

Procedure for approval of draft conventions

on international air law

The Assembly resolves:

That the following constitutes the procedur e for the approval of draft conventions:

1. Any draft convention which the Legal Committe e considers as ready for presentation to

the States as a final draft shall be transmitted to the Council, together with a report thereon.

2. The Council may take such action as it deems f it, including the circulation of the draft to the Contracting States and to such other States a nd International Organizations as it may determine.- 82 -

3. In circulating the draft convention, the Council may add comments and afford States and organizations an opportunity to su bmit comments to the Organization within a period of not less than four

months.

4. Such draft convention shall be considered, with a view to its approval, by a conference which may be convened in conjunction with a sessi on of the Assembly. The opening date of the

conference shall be not less than six months after th e date of transmission of the draft as provided in paragraphs 2 and 3 above. The Council may invite to such a conference any non-Contracting State whose participation it considers desirable, and shall decide whether such participation carries the right to vote. The Council may also invite international organizati ons to be represented at the conference by observers.

APPENDIX C

Ratification of ICAO

international instruments

The Assembly:

Recalling its Resolution A36-26, Appendix C relating to the ratification of the Protocols of Amendment to the Chicago Convention and of the priv ate air law and other instruments which have been developed and adopted under the auspices of the Organization;

Noting with concern the continuing sl ow progress of ratification of the aforementioned Protocols of Amendment, including in particular those introducing Articles 3 bis and 83 bis to the Chicago Convention, and the final paragraphs (re lating to the Arabic and Chinese texts);

Recognizing the importance of these amendments to intern ational civil aviation, in particular to the viability of the Chicago Convention, and the conse quent urgent need to accelerate the entry into force of these amendments not yet in force;

Recognizing the need to accelerate the ratification and entry into force of air law instruments developed and adopted under the auspices of the Organization;

Conscious of the fact that only a universal participation in these Protocols of Amendment and

other instruments would secure and enhance the benef its of unification of the international rules which they embody:

Urges all Contracting States which so far have not done so to ratify those Amendments to the Chicago Convention which are not yet in force [i.e. those amending the final paragraph to add Arabic and

Chinese to the authentic texts of the Convention] as soon as possible;

Urges all Contracting States which have not yet done so to ratify the Protocols introducing

Articles 3 bis and 83 bis and amending Articles 50(a) (1990) and 56 (1989) of the Chicago Convention;

Urges all Contracting States which so far have not done so to ratify the other international air law instruments, in particular the Montreal Conventio n of 1999, the Cape Town instruments of 2001, the two Montreal Conventions of 2 May 2009, the Beijin g Convention and the Beijing Protocol of 2010, as soon as possible;

Urges States which have ratified the instruments in question to provide to the Secretary General copies of the text and documents they have used in the process of ratification and implementation of such instruments and which may serve as an example a ssisting other States in the same process; and- 83 -

Directs the Secretary General to take all practical measures within the Organization’s means in cooperation with States to provide assistance, if re quested, to States encountering difficulties in the process of ratification and implementation of the air law instruments, including the organization of and the participation in workshops or se minars to further the process of ratif ication of the international air law

instruments.

APPENDIX D

The teaching of air law

The Assembly , considering the undoubted importance for the Organization and the States of the specialized teaching of air law and the desirability of fostering knowledge of this important subject:

Invites the Council to take all possible action to prom ote the teaching of air law in those States where it is not yet available;

Urges the States to adopt appropriate measures which would further the achievement of the above objective; and

Calls upon Contracting States and interested parties to contribute to the Assad Kotaite Graduate and Postdoctoral Fellowship Fund.

APPENDIX E

Adoption of national legislation on certai n offences committed on board civil aircraft (unruly/disruptive passengers)

The Assembly:

Recognizing that, under the Preamble and Article 44 of the Convention on International Civil
Aviation, one of the aims and objectives of the Organization is to foster the planning and development of international air transport so as to meet the needs of the peoples of the world for safe, regular, efficient and economical air transport;

Noting the increase of the number and gravity of reported incidents involving unruly or disruptive passengers on board civil aircraft;

Considering the implications of these incidents for the safety of the aircraft and the passengers and crew on board these aircraft;

Mindful of the fact that the existing international law as well as national law and regulations in many States are not fully adequate to deal effectively with this problem;

Recognizing the special environment of aircraft in fli ght and inherent risks connected therewith, as well as the need to adopt adequate measures of national law for the purpose of enabling States to prosecute criminal acts and offences constituting unr uly or disruptive behavi our on board aircraft;

Encouraging the adoption of national legal rules enab ling States to exercise jurisdiction in appropriate cases to prosecute criminal acts and offe nces constituting unruly or disruptive behaviour on board aircraft registered in other States;- 84 -

Therefore:

Urges all Contracting States to enact as soon as po ssible national law and regulations to deal effectively with the problem of unruly or disruptiv e passengers, incorporating so far as practical the provisions set out below; and

Calls on all Contracting States to submit to their competent authorities for consideration of prosecution all persons whom they have a reasonable ground to consider as ha ving committed any of the offences set out in the national laws and regulations so enacted, and for which they have jurisdiction in accordance with these laws and regulations.

Model Legislation on Certain Offences Committed on Board Civil Aircraft

Section 1: Assault and Other Acts of Interf erence against a Crew Member on Board a Civil

Aircraft

Any person who commits on board a civil aircraft any of the following acts thereby commits an

offence:

1) assault, intimidation or threat, whether physical or verbal, against a crew member if such act interferes with the performance of the duties of the crew member or lessens the ability of the crew member to perform those duties;

2) refusal to follow a lawful instruction given by the aircraft commander, or on behalf of the aircraft commander by a crew member, for the purpose of ensuring the safety of the aircraft or of any person or property on board or for the purpose of maintaining good order and discipline on board.

Section 2: Assault and Other Acts Endangering Sa fety or Jeopardizing Good Order and Discipline

on Board a Civil Aircraft

1) Any person who commits on board a civil aircraft an act of physical violence against a person or of sexual assault or child molestation thereby commits an offence.

2) Any person who commits on board a civil airc raft any of the following acts thereby commits an offence if such act is likely to endanger the safety of the aircraft or of any person on board or if such act jeopardizes the good order and discipline on board the aircraft:

a) assault, intimidation or threat, whether ph ysical or verbal, against another person;

b) intentionally causing damage to, or destruction of, property;

c) consuming alcoholic beverages or drugs resulting in intoxication.

Section 3: Other Offences Committed on Board a Civil Aircraft

Any person who commits on board a civil aircraft any of the following acts thereby commits an

offence:

1) smoking in a lavatory, or smoking elsewhere in a manner likely to endanger the safety of the aircraft;

2) tampering with a smoke detector or any ot her safety-related device on board the aircraft;- 85 -

3) operating a portable electronic device when such act is prohibited.

Section 4: Jurisdiction

1. The jurisdiction of ( Name of State ) shall extend to any offence under Sections 1, 2, or 3 of this Act if the act constituting the offence took place on board:

1) any civil aircraft registered in ( Name of State ); or

2) any civil aircraft leased with or without cr ew to an operator whose principal place of business is in ( Name of State ) or, if the operator does not have a principal place of business, whose permanent residence is in ( Name of State ); or

3) any civil aircraft on or over the territory of ( Name of State ); or

4) any other civil aircraft in flight outside ( Name of State ), if

a) the next landing of the aircraft is in ( Name of State ); and

b) the aircraft commander has delivered the su spected offender to the competent authorities of ( Name of State ), with the request that the author ities prosecute the suspected offender

and with the affirmation that no similar re quest has been or will be made by the commander or the operator to any other State.

2. The term “in flight” as used in this section means the period from the moment when power is applied for the purpose of takeoff until the moment when the landing run ends.

APPENDIX F

A Practical Way Forward on Legal and Institutional Aspects of Communications, Navigation, Surveillance/Air Traffic Management (CNS/ATM) Systems

Whereas the global implementation of Communications , Navigation, Surveillance/Air Traffic Management (CNS/ATM) systems, which, inter alia , is intended to provide safety-critical services for aircraft navigation, has made substantial progr ess since its inception at the 10th Air Navigation

Conference in 1991 and received enthusiastic endor sement at the 11th Air Navigation Conference in 2003;

Whereas the existing legal framework for CNS/ATM sy stems, namely the Chicago Convention, its Annexes, Assembly Resolutions (especially incl uding the Charter of GNSS Rights and Obligations), associated ICAO guidance (especially including th e Statement of ICAO Policy on CNS/ATM Systems Implementation and Operation), regional navigation pl ans, and exchanges of letters between ICAO and the States operating satellite naviga tion constellations has enabled the technical implementation achieved thus far;

Whereas ICAO has devoted substantial resources to th e study of the legal and institutional aspects of CNS/ATM systems in the ICAO Assembly, the Council, the Legal Committee, and a Panel of Legal and Technical Experts and a Study Group, building a detailed record and devel oping an understanding of the issues, challenges, and concerns facing the global community; and

Whereas there is a need to also consider regiona l initiatives to develop measures addressing any legal or institutional issues that could inhibit the implementation of CNS/ATM in the region, while ensuring that such mechanisms will be c onsistent with the Chicago Convention:- 86 -

The Assembly:

1. Recognizes the importance of Item No. 3 of the General Work Programme of the Legal Committee “Consideration, with regard to CNS/ATM systems including global navigation satellite systems (GNSS) and the regional multinational organi sms, of the establishment of a legal framework”, and resolutions or decisions by the Assembly and the Council relating to it;

2. Reaffirms that there is no need to amend the Ch icago Convention for the implementation of CNS/ATM systems;

3. Invites Contracting States to also consider using regional organizations to develop mechanisms necessary to a ddress any legal or institutional issues that could inhibit the implementation of CNS/ATM in the region, while ensuring that such mechanisms will be consistent with the Chicago Convention, and public international law;

4. Encourages the facilitation of technical assistance in implementation of CNS/ATM systems by ICAO, regional organizations and industry;

5. Invites Contracting States, other multilateral agenci es and private financiers to consider development of additional sources of funding for assistance to States and regional groups in implementation of CNS/ATM;

6. Directs the Secretary General to monitor and, where appropriate, assist in the development of contractual frameworks to which parties may accede, inter alia , on the basis of the structure and model proposed by the Members of the European Civil Avia tion Conference and the other regional civil aviation commissions, and on international law;

7. Invites the Contracting States to transmit regional initiatives to the Council; and

8. Directs the Council to register such regional initiativ es, to consider their value and to make them public as soon as possible (in accordance with Articles 54, 55 and 83 of the Chicago Convention).

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

Referring to its Resolution A37-22, Appendix C, relating to the ratification of instruments which have been developed and adopted under the auspices of the Organization; and

Recognizing the importance of broadeni ng and strengthening the globa l aviation security regime to meet new and emerging threats;

The Assembly :

1. Urges all States to support and encourage the universal adoption of the Convention on the Suppression of Unlawful Acts Relating to International Civil Aviation (Beijing Convention of 2010) and

the Protocol Supplementary to the Convention for th e Suppression of Unlawful Seizure of Aircraft (Beijing Protocol of 2010);

2. Urges all States to sign and ratify the Beijing Convention and Beijing Protocol of 2010 as soon as possible; and- 87 -

3. Directs the Secretary General to provide assistance, as appropriate, with the ratification process if so requested by a Member State.

A37-24: Promotion of the Montreal Convention of 1999

Referring to its Resolution A37-22, Appendix C, relating to the ratification of instruments which have been developed and adopted unde r the auspices of the Organization;

Recognizing the importance of achieving a universal regime to govern airline liability to passengers and shippers on international flights; and

Recognizing the desirability of an equitable, fair and convenient system that allows full compensation for losses:

The Assembly:

1. Urges all States to support and encourage the universal adoption of the Convention for the Unification of Certain Rules for International Carriage by Air , done at Montreal on 28 May 1999 (Montreal Convention of 1999);

2. Urges all States that have not done so to become Parties to the Montreal Convention of 1999 as soon as possible; and

3. Directs the Secretary General to provide assistance, as appropriate, with the ratification process if so requested by a State.

A37-25: ICAO Policy on the Language services

Whereas the provision of adequate levels of service in the working languages of ICAO pursuant to the relevant Assembly resolutions and decisions, is highly important to the world-wide dissemination of ICAO documentation, in particular the Standa rds and Recommended Practices (SARPs), and to the proper functioning of the Organi zation and its standing bodies;

Whereas it is essential to maintain parity and quality of service in all working languages of the Organization; and

Whereas it is vitally important to ensure a uni fied and harmonized understanding of ICAO Publications by all Contracting States in all ICAO wo rking languages, in order to maintain the safety and security of international civil aviation and to mini mize the impact of aviation on the environment:

The Assembly:

1. Reaffirms that multilingualism is one of the fundamental principles to achieve goals of ICAO as the specialized UN agency;

2. Reaffirms its previous resolutions regarding the strengthening of the working languages of ICAO;

3. Recognizes that language services are an integral part of any ICAO programme;

4. Resolves that parity and quality of service in all of the working languages of ICAO be the continuous objective of the Organization;- 88 -

5. Resolves that the introduction of a new language should not affect the quality of service in the other working languages of the Organization;

6. Resolves that the Council continue to monitor lang uage services, which will be a subject of review;

7. Requests the Secretary General to develop and implement a quality management system in the field of language services;

8. Requests the Secretary General of ICAO to adhere to UN best practices related to the language Services, including temporary recruitment of staff at peak periods and the level of outsourcing translations and interpretation;

9. Requests the Council to consider the need for amendment of Doc 7231/11 “ICAO Publication Regulations” to provide dissemination of ICAO publications in all working languages of ICAO;

10. Invites those Member States who represent ICAO’s working languages, if they so desire, to support ICAO through the establishment of offici ally recognized centres for translation of ICAO publications and by the secondment of competent staf f to the ICAO Secretariat, including the Regional Offices, in order to reduce backlogs and support special events ; and

11. Declares that this Resolution supersed es Assembly Resolution A31-17.

A37-26: Budgets for 2011, 2012 and 2013

A. The Assembly , with respect to the Budget 2011-2012-2013, notes that:

1. in accordance with Article 61 of the C onvention, the Council has submitted and the Assembly has considered annual budget estimates [indicative estimates for the Administrative and Operational Services Costs of the Technical Co-ope ration Programme (AOSC)] for each of the financial years 2011, 2012 and 2013;

2. in accordance with Articles 49 (e) and 61 of the Convention, the Assembly approves the budgets of the Organization.

B. The Assembly , with respect to the Technical Co-operation Programme:

Recognizing that the AOSC are mainly financed by fees from implementation of projects assigned to ICAO for execution by external funding sources such as Governments, the United Nations Development Programme and other sources;

Recognizing that the Technical Co-operation Programme cannot be determined with a high degree of precision until such time as the Government s of donor and recipient countries have decided on the relevant projects;

Recognizing that due to the situation cited above , the annual AOSC net budget figures shown below in Canadian dollars (CAD) for the years 2011, 2012 and 2013 represent indicative budget estimates only:

2011 2012 2013

10,700,000 11,000,000 11,600,000- 89 -

Recognizing that technical co-operation is an important means of fostering the development and safety of civil aviation;

Recognizing the circumstances facing the Technical Co-operation Programme of the Organization and the necessity to take continuing measures; and

Recognizing that in the event that the AOSC operation for any given financial year ends in a financial deficit, such deficit should first be me t from the accumulated surplus of the AOSC Fund and a call for support from the Regular Progra mme Budget would be the last resort;

Resolves that the Indicative Budget Estimates of th e Administrative and Operational Services Costs of the Technical Co-operation Programme are hereby approved on the understanding that subsequent adjustments to the Indicative Budget Esti mates shall be made within the framework of the annual AOSC Budget Estimates in accordance with the provisions of Article IX of the Financial Regulations.

C

. The Assembly , with respect to the Regular Programme:

Resolves that:

1. separately for the financial years 2011, 2012 and 2013, the following amounts in Canadian dollars, requiring an outlay of funds, are hereby auth orized for expenditure for the Regular Programme in accordance with the Financial Regulations, and s ubject to the provisions of this Resolution:

Programme 2011 2012 2013 Total

SAFETY 22,815,000 23,437,000 24,913,000 71,165,000

SECURITY 13,403,000 13,771,000 13,866,000 41,040,000

ENVIRONMENTAL PROTECTION

AND SUSTAINABLE

DEVELOPMENT OF AIR TRANSPORT 11,431,000 11,843,000 12,311,000 35,585,000

Programme Support 19,748,000 20,714,000 22,143,000 62,605,000

Management & Administration 13,265,000 13,475,000 14,080,000 40,820,000

Management & Administration - Governing Bodies 6,932,000 7,004,000 7,951,000 21,887,000

TOTAL AUTHORIZED

APPROPRIATION 87,594,000 90,244,000 95,264,000 273,102,000

Operational 86,555,000 89,554,000 94,681,000 270,790,000
Capital 1,039,000 690,000 583,000 2,312,000

2. the separate annual Total Authorized Appropr iation be financed as follows in Canadian dollars, in accordance with the Financial Regulations:- 90 -

2011 2012 2013 Total
a) Assessments on States 82,024,000 84,256,000 88,727,000 255,007,000

b) Transfer from ARGF Surplus 4,370,000 4,688,000 5,082,000 14,140,000

c) Miscellaneous Income 1,200,000 1,300,000 1,455,000 3,955,000

TOTAL: 87,594,000 90,244,000 95,264,000 273,102,000

3. separately for the financial years 2011, 2012 and 2013, the following additional amounts in Canadian dollars, requiring an outlay of funds, are hereby authorized for expenditure for the Regular Programme in accordance with the Financial Regulations, and subject to the provisions of this Resolution to be financed without increasing Assessment of States through Reimbursement from AOSC fund of $5,311,500 and by the Transfer from Incentive Scheme for Long-Outstanding Arrears Account of $2,202,200:

Programme 2011 2012 2013 Total

SAFETY 119,000 977,000 888,000 1,984,000

SECURITY 71,000 73,000 76,000 220,000

ENVIRONMENTAL PROTECTION

AND SUSTAINABLE

DEVELOPMENT OF AIR TRANSPORT 48,000 49,000 51,000 148,000

Programme Support 387,000 399,000 425,000 1,211,000

Management & Administration 1,262,000 1,295,000 1,349,000 3,906,000

Management & Administration - Governing Bodies 14,000 15,000 16,000 45,000

TOTAL AUTHORIZED

APPROPRIATION 1,901,000 2,808,000 2,805,000 7,514,000

A37-27: Assessments to the Ge neral Fund for 2011, 2012 and 2013

The Assembly :



### 1. Resolves that the amounts to be assessed on Cont racting States for 2011, 2012 and 2013 pursuant to Article 61, Chapter XII, of the Conventio n shall be determined in accordance with the scales

set out below.- 91 -

2011 2012 2013

% % % Afghanistan 0.06 0.06 0.06

Albania 0.06 0.06 0.06 Algeria 0.11 0.11 0.11

Andorra 0.06 0.06 0.06 Angola 0.06 0.06 0.06

Antigua and Barbuda 0.06 0.06 0.06 Argentina 0.25 0.25 0.25

Armenia 0.06 0.06 0.06

Australia 1.72 1.72 1.72

Austria 0.65 0.65 0.65

Azerbaijan 0.06 0.06 0.06

Bahamas 0.06 0.06 0.06

Bahrain 0.13 0.13 0.13 Bangladesh 0.06 0.06 0.06

Barbados 0.06 0.06 0.06

Belarus 0.06 0.06 0.06 Belgium 0.82 0.82 0.82

Belize 0.06 0.06 0.06

Benin 0.06 0.06 0.06

Bhutan 0.06 0.06 0.06

Bolivia (Plurinational State of) 0.06 0.06 0.06 Bosnia and Herzegovina 0.06 0.06 0.06

Botswana 0.06 0.06 0.06

Brazil 1.33 1.33 1.33

Brunei Darussalam 0.06 0.06 0.06

Bulgaria 0.06 0.06 0.06

Burkina Faso 0.06 0.06 0.06

Burundi 0.06 0.06 0.06

Cambodia 0.06 0.06 0.06

Cameroon 0.06 0.06 0.06

Canada 2.55 2.55 2.55 Cape Verde 0.06 0.06 0.06 Central African Republic 0.06 0.06 0.06

Chad 0.06 0.06 0.06

Chile 0.28 0.28 0.28

China 4.06 4.06 4.06

Colombia 0.22 0.22 0.22

Comoros 0.06 0.06 0.06 Congo 0.06 0.06 0.06

Cook Islands 0.06 0.06 0.06- 92 -

2011 2012 2013

% % %

Costa Rica 0.06 0.06 0.06

Côte d'Ivoire 0.06 0.06 0.06

Croatia 0.07 0.07 0.07

Cuba 0.07 0.07 0.07 Cyprus 0.06 0.06 0.06

Czech Republic 0.27 0.27 0.27 Democratic People's Republic of Korea 0.06 0.06 0.06 Democratic Republic of the Congo 0.06 0.06 0.06

Denmark 0.56 0.56 0.56 Djibouti 0.06 0.06 0.06

Dominican Republic 0.06 0.06 0.06

Ecuador 0.06 0.06 0.06 Egypt 0.17 0.17 0.17

El Salvador 0.06 0.06 0.06 Equatorial Guinea 0.06 0.06 0.06

Eritrea 0.06 0.06 0.06

Estonia 0.06 0.06 0.06 Ethiopia 0.08 0.08 0.08 Fiji 0.06 0.06 0.06

Finland 0.50 0.50 0.50

France 4.92 4.92 4.92

Gabon 0.06 0.06 0.06

Gambia 0.06 0.06 0.06 Georgia 0.06 0.06 0.06 Germany 6.56 6.56 6.56

Ghana 0.06 0.06 0.06

Greece 0.50 0.50 0.50

Grenada 0.06 0.06 0.06

Guatemala 0.06 0.06 0.06

Guinea 0.06 0.06 0.06

Guinea-Bissau 0.06 0.06 0.06 Guyana 0.06 0.06 0.06

Haiti 0.06 0.06 0.06

Honduras 0.06 0.06 0.06 Hungary 0.22 0.22 0.22

Iceland 0.06 0.06 0.06

India 0.73 0.73 0.73

Indonesia 0.26 0.26 0.26 Iran (Islamic Republic of) 0.20 0.20 0.20 Iraq 0.06 0.06 0.06- 93 -

2011 2012 2013

% % %

Ireland 0.65 0.65 0.65

Israel 0.39 0.39 0.39 Italy 3.52 3.52 3.52

Jamaica 0.06 0.06 0.06 Japan 9.08 9.08 9.08

Jordan 0.06 0.06 0.06

Kazakhstan 0.06 0.06 0.06 Kenya 0.06 0.06 0.06

Kiribati 0.06 0.06 0.06

Kuwait 0.23 0.23 0.23

Kyrgyzstan 0.06 0.06 0.06 Lao People's Democratic Republic 0.06 0.06 0.06

Latvia 0.06 0.06 0.06

Lebanon 0.06 0.06 0.06

Lesotho 0.06 0.06 0.06

Liberia 0.06 0.06 0.06 Libyan Arab Jamahiriya 0.09 0.09 0.09

Lithuania 0.06 0.06 0.06 Luxembourg 0.31 0.31 0.31 Madagascar 0.06 0.06 0.06

Malawi 0.06 0.06 0.06 Malaysia 0.47 0.47 0.47

Maldives 0.06 0.06 0.06

Mali 0.06 0.06 0.06

Malta 0.06 0.06 0.06

Marshall Islands 0.06 0.06 0.06

Mauritania 0.06 0.06 0.06

Mauritius 0.06 0.06 0.06

Mexico 1.72 1.72 1.72 Micronesia (Federated States of) 0.06 0.06 0.06

Monaco 0.06 0.06 0.06 Mongolia 0.06 0.06 0.06 Montenegro 0.06 0.06 0.06

Morocco 0.10 0.10 0.10 Mozambique 0.06 0.06 0.06

Myanmar 0.06 0.06 0.06

Namibia 0.06 0.06 0.06

Nauru 0.06 0.06 0.06 Nepal 0.06 0.06 0.06

Netherlands 1.85 1.85 1.85- 94 -

2011 2012 2013

% % %

New Zealand 0.30 0.30 0.30 Nicaragua 0.06 0.06 0.06 Niger 0.06 0.06 0.06 Nigeria 0.06 0.06 0.06 Norway 0.61 0.61 0.61

Oman 0.07 0.07 0.07

Pakistan 0.15 0.15 0.15

Palau 0.06 0.06 0.06

Panama 0.06 0.06 0.06 Papua New Guinea 0.06 0.06 0.06

Paraguay 0.06 0.06 0.06

Peru 0.10 0.10 0.10 Philippines 0.16 0.16 0.16

Poland 0.59 0.59 0.59 Portugal 0.48 0.48 0.48

Qatar 0.41 0.41 0.41 Republic of Korea 2.41 2.41 2.41 Republic of Moldova 0.06 0.06 0.06

Romania 0.15 0.15 0.15

Russian Federation 1.46 1.46 1.46

Rwanda 0.06 0.06 0.06

Saint Kitts and Nevis 0.06 0.06 0.06

Saint Lucia 0.06 0.06 0.06

Saint Vincent and the Grenadines 0.06 0.06 0.06

Samoa 0.06 0.06 0.06

San Marino 0.06 0.06 0.06 Sao Tome and Principe 0.06 0.06 0.06

Saudi Arabia 0.77 0.77 0.77 Senegal 0.06 0.06 0.06

Serbia 0.06 0.06 0.06

Seychelles 0.06 0.06 0.06

Sierra Leone 0.06 0.06 0.06 Singapore 1.07 1.07 1.07

Slovakia 0.11 0.11 0.11

Slovenia 0.07 0.07 0.07

Solomon Islands 0.06 0.06 0.06

Somalia 0.06 0.06 0.06

South Africa 0.42 0.42 0.42 Spain 2.47 2.47 2.47

Sri Lanka 0.07 0.07 0.07- 95 -

2011 2012 2013

% % %

Sudan 0.06 0.06 0.06

Suriname 0.06 0.06 0.06

Swaziland 0.06 0.06 0.06

Sweden 0.74 0.74 0.74

Switzerland 0.95 0.95 0.95

Syrian Arab Republic 0.06 0.06 0.06 Tajikistan 0.06 0.06 0.06

Thailand 0.50 0.50 0.50 The Former Yugoslav Republic of Macedonia 0.06 0.06 0.06

Timor-Leste 0.06 0.06 0.06

Togo 0.06 0.06 0.06 Tonga 0.06 0.06 0.06 Trinidad and Tobago 0.06 0.06 0.06

Tunisia 0.06 0.06 0.06 Turkey 0.63 0.63 0.63

Turkmenistan 0.06 0.06 0.06 Uganda 0.06 0.06 0.06

Ukraine 0.10 0.10 0.10

United Arab Emirates 1.07 1.07 1.07 United Kingdom 5.68 5.68 5.68

United Republic of Tanzania 0.06 0.06 0.06

United States 25.00 25.00 25.00 Uruguay 0.06 0.06 0.06

Uzbekistan 0.06 0.06 0.06

Vanuatu 0.06 0.06 0.06

Venezuela (Bolivarian Republic of) 0.22 0.22 0.22

Viet Nam 0.10 0.10 0.10

Yemen 0.06 0.06 0.06

Zambia 0.06 0.06 0.06

Zimbabwe 0.06 0.06 0.06

100.00 100.00 100.00

A37-28: Working Capital Fund

The Assembly:

1. Notes that:

a) in accordance with Resolution A36-34, the Council has reported upon, and the Assembly has considered, the adequacy of the level of the Working Capital Fund and the related borrowing authority;- 96 -

b) in recent years, the accumulation of contribut ions in arrears has constituted, together with the delays in payment of current year contributions, a growing obstacle to the implementation of the work programme while creating financial uncertainty;

c) the relatively long budgetary cycle of ICAO, namely three years, has a bearing on the determination of the prudent level of the Working Capital Fund and borrowing authority, as only the Assembly can levy assessments on Contracting States;

d) given the number of permanent staff in ICAO, there is an irreducible minimum which the Organization has to pay out each month to meet the staff costs. This amount is

not amenable to short term reduction thr ough adjusting the work programme, since permanent staff remain in post and have to be paid in any event;

e) on average, by September of each year, the cumulative receipt of assessments was short of estimated disbursement by an aver age of 10.0 per cent compared to 5.0 per cent for the last triennium;

f) based on past trends, there is only a limited risk that the level of the Working Capital Fund may not be sufficient to cover th e needs in the foreseeable future;

g) experience has shown that payments are not made at the beginning of the year when

contributions are due and that ICAO cannot rely on contributions being paid even by the end of the year to which they rela te and that such unacceptable avoidance of their financial obligations under the Convention by some Contracting States is leading to a financial crisis within the Organization that could impact all Contracting States;

h) as long as the cash flow remains uncertain , ICAO would need the Working Capital

Fund as a buffer on which it could draw to meet its unavoidable cash commitments;

and

i) the Council reviewed the level of the Working Capital Fund in November 2009 and

determined that the need for the increase in the level of $ 6.0 million was not needed for the present time.

2. Resolves that:

a) the level of the Working Capital Fund remain at $ 6.0 million;

b) the Council shall review the level of the Working Capital Fund no later than November 2010, 2011, 2012 and 2013, to determine if an increase is urgently needed during that year or for the following year;

c) if the Council determines that it is warr anted, the level of the Working Capital Fund shall be established at a level no higher than $ 8.0 million, subject to increases resulting from advances paid by new States becoming members of the Organization after approval of the scales. Such adjust ment to the Working Capital Fund will be

based on the scales of assessment in effect for the year for which the increase in the level of the Working Capital Fund is approved;

d) the Secretary General be authorized, with the prior approval of the Finance Committee of the Council, to finance regular and supplementary appropriations that- 97 -

cannot be financed from the General Fu nd and the Working Capital Fund, by borrowing externally amounts needed to meet immediate obligations of the Organization, and that the Secretary Genera l be required to repay such amounts as rapidly as possible; the outsta nding total of such indebtedness of the Organization at no time to exceed $3.0 million during the triennium;

e) the Council shall report to the next ordinary session of the Assembly:

i) on the adequacy of the level of the Working Capital Fund in the light of experience during 2010, 2011 and 2012;

ii) whether the financial position of the General Fund and the Working Capital Fund would indicate the need for assessing Contracting States for cash deficits caused by arrears of contributions; and

iii) on the appropriateness of the leve l of the borrowing authority; and

f) Resolution A36-34 is no longer effectiv e and is hereby superseded; and

3 . Urges :

a) all Contracting States to pay their assess ments as early as possible in the year in which they fall due in order to lessen th e likelihood of the Organization having to draw on the Working Capital Fund and resort to external borrowing; and

b) the Contracting States in arrears to meet their obligations to the Organization as promptly as possible, as called for by Resolution A37-32.

A37-29: Amendment of the Financial Regulations

Whereas the Council is respectful of the position of th e Assembly in approving the Budgets and Appropriations of the Organization;

Whereas the Council is able to meet on a regular basi s to deal with exigencies and developments affecting the amounts appropriated; and

Whereas the Council requires the flexibility between Assembly sessions to accommodate changes in the financing needs:

The Assembly resolves that:

1. The amendments as set out in the A ppendix of A37-WP/57, AD/14 to Financial Regulation 5.2 are approved effective 1 January 2011 and to other Financial Regulations are confirmed pursuant to Financial Regulation 14.1.

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

thereon

Whereas the accounts of the Organization for the financial years 2007, 2008 and 2009 and the Audit Reports thereon, submitted by the Auditor General of Canada (2007) and the Cour des comptes of- 98 -

France (2008 and 2009) - a member of the Joint Panel of External Auditors of the United Nations and Specialized Agencies - as the External Auditor of IC AO, have been submitted to the Assembly after being circulated to Contracting States;

Whereas the Council has examined the Audit Reports and submitted them to the Assembly for its review; and

Whereas in accordance with Chapter VIII Article 49 (f) of the Convention, expenditures have

been reviewed:

The Assembly :

1. Notes the Report of the External Auditor on th e audited accounts for the financial year 2007 and the comments by the Secretary General in response to the recommendations in the Audit Report;

2. Notes the Report of the External Auditor on th e audited accounts for the financial year 2008 and the comments by the Secretary General in response to the recommendations in the Audit Report;

3. Notes the Report of the External Auditor on the audited accounts for the financial year 2009 with related comments by the Secretary General in response to the recommendations in the Audit Report, and the report on the status of the im plementation of the External Auditor’s prior years’ recommendations;

4. Approves the audited accounts for the financial year 2007;

5. Approves the audited accounts for the financial year 2008; and

6. Approves the audited accounts for the financial year 2009.

A37-31: Appointment of the External Auditor

The Assembly:

1. Notes that:

a) the Financial Regulations provide that, subj ect to confirmation by the Assembly, the Council shall appoint an External Auditor to the Organization; and

b) the Council approved the extension of appointme nt to the First President of the Cour des Comptes as External Auditor of ICAO for 2011, 2012 and 2013 for the same fee as charged for the current triennium.

2. Confirms the action taken by the Council in appointing Mr. Didier Migaud, First President of the Cour des Comptes, as the External Auditor of ICAO for the financial years 2011, 2012

and 2013.

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

Whereas Article 62 of the Convention on International Civil Aviation provides that the Assembly may suspend the voting power in the Assembly and in the Council of any Contracting State that fails to discharge, within a reasonable period, its fi nancial obligations to the Organization;- 99 -

The Assembly:

Considering that Article 6.5 of the ICAO Financial Regulations provides that contributions from Contracting States shall be considered due and payable in full as of the first day of the financial year to which they relate;

Noting that in recent years the accumulation of contribu tions in arrears has increased considerably and has constituted, together with the delays in payment of current y ear contributions, an obstacle to the implementation of the work programme and created serious cash flow difficulties:

Urges that all Contracting States in arrears make suitable arrangements for liquidating their arrears; and

Urges all Contracting States and, in particular, the States elected to the Council, to take all necessary measures to pay their contributions on time;

Resolves that, with effect from 1 January 2011:

1. all Contracting States should recognize the necessity to pay their contributions at the beginning of the year in which they fall due, in or der to avoid the need for the Organization to draw on the Working Capital Fund to make good the shortfall;

2. the Secretary General be directed to dispatch to all Contracting States, at least three times in the year, schedules showing the current amounts due fo r the current year and up to 31 December of the previous year;

3. the Council be authorized to discuss and conclude arrangements with Contracting States, whose contributions are in arrears for three or more y ears, for the settlement of accumulated arrears to the Organization, any such settlements or arrangements to be reported to the next session of the Assembly;

4. all Contracting States that are three years or more in arrears in the payment of their

contributions should:

a) effect without delay payment of the am ounts outstanding with respect to advances to the Working Capital Fund, th e current year contribution, and partial settlement of their arrears in the amount of 5 per cent of the arrears; and

b) conclude within six months of the date of the payment referred to in sub-paragraph a) above, if they have not already done so, an agreement with the Organization for the settlement of the balance of their arrears, such agreement to provide for the payment annually, in full, of their current contributions and the balance of the arrears in instalments over a period of no more than ten years, which period may, at the discretion of the Council, be extended, to a maximum of twenty years in respect of special cases, i.e. those Contracting States which are classified by the United Nations as Least Developed Countries;

5. the Council should further intensify the curre nt policy of inviting Contracting States in arrears to make settlement proposals for the liquidati on of long-outstanding arr ears of contributions in accordance with the provisions of R esolving Clause 4 above, taking full account of the economic position of the States concerned including the possibility of accepting other currencie s in accordance with the provisions of Article 6.6 of the Financial Regulations , to the extent that the Secretary General can use these currencies;- 100 -

6. the voting power in the Assembly and the Council be suspended for those Contracting States in arrears for an amount equal to or in excess of the tota l assessments for the three preceding financial years and of those Contracting Stat es not in compliance with agreements entered into in accordance with Resolving Clause 4 b) above, such suspension to be revoked immediately upon the settlement of outstanding amounts due under agreements; and

7. the voting power of a Contracting State suspended under Resolving Clause 6 may also be restored by action of the Assembly or the Council provided:

a) it has already concluded with the C ouncil an agreement that provides for the settlement of its outstanding obligations a nd for the payment of current contributions and has complied with the terms of that agreement; or

b) the Assembly is satisfied that the Stat e’s willingness to reach an equitable settlement of its financial obligations to the Organization has been demonstrated;

8. any State whose voting power has been suspended by the Assembly under Article 62 of the Convention may have it restored by the Coun cil under the conditions stipulated in Resolving Clause 7 a) above, provided that a willingness on its part to reach an equitable settlement of its financial obligations to the Organization has been demonstrated;

9. the following additional measures be app lied to those Contracting States whose voting rights have been suspended unde r Article 62 of the Convention:

a) lose eligibility to host meetings, conf erences, workshops and seminars which are funded, in whole or in part, by the Regular Programme;

b) receive only the same free documentation as that provided to non-Contracting States, including those available in electronic me dia, and any other documents that are essential for safety, regularity or efficien cy of internationa l air navigation;

c) Nationals or Representatives lose eligib ility for nomination to elected offices;

d) for purposes of recruitment to posts in the Secretariat, if all other circumstances are equal, candidates from States in arrears woul d be considered as having the status of candidates from a State that has already achieved the desired level of representation (under equal geographical representation princi ples), even if it has not achieved that level; and

e) lose the right to participate in the ICAO Familiarization Course;

10. only those States which have no outstanding annual assessed contributions except for the current year’s assessment will be eligible for el ection to the Council, Committees, and bodies;

11. the Secretary General be directed to repor t to Council any voting rights deemed to be suspended and suspension revoked under Clause 6, and to apply measures stipulated in Clause 9 accordingly; and

12. this Resolution supersedes Assembly Resolution A36-33.

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