INTERNATIONAL

CIVIL AVIATION
ORGANISATION
(ICAO)
FOUNDATION OF THE INTERNATIONAL CIVIL AVIATION
ORGANIZATION (ICAO)
The consequence of the studies initiated by the US and subsequent
consultations between the Major Allies was that the US government extended
an invitation to 55 States or authorities to attend, in November 1944, an
International Civil Aviation Conference in Chicago. Fifty-four States attended
this Conference end of which a Convention on International Civil Aviation
was signed by 52 States set up the permanent International Civil Aviation
Organization (ICAO) as a means to secure international co-operation an
highest possible degree of uniformity in regulations and standards, procedures
and organisation regarding civil aviation matters. At the same time the
International Services Transit Agreement and the International Air Transport
Agreement were signed.
The most important work accomplished by the Chicago Conference was in the
technical field because the Conference laid the foundation for a set of rules
and regulations regarding air navigation as a whole which brought safety in
flying a great step forward and paved the way for the application of a common
air navigation system throughout the world.
 PICAO - North Atlantic Route Service Conference (Dublin, March 1946)
Because of the inevitable delays in the ratification of the Convention, the
Conference had signed an Interim Agreement, which foresaw the creation of a
Provisional International Organization of a technical and advisory nature with
the purpose of collaboration in the field of international civil aviation
(PICAO). This Organization was in operation from August 1945 to April 1947
when the permanent ICAO came into being. Its seat was in Montreal, Canada
and in 1947 the change from PICAO to ICAO was little more than a formality.
However, it also brought about the end of ICAN because, now that ICAO was
firmly established, the ICAN member States agreed to dissolve ICAN by
naming ICAO specifically as its successor Organization.
From the very assumption of activities of PICAO/ICAO, it was realised that
the work of the Secretariat, especially in the technical field, would have to
cover two major activities:
1. Those which covered generally applicable rules and regulations
concerning training and licensing of aeronautical personnel both in the
air and on the ground, communication systems and procedures, rules for
the air and air traffic control systems and practices, airworthiness
requirements for aircraft engaged in international air navigation as well
as their registration and identification, aeronautical meteorology and
maps and charts. For obvious reasons, these aspects required uniformity
on a world-wide scale if truly international air navigation was to
become a possibility. Activities in these fields had therefore to be
handled by a central agency, i.e. ICAO headquarters, if local deviations
or separate developments were to be avoided;

2. Those concerning the practical application of air navigation services

and facilities by States and their co-co-ordinated implementation in
specific areas where operating conditions and other relevant parameters
were comparable.
To meet the latter objective it was agreed to
sub-divide the surface of the earth into a
number of "regions" within which distinct
and specific air navigation problems of a
similar nature existed. A typical example of
this process is illustrated by a comparison
of the so-called "North Atlantic Region
(NAT)", where the primary problems
concern long-range overseas navigation,
with the "European-Mediterranean region
(EUR)" where the co-ordination of trans-
European operations with domestic and
short-range international traffic constitutes
the major problem. Once the regions
created, it was necessary to provide bodies
which were able to assist States in the
resolution of their specific "regional"
problems and it was agreed that this could
best be achieved by the creation of a
number of Regional Offices which were to
be located either in the Region they served
or, if more than one Region was to be
served by such an Office, as close as
possible to the Region concerned.
As a consequence of the above ICAO
adopted the concept of Regions and
Regional Offices on the understanding that Mr. E. Warner, First President of
any regional activities could only be the Council of ICAO From 1947
undertaken provided they did not conflict to 1957
with the world-wide activities of the
Organization. However, it was also
recognised that such activities could vary
from Region to Region taking into account
the general economic, technical or social
environment of the Region concerned.

➢ CHICAGO CONVENTION
Convention on International Civil Aviation (also known as Chicago Convention),
was signed on 7 December 1944 by 52 States. Pending ratification of the
Convention by 26 States, the Provisional International Civil Aviation Organization
(PICAO) was established. It functioned from 6 June 1945 until 4 April 1947. By 5
March 1947 the 26th ratification was received. ICAO came into being on 4 April
1947. In October of the same year, ICAO became a specialized agency of the
United Nations linked to Economic and Social Council (ECOSOC).
The Convention on International Civil Aviation set forth the purpose of ICAO:
"WHEREAS the future development of international civil aviation 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 the general security; and
WHEREAS it is desirable to avoid friction and to promote that co-operation
between nations and peoples upon which the peace of the world depends;
THEREFORE, the undersigned governments having agreed on certain principles
and arrangements in order that international civil aviation may be developed in a
safe and orderly manner and that international air transport services may be
established on the basis of equality of opportunity and operated soundly and
economically; Have accordingly concluded this Convention to that end."
In response to the invitation of the United States Government, representatives of 54
nations met at Chicago from November 1 to December 7, 1944, to "make
arrangements for the immediate establishment of provisional world air routes and
services" and "to set up an interim council to collect, record and study data
concerning international aviation and to make recommendations for its
improvement." The Conference was also invited to "discuss the principles and
methods to be followed in the adoption of a new aviation convention."
Exploratory conversations with a number of governments had already been
conducted bilaterally by the United States Government, and the conference met
with the texts of four draft proposals already prepared for its consideration by the
Governments of the United States of America, the United Kingdom, and Canada,
and by Australia and New Zealand jointly.
The Conference immediately set up, in addition to the normal working committees
(Executive, Nominations, Steering, Credentials, and Rules and Regulations
Committees), four technical committees with appropriate subcommittees. These
were as follows:
Multilateral Aviation Convention and International Aeronautical
Committee I.
Body
Committee II. Technical Standards and Procedures
Committee III. Provisional Air Routes
Committee IV. Interim Council

The work of the conference was divided into:

1. The establishment of a permanent multilateral convention and international
aeronautic body.
2. The creation of international technical standards and procedures.
3. The perfecting of arrangements for provisional air routes.
4. The establishment of an interim council to function in international aviation
pending ratification of a full convention, which might take as long as three
years.
Early in these discussions the Committee on Multilateral Aviation Convention and
International Aeronautical Body rejected the joint proposal from the New Zealand
and Australian Delegations for international ownership and operation of civil air
services on world trunk routes. The rejection of that proposal indicated the
tendency of the Conference away from extensive international control of air
services.
Of the three other plans which remained before the Committee, the United States
plan called for an international aviation authority with powers limited to the
technical and consultative fields; the Canadian plan aimed to set up international
authority with power to allocate routes, review rates, and determine frequencies of
operation, but with that power curbed by specific formulae under which the
authority would operate; and the United Kingdom plan proposed more
discretionary power to the international authority in allocating routes, fixing rates,
and determining frequencies.
It was soon obvious that none of the three plans would emerge intact from the
discussions and that the final Conference proposal, if agreement were reached,
would be a composite of all plans.
When it was found that agreement was not going to be readily reached, open
committee meetings were suspended, and from Sunday, November 12, until
Monday, November 20, the Delegations from the United Kingdom, United States
of America, and Canada were in almost continuous closed conference in an effort
to reconcile their divergent proposals. At the end of that period they were able to
place before the Conference "without committing themselves" pro- posals for a
joint "partial draft of a section of an international air convention relating primarily
to air transport", with certain articles and provisions left open as being still under
discussion.
Early Conference discussions on the functions of the proposed world air body had
centered on the questions of whether it would have power to allocate routes,
determine rates, and fix frequencies of operation over specific routes. The joint
plan answered the first two questions in the negative but left the third open. Thus it
was indicated that the proposed body would have purely advisory and consultative
functions so far as economic matters were concerned.
As to the body's composition, the joint plan suggested an Assembly of
representatives of member states, with each state having one vote in the election of
a Board of seven which would represent the member states "of chief importance in
air transport". The Board would carry out the Assembly's directions, establish the
working personnel of the world air administration, and publish information relating
to international air services, including costs of operation and data on subsidies paid
to operators from public funds.
Among other important provisions of the plan were these:
1. Each State would reserve to its own carriers traffic originating and
terminating within its borders and territories.
2. The board would have power to appoint regional and subordinate
commissions to conduct research into all fields of international air transport.
3. The board would receive complaints about inadequate landing facilities and
recommend and help finance improvements.
4. Passenger and freight rates would be determined by regional operators'
associations at reasonable levels. At the request of one or more member
states, the Board could recommend changes in the rates fixed by operators
conferences. If the operators failed to observe the recommendations, the
Board could set its own rates, which would be effective unless a state
concerned disapproved.
This was the substance of the plan laid before the delegates. Subsequently when
the United States and United Kingdom Delegations submitted to the Conference
their separate proposals on freedoms of the air and frequency of operations, the
hub of the problem became evident. It centered on differences in the concepts of
the United States and United Kingdom of how pickup traffic on long hauls should
be controlled. The problem revolved about the Fifth Freedom of the Air, the right
of an airline to take on and discharge passengers at intermediate points along a
through route traversing a number of countries.
The United States and United Kingdom Delegations were both agreed that this
right should be limited so that the airlines of nations comprising the links of a
through route could have reasonable opportunity to compete with an airline
traversing the whole route. They diverged, however, on the formula to achieve the
limitation.
Whether agreement on ultimate goals could be reached depended on the solution of
that problem. Otherwise it would be necessary to revert to the Conference's
original plan of arranging for world routes through bilateral negotiations between
nations rather than through a blanket grant of commercial transit privileges by each
member nation to all others.
Exhaustive discussions revealed that no one formula could be found to satisfy all
points of view and all situations. The United States then proposed that separate
agreements embodying the extent to which nations would grant each other
reciprocal air rights, referred to as the "Freedoms of the Air", be prepared by the
Conference and made available for signatures, by these states which wished to
exchange the rights.
These Five Freedoms of the Air are:
1. Freedom of peaceful transit.
2. Freedom of non-traffic stop (to refuel, repair, or refuge).
3. Freedom to take traffic from the homeland to any country.
4. Freedom to bring traffic from any country to the homeland.
5. Freedom to pick up and discharge traffic at intermediate points.
It is clear that the unqualified granting of all of these Five Freedoms to any other
nation involved such a multitude of factors, many of which had nothing to do with
aeronautics, that it was impossible for agreement to be reached. It was in
endeavoring to achieve this difficult task that protracted discussions on plan and
counter plan took place and created the entirely false impression that the
Conference had failed.
On the contrary, the positive gains of the Chicago Conference were outstanding.
They included:
1. A permanent international act of great importance, the Convention on
International Civil Aviation, was concluded and opened for signature.
Although lacking the controverted economic articles, this instrument
provided a complete modernization of the basic public international law of
the air. It was intended to replace the Paris Convention on Aerial Navigation
of October 13, 1919, and did so when it came into effect on April 4, 1947. It
also provided the constitution for a new permanent international
organization, the International Civil Aviation Organization, which has now
replaced the previous international organization of more limited scope, the
International Commission for Air Navigation.
2. The International Air Services Transit Agreement, commonly known as the
Two Freedoms agreement, was concluded and opened for signature. This
agreement had been accepted by 36 states as of June 30, 1947. It has done
much to strike the shackles previously limiting the development of world-
wide air commerce.
3. The International Air Transport Agreement, commonly known as the Five
Freedoms agreement, was also concluded and opened for signature.
 Although it was known at the time that this agreement would not be
acceptable to a number of states, it served a temporary useful purpose for the
states that did accept it. The number of accepting states reached a maximum
of 17, but it is now declining, 4 having denounced the agreement. The
United States gave notice of denunciation of its acceptance on July 25, 1946,
and ceased to be a party to this agreement on July 25, 1947.
4. A standard form of bilateral agreement for the exchange of air routes was
prepared and recommended by the Conference as part of its final act. This
standard form has subsequently been widely used and has done much to
bring a measure of consistency into the many new bilateral agreements
which have been necessary.
5. An Interim Agreement on International Civil Aviation was completed and
opened for signature. It came into effect on June 6, 1945, thereby providing
an interim basis for many phases of international civil aviation and a
constitution for the Provisional International Civil Aviation Organization.
The interim agreement was replaced when the convention came into effect
on April 4, 1947.
6. Finally, a world-wide common basis was established for the technical and
operational aspects of international civil aviation. The technical
contributions of the Conference, as printed in the present volume under the
title "Drafts of Technical Annexes", run to some 188 pages of
recommendations on such matters as airworthiness of aircraft, air traffic
control, and the like. This comprehensive body of technical material
undoubtedly represents the most striking advance ever achieved at a single
conference in the field of international technical collaboration. The technical
recommendations prepared at Chicago and the later revisions prepared by
the Provisional International Civil Aviation Organization have served as a
guide to practice throughout the world and have been of basic importance in
the extraordinary expansion of international civil aviation which has
occurred since 1945.
In the light of this record of achievement, it can safely be said that the International
Civil Aviation Conference at Chicago was one of the most successful, productive,
and influential international conferences ever held.
LIST OF DELEGATES
The Governments of Afghanistan, Australia, Belgium, Bolivia, Brazil, Canada,
Chile, China, Colombia, Costa Rica, Cuba, Czechoslovakia, Dominican Republic,
Ecuador, Egypt, El Salvador, Ethiopia, France, Greece, Guatemala, Haiti,
Honduras, Iceland, India, Iran, Iraq, Ireland, Lebanon, Liberia, Luxembourg,
Mexico, Netherlands, New Zealand, Nicaragua, Norway, Panama, Paraguay, Peru,
Philippine Commonwealth, Poland, Portugal, Spain, Sweden, Switzerland, Syria,
Turkey, Union of South Africa, United Kingdom, United States of America,
Uruguay, Venezuela, and Yugoslavia;

FUNCTIONS OF ICAO
The constitution of ICAO is the Convention on International Civil Aviation,
drawn up by a conference in Chicago in November and December 1944, and
to which each ICAO Contracting State is a party. According to the terms of
the Convention, the Organization is made up of an Assembly, a Council of
limited membership with various subordinate bodies and a Secretariat. The
chief officers are the President of the Council and the Secretary General.
The Assembly, composed of representatives from all Contracting States, is
the sovereign body of ICAO. It meets every three years, reviewing in detail
the work of the Organization and setting policy for the coming years. It also
votes a triennial budget.
The Council, the governing body which is elected by the Assembly for a
three-year term, is composed of 36 States. The Assembly chooses the
Council Member States under three headings: States of chief importance in
air transport, States which make the largest contribution to the provision of
facilities for air navigation, and States whose designation will ensure that all
major areas of the world are represented. As the governing body, the
Council gives continuing direction to the work of ICAO. It is in the Council
that Standards and Recommended Practices are adopted and incorporated as
Annexes to the Convention on International Civil Aviation. The Council is
assisted by the Air Navigation Commission (technical matters), the Air
Transport Committee (economic matters), the Committee on Joint Support
of Air Navigation Services and the Finance Committee.
The Secretariat, headed by a Secretary General, is divided into five main
divisions: the Air Navigation Bureau, the Air Transport Bureau, the
Technical Co-operation Bureau, the Legal Bureau, and the Bureau of
Administration and Services. In order that the work of the Secretariat shall
reflect a truly international approach, professional personnel are recruited on
a broad geographical basis.
ICAO works in close co-operation with other members of the United
Nations family such as the World Meteorological Organization, the
International Telecommunication Union, the Universal Postal Union, the
World Health Organization and the International Maritime Organization.
Non-governmental organizations which also participate in ICAO's work
include the International Air Transport Association, the Airports Council
International, the International Federation of Air Line Pilots' Associations,
and the International Council of Aircraft Owner and Pilot Associations.
ICAO STANDARDS AND RECOMMENDED PRACTICES - AN OVERVIEW
ICAO
Despite recently released safety statistics that, gratifyingly, indicate that the first six months of 2004
were among the safest ever for airlines, insufficient language proficiency, both in comprehension and
expression, continues to feature in incident and accident reports throughout the world of civil aviation.
Although there is a continuing downward trend in the fatal airline accident rate, the extent to which the
problem of miscommunication occurs in day-by-day operations is well known to all controllers and
pilots active in international operations. Miscommunication on account of poor language skills has, for
decades, “gone with the territory”, but it should not and need not.
The role of communication in safety, particularly between air traffic controllers and pilots, is critical. Just
how critical has been well established through research: “The most vulnerable link in our ... airspace
system is information transfer between air traffic controllers and pilots. Research conducted using the
(safety reporting system) confirms the problem. A review of 28,000 reports revealed that over 70% of the
problems cited were in information transfer; this issue continues to represent the largest category of
problems reported.” 1
After a number of major accident investigations had indicated a lack of proficiency in the English
language by flight crews and air traffic controllers as a causal factor, the 32 nd Assembly of ICAO
(Montreal, 1998) adopted a Resolution (A32-16) that called for “strengthening relevant provisions with a
view to obligating States to take steps to ensure that air traffic controllers and flight crews involved in
flight operations in airspace where the use of the English language is required, are proficient in
conducting and comprehending radiotelephony communications in the English language.” The
Resolution sought that the matter be addressed with a high level of priority and that it be approached
with a view to strengthening the language provisions of Annex 1 and Annex 10. In 1997, the Air
Navigation Commission (ANC) agreed to the establishment of a study group to assist the Secretariat in
progressing the task of developing language provisions.
The study group was named the Proficiency Requirements in Common English Study Group (PRICESG)
and comprised aviation and linguistic experts from Argentina, Canada, China, France, Russia, Ukraine,
the United Kingdom, the United States, the European Organization for the Safety of Air Navigation
(EUROCONTROL), the International Air Transport Association (IATA), the International Federation of
Air Traffic Controllers Associations (IFATCA), the International Federation of Airline Pilots
Associations (IFALPA) and the International Civil Aviation Organization (ICAO).
Early in its deliberations, the study group confirmed the relevance of some key statements made fifty
years ago, firstly, that “the universal availability of at least one medium of radiotelephone
communication is important both for safety and efficiency in international air navigation” and, secondly,
that “the lack of a language common to the aircrew and the ground station could lead to an accident”
(Annex 10, Volume II, Attachment B). At the same time, it was recognized that there was a need to
retain recourse to the language normally used by the station on the ground in the situation where both the
aircrew and the air traffic controllers were proficient in its use.
The PRICE study group recommended Standards for Annexes 1 and 10 including, importantly, that the
provision for the use of the language of the station on the ground, and English, be elevated from a
Recommended Practice to a Standard.
Further, the group established a minimum level of proficiency for all pilots and controllers engaged in
the conduct of international civil aviation operations. As a necessary adjunct to that, the group prescribed
certain testing requirements. The minimum required level of proficiency is embedded in a scale of
proficiencies described in terms of language “behaviours” that can serve the purposes
MAKING AN ICAO STANDARD

Why are Standards Necessary?

Civil aviation is a powerful force for progress in our modern global society. A healthy and
growing air transport system creates and supports millions of jobs worldwide. It forms part
of the economic lifeline of many countries. It is a catalyst for travel and tourism, the world's
largest industry. Beyond economics, air transport enriches the social and cultural fabric of
society and contributes to the attainment of peace and prosperity throughout the world.
Twenty four hours a day, 365 days of the year, an aeroplane takes off or lands every few
seconds somewhere on the face of the earth. Every one of these flights is handled in the
same, uniform manner, whether by air traffic control, airport authorities or pilots at the
controls of their aircraft. Behind the scenes are millions of employees involved in
manufacturing, maintenance and monitoring of the products and services required in the
never-ending cycle of flights. In fact, modern aviation is one of the most complex systems of
interaction between human beings and machines ever created.
This clock-work precision in procedures and systems is made possible by the existence of
universally accepted standards known as Standards and Recommended Practices, or SARPs.
SARPs cover all technical and operational aspects of international civil aviation, such as
safety, personnel licensing, operation of aircraft, aerodromes, air traffic services, accident
investigation and the environment. Without SARPs, our aviation system would be at best
chaotic and at worst unsafe.

The International Civil Aviation Organization (ICAO)

Creating and modernizing SARPs is the responsibility of the International Civil Aviation
Organization, or ICAO, the specialized agency of the United Nations whose mandate is to
ensure the safe, efficient and orderly evolution of international civil aviation.
ICAO has its headquarters in Montreal, Canada, with seven regional offices throughout the
world. From its beginning in 1944 it has grown to an organization with over 180 Contracting
States. ICAO's aim is the safe and orderly development of all aspects of international civil
aeronautics. It provides the forum whereby requirements and procedures in need of
standardization may be introduced, studied and resolved.
The charter of ICAO is the Convention on International Civil Aviation, drawn up in Chicago
in December 1944, and to which each ICAO Contracting State is a party.
According to the Convention, the Organization is made up of an Assembly, a Council and a
Secretariat. The chief officers are the President of the Council and the Secretary General.
The Assembly, composed of representatives from all Contracting States, is the sovereign
body of ICAO. It meets every three years, reviewing in detail the work of the Organization,
setting policy for the coming years and establishing a triennial budget. The Assembly elects
the Council, the governing body for a three-year term.
The Council is composed of members from 36 States who maintain their offices and conduct
their business at the ICAO Headquarters. It is in the Council that Standards and
Recommended Practices are adopted and incorporated as Annexes (PDF) to the Convention
on International Civil Aviation. With regard to the development of Standards, the Council is
assisted by the Air Navigation Commission in technical matters, the Air Transport
Committee in economic matters and the Committee on Unlawful Interference in aviation
security matters.
The principal body concerned with the development of technical Standards and other
provisions is the Air Navigation Commission. Its primary role is to advise the Council of
ICAO on air navigation issues. It is composed of fifteen experts with appropriate
qualifications and experience in various fields of aviation. Its members are nominated by
Contracting States and are appointed by the Council. They are expected to function as
independent experts and not as representatives of their States.
The Air Navigation Commission is assisted in its work by the technical personnel of the Air
Navigation Bureau, which is a part of the Secretariat. The Secretariat, headed by a Secretary
General, is divided into five main divisions: the Air Navigation Bureau, the Air Transport
Bureau, the Technical Co-operation Bureau, the Legal Bureau, and the Bureau of
Administration and Services. The bureaux are divided into Sections, which - in the case of
the Air Navigation Bureau - correspond each to an area of responsibility in one or more
related fields.

Forms of Standards and Recommended Practices

Sixteen out of eighteen Annexes to the Convention are of a technical nature and therefore
fall within the responsibilities of the Air Navigation Bureau and its sections. The remaining
two Annexes, Facilitation and Security, are under the purview of the Air Transport Bureau.
Since the majority of the Annexes concern technical issues, it is focused on them when the
development process is described.
ICAO standards and other provisions are developed in the following forms:
• Standards and Recommended Practices - collectively referred to as SARPs;

• Procedures for Air Navigation Services - called PANS;

• Regional Supplementary Procedures - referred to as SUPPs; and

• Guidance Material in several formats.

A Standard is defined as any specification for physical characteristics, configuration,
material, performance, personnel or procedure, the uniform application of which is
recognized as necessary for the safety or regularity of international air navigation and to
which Contracting States will conform in accordance with the Convention; in the event of
impossibility of compliance, notification to the Council is compulsory under Article 38 of
the Convention.
A Recommended Practice is any specification for physical characteristics, configuration,
material, performance, personnel or procedure, the uniform application of which is
recognized as desirable in the interest of safety, regularity or efficiency of international air
navigation, and to which Contracting States will endeavour to conform in accordance with
the Convention. States are invited to inform the Council of non-compliance.
SARPs are formulated in broad terms and restricted to essential requirements. For complex
systems such as communications equipment, SARPs material is constructed in two sections:
core SARPs - material of a fundamental regulatory nature contained within the main body of
the Annexes, and detailed technical specifications placed either in Appendices to Annexes or
in manuals.
The differences to SARPS notified by States are published in Supplements to Annexes.
Procedures for Air Navigation Services (or PANS) comprise operating practices and
material too detailed for Standards or Recommended Practices - they often amplify the basic
principles in the corresponding Standards and Recommended Practices. To qualify for
PANS status, the material should be suitable for application on a worldwide basis. The
Council invites Contracting States to publish any differences in their Aeronautical
Information Publications when knowledge of the differences is important to the safety of air
navigation.
The provisions for Annex 18, Dangerous Goods, are supplemented by Technical Instructions
for the Safe Transport of Dangerous Goods by Air. While these detailed instructions do not
have the status of SARPs or PANS, they do have a special status by which the Contracting
States are requested to achieve compliance.
Regional Supplementary Procedures (or SUPPs) have application in the respective ICAO
regions. Although the material in Regional Supplementary Procedures is similar to that in
the Procedures for Air Navigation Services, SUPPs do not have the worldwide applicability
of PANS.
Guidance Material is produced to supplement the SARPs and PANS and to facilitate their
implementation. Guidance material is issued as Attachments to Annexes or in separate
documents such manuals, circulars and lists of designators/addresses. Usually it is approved
at the same time as the related SARPS are adopted.
Manuals provide information to supplement and/or amplify the Standards and
Recommended Practices and Procedures for Air Navigation Services. They are specifically
designed to facilitate implementation and are amended periodically to ensure their contents
reflect current practices and procedures.
Circulars make available specialized information of interest to Contracting States. Unlike
manuals, circulars are not normally updated.

Origin of Proposals for SARPs

How are SARPs created? What makes them so effective today and how can they ensure the
safe, efficient and orderly growth of international civil aviation in the years to come? The
answer lies in the four "C's" of aviation: cooperation, consensus, compliance and
commitment. Cooperation in the formulation of SARPs, consensus in their approval,
compliance in their application, and commitment of adherence to this on-going process.
The formulation of new or revised SARPs begins with a proposal for action from ICAO
itself or from its Contracting States. Proposals also may be submitted by international
organizations.

Development of SARPs
For technical SARPs, proposals are analysed first by the Air Navigation Commission, or
ANC. Depending on the nature of the proposal, the Commission may assign its review to a
specialized working group.
Meetings are, of course, the main vehicle for progress in the air navigation field, although
much of the preparatory work is accomplished by correspondence. It is through a variety of
meetings that most of the work is finalized and the necessary consensus reached.
In the development, a number of consultative mechanisms are used:
Air Navigation meetings are divisional-type meetings devoted to broad issues in the air
navigation fields. They can be either divisional meetings dealing with issues in one or more
related fields or air navigation conferences normally having a "theme" covering issues in
more than one field. All Contracting States are invited to participate in these meetings with
equal voice. Interested international organizations are invited to participate as observers.
ANC panels are technical groups of qualified experts formed by the ANC to advance, within
specified time frames, the solution of specialized problems which cannot be solved
adequately or expeditiously by the established facilities of the ANC and the Secretariat.
These experts act in their expert capacity and not as representatives of the nominators.
Air Navigation study groups are small groups of experts made available by States and
international organizations to assist the ICAO Secretariat, in a consultative capacity, in
advancing progress on technical tasks.
Council technical committees are established to deal with problems involving technical,
economic, social and legal aspects, for the resolution or advancement of which expertise is
required that is not available through the normal Council means, are also instrumental in
developing ICAO SARPs.
In summary, technical issues dealing with a specific subject and requiring detailed
examination are normally referred by the ANC to a panel of experts. Less complex issues
may be assigned to the Secretariat for further examination, perhaps with the assistance of an
air navigation study group.
Review of Draft SARPs
These various groups report back to the Air Navigation Commission in the form of a
technical proposal either for revisions to SARPs or for new SARPs, for preliminary review.
This review is normally limited to consideration of controversial issues which, in the opinion
of the Secretariat or the Commission, require examination before the recommendations are
circulated to States for comment.
The original recommendations for core SARPs along with any alternative proposals
developed by the Air Navigation Commission are submitted to Contracting States and
selected international organizations for comment. Detailed technical specifications for
complex systems are made available to States upon request and are submitted to a validation
process. States are normally given three months to comment on the proposals.
Standards developed by other recognized international organizations can also be referenced,
provided they have been subject to adequate verification and validation.
The comments of States and international organizations are analysed by the Secretariat and a
working paper detailing the comments and the Secretariat proposals for action is prepared.
The Commission undertakes the final review of the recommendations and establishes the
final texts of the proposed amendments to SARPs, PANS and associated attachments. The
amendments to Annexes recommended by the Commission are presented to the Council for
adoption under cover of a "Report to Council by the President of the Air Navigation
Commission".
Adoption/Publication of Annex Amendments
The Council reviews the proposals of the Air Navigation Commission and adopts the
amendment to the Annex if two-thirds of the members are in favour.
Within two weeks of the adoption of an Annex amendment by the Council, an interim
edition of the amendment, referred to as the "Green Edition", is dispatched to States with a
covering explanatory letter. This covering letter also gives the various dates associated with
the introduction of the amendment.
Policy prescribes that Contracting States be allowed three months to indicate disapproval of
adopted amendments to SARPs. A further period of one month is provided for preparation
and transit time, making the Effective Date approximately four months after adoption by
Council. There should be a period of four months between an amendment's Effective Date
and its Applicability Date. However, this can be longer or shorter as the situation requires.
The Notification Date is normally one month prior to the Applicability Date.
Provided a majority of States have not registered disapproval, the amendment will become
effective on the Effective Date.
On the Notification Date, which is one month prior to the Applicability Date, the States must
notify the Secretariat of any differences that will exist between their national regulations and
the provision of the Standard as amended. The reported differences are then published in
supplements to Annexes.
Immediately after the Effective Date, a letter is sent announcing that the amendment has
become effective and the Secretariat takes action to issue the "Blue Edition" which is the
form of the amendment suitable for incorporation in the Annex or PANS.
On the Applicability Date, States must implement the amendments unless, of course, they
have notified differences. To limit the frequency of Annex and PANS amendments, the
Council has established one common applicability date for each year. This date is chosen
from the schedule for the regulation of amendments to Aeronautical Information Regulation
and Control (AIRAC) for the month of November.
The result of this adoption procedure is that the new or amended Standards and
Recommended Practices become part of the relevant Annex.
It takes on average 2 years from the Preliminary Review by the ANC to the applicability
date. Although this process may seem lengthy at first glance, it provides for repeated
consultation and extensive participation of States and international organizations in
producing a consensus based on logic and experience.
Cooperation and consensus have thus provided international aviation with the vital
infrastructure for safe and efficient air transport. The third "C", compliance, brings this
comprehensive regulatory system to life.
Approval/Publication of other Annex Material and Procedures
Attachments to Annexes, although they are developed in the same manner as Standards and
Recommended Practices, are approved by Council rather than adopted.
Regional Supplementary Procedures, because of their regional application, do not have the
same line of development as the previously mentioned amendments; they also must be
approved by Council.
The proposed amendments to PANS are approved by the Air Navigation Commission, under
power delegated to it by the Council, subject to the approval by the President of the Council
after their circulation to the Representatives of the Council for comment.
Manuals and circulars are published under authority of the Secretary General in accordance
with principles and policies approved by Council.
Implementation of SARPs/Universal Safety Oversight Audit Programme
Under the Convention on International Civil Aviation, the implementation of SARPs lies
with Contracting States. To help them in the area of safety, ICAO established in 1999 a
Universal Safety Oversight Audit Programme. The Programme consists of regular,
mandatory, systematic and harmonized safety audits carried out by ICAO in all Contracting
States.
The objective is to promote global aviation safety by determining the status of
implementation of relevant ICAO SARPs, associated procedures and safety-related
practices. The audits are conducted within the context of critical elements of a State's safety
oversight system. These include the appropriate legislative and regulatory framework; a
sound organizational structure; technical guidance; qualified personnel; licensing and
certification procedures; continued surveillance and the resolution of identified safety
concerns.
Since its inception, the Programme has proved effective in identifying safety concerns in the
safety-related fields under its scope, while providing recommendations for their resolution.
The Programme is being gradually expanded to include aerodromes, air traffic services,
aircraft accident and incident investigation and other safety-related fields.
While providing additional assistance in the form of regional safety oversight seminars and
workshops, the programme also provides ICAO with valuable feedback to improve existing
SARPs and create new ones.
The experience gained with the safety oversight programme was successfully adapted to
aviation security. In 2002, the Universal Security Audit Programme was launched to
similarly help States identify deficiencies in the implementation of security-related SARPs.
The format may in the future be applied to other areas of civil aviation.
Yes, cooperation, consensus, compliance and an unfailing commitment to the on-going
implementation of SARPs have made it possible to create a global aviation system that has
evolved into the safest mode of mass transportation ever conceived. The flight crew of
today's commercial aircraft, as their predecessors and those that will follow, can count on a
standardized aviation infrastructure wherever they fly in the world.
ICAO is proud of this unique achievement, based on the singled-minded pursuit of working
with its Contracting States and all other partners of the international civil aviation
community in providing the citizens of the world with an aviation system that is safe and
reliable, now and for years to come.

IACO LOCATION INDICATOR

Pilots who fly internationally (and anyone who plays Microsoft Flight Simulator)
knows that the FAA identifier of an airport, for example – JFK, could be preceded
by a K, i.e., KJFK, for Ê is the ICAO designator for the continental United States.
The K, and, in fact, the three following letters, have little to do with airports but
everything to do with seamless international aviation telecommunications. The
code does not refer to an airport, but to a telecommunications facility.

In 1957, the ICAO Panel of Teletypewriter Specialists devised the principles for
the formulation and assignment of four-letter location indicators for geographic
regions throughout the world, and the addresses of centers in charge of flight
information regions (FIRs) and/or upper flight information regions (UIRs).

Four components of this system were defined:

- Aeronautical fixed service (AFS) - A telecommunication service between

specified fixed points provided primarily for the safety of air navigation and for the
regular, efficient and economic operation of air services.

- Aeronautical fixed station - A station in the aeronautical fixed service.

- Aeronautical fixed telecommunication network (AFTN) - A worldwide system of

aeronautical fixed circuits provided, as part of the aeronautical fixed service, for
the exchange of messages and/or digital data between aeronautical fixed stations
having the same or compatible communications characteristics.

- Location indicator - A four-letter code group formulated in accordance with rules

prescribed by ICAO and assigned to the location of an aeronautical fixed station.
(There are currently more than 12,000 of these location indicators around the world
and not all apply to airport locations. KRTL, for instance, is the FAA's Southern
Regional Office Message Center in Atlanta; LGGG is the Athenia Center and FIR
in Greece. Military units, weather offices and others also have four-letter
identifiers.)

The world is divided into non-overlapping AFS routing areas that are assigned a
separate identifying letter. The United States was assigned Ê - although we were
unable to confirm this - apparendy because the main telecommunications switching
center was in Kansas City. Canada got Ñ for obvious reasons and the old Union of
Soviet Socialist Republics got U for reasons that are just as obvious. P for Pacific
makes sense, too, and that's why Alaska and Hawaii locator prefixes are P (PANC
for Anchorage and PHNL for Honolulu, for example).

The accompanying map shows the prefixes for various parts of the world. Other
than the examples above, there does not appear to have been any reason why a
specific letter was assigned to a specific region.

The letters I, J, Q and X were not assigned for reasons unknown.

A look at the map shows A was assigned to a region of Antarctica south of

Australia, but also to an area of Papua New Guinea in the South Pacific. Australia
was also included in the A group until about eight years ago, when it was assigned
its own Y.

You will note that the boundaries of these areas do not necessarily coincide with
the boundaries of any state, territory or FIR but were decided only in
consider¬ation of the requirements of the AFS to assist message traffic-routing
processes to the maximum possible extent.

The first letter is assigned by ICAO to the AFS routing area within which the
location is situated. The second letter is assigned by ICAO to the state or territory
in which the communication center is situated. The third and fourth letters are
assigned by the state or territory supervised by ICAO by checking their conformity
with the principles for assignment in the ICAO Location Indicators document and
registering the indicator. Incidentally, some four-letter location indicators have an
asterisk attached, which indicates that the site cannot be addressed over the AFTN.

Interestingly, NNN should not be used as the second, third and fourth letters of a
location indicator, nor should ZCZC, because these sequences are used as
switching signals in the AFS automated relay stations, and their presence in these
parts of the message would cause malfunctioning.

The E for parts of Europe covers several countries and/or territories. Therefore, the
location identifier starts with two letters, EG for England, ES for Sweden, ED for
Germany, and EH for the Netherlands. In the L area, there is LF for France, LO for
Austria and LI for Italy, and so on. Canada has a two-letter introduction, too: CY.

This was all worked out in conjunction with the International Telecommunications
Union (ITU). Like ICAO, the ITU is a specialized agency of the United Nations,
headquartered in Geneva, Switzerland.
Among its many other functions, the ITU manages the worldwide radio-frequency
spectrum, so the ITU had a role to play in establishing the basis for the location
indicators, which, after all, identify primarily telecommunication stations. (While
ICAO and the ITU work closely on telecommunications matters, ICAO has to
sometimes fight hard to maintain, or expand, the number of radio frequencies
assigned to aviation.)

While in some cases, the four-letter ICAO location identifier closely matches the
three-letter identifier assigned by the International Air Transport Association
(IATA), there are no requirements to do so. The ICAO identifier is designed to
send a message to a station of the AFS; the IATA identifier is designed to send
your baggage to an airport. Hence the destination on your baggage tag reads LHR
for London Heathrow and the flight plan in the cockpit reads EGLL. (The
Heathrow VOR isn't identified by LHR, either; it's LON, although the NDB is
HRW for Heathrow.)

If you're flying internationally, you have to use the ICAO four-letter codes in flight
planning. One wrong first letter can indicate a completely different destination,
although the mistake would be picked up by flight plan checking. If, for instance,
you're heading for New Orleans Naval Air Station on an international flight, you
would file KNBG. But if you file FNBG, you'll be expected at the 17th of
November Airport in Benguela, Angola, Africa.
STRATEGIC OBJECTIVES OF ICAO FOR 2005-2010

The International Civil Aviation Organization, a UN Specialized Agency, is the

global forum for civil aviation.
ICAO works to achieve its vision of safe, secure and sustainable development of
civil aviation through cooperation amongst its member States.
To implement this vision, the Organization has established the following Strategic
Objectives for the period 2005-2010:
CONSOLIDATED VISION AND MISSION STATEMENT

The International Civil Aviation Organization, a UN Specialized Agency, is the

global forum for civil
aviation.

ICAO works to achieve its vision of safe, secure and sustainable development of
civil aviation
through cooperation amongst its member States.

To implement this vision, the Organization has established the following Strategic
Objectives for the
period 2005-2010:

A: Safety - Enhance global civil aviation safety

B: Security - Enhance global civil aviation security
C: Environmental Protection - Minimize the adverse effect of global civil aviation
on the
environment
D: Efficiency - Enhance the efficiency of aviation operations
E: Continuity - Maintain the continuity of aviation operations
F: Rule of Law - Strengthen law governing international civil aviation

Strategic Objective A: Safety — Enhance global civil aviation safety

Enhance global civil aviation safety through the following measures:

1. Identify and monitor existing types of safety risks to civil aviation and develop
and implement an effective and relevant global response to emerging risks.
2. Ensure the timely implementation of ICAO provisions by continuously
monitoring the progress toward compliance by States.
3. Conduct aviation safety oversight audits to identify deficiencies and encourage
their resolution by States.
4. Develop global remedial plans that target the root causes of deficiencies.
5. Assist States to resolve deficiencies through regional remedial plans and the
establishment of safety oversight organizations at the regional or sub-regional
level.
6. Encourage the exchange of information between States to promote mutual
confidence in the level of aviation safety between States and accelerate the
improvement of safety oversight.
7. Promote the timely resolution of safety-critical items identified by regional
Planning and
Implementation Groups (PIRGs).
8. Support the implementation of safety management systems across all safety-
related disciplines in all States.
9. Assist States to improve safety through technical cooperation programmes and
by making critical needs known to donors and financial organizations.

Strategic Objective B: Security — Enhance global civil aviation

security

Enhance the security of global civil aviation through the following measures:

1. Identify and monitor existing types of security threats to civil aviation and
develop and
implement an effective global and relevant response to emerging threats.
2. Ensure the timely implementation of ICAO provisions by continuously
monitoring the progress toward compliance by States.
3. Conduct aviation security audits to identify deficiencies and encourage their
resolution by States.
4. Develop, adopt and promote new or amended measures to improve security for
air travelers worldwide while promoting efficient border crossing procedures.
5. Develop and maintain aviation security training packages and e-learning.
6. Encourage the exchange of information between States to promote mutual
confidence in the level of aviation security between States.
7. Assist States in the training of all categories of personnel involved in
implementing aviation
security measures and strategies and, where appropriate, the certification of such
personnel.
8. Assist States in addressing security related deficiencies through the aviation
security mechanism
and technical cooperation programmes.

Strategic Objective C: Environmental Protection — Minimize the adverse

effect of global civil aviation
on the environment

Minimize the adverse environmental effects of global civil aviation activity,

notably aircraft noise and aircraft
engine emissions, through the following measures:

1. Develop, adopt and promote new or amended measures to:

S limit or reduce the number of people affected by significant aircraft noise;
S limit or reduce the impact of aircraft engine emissions on local air quality; and
S limit or reduce the impact of aviation greenhouse gas emissions on the global
climate.
2. Cooperate with other international bodies and in particular the UN Framework
Convention on
Climate Change (UNFCCC) in addressing aviation’s contribution to global climate
change.

Strategic Objective D: Efficiency — Enhance the efficiency of aviation

operations

Enhance the efficiency of aviation operations by addressing issues that limit the
efficient development of
global civil aviation through the following measures:

1. Develop, coordinate and implement air navigation plans that reduce operational
unit costs,
facilitate increased traffic (including persons and goods), and optimize the use of
existing and
emerging technologies.
2. Study trends, coordinate planning and develop guidance for States that supports
the sustainable
development of international civil aviation.
3. Develop guidance, facilitate and assist States in the process of liberalizing the
economic
regulation of international air transport, with appropriate safeguards.
4. Assist States to improve efficiency of aviation operations through technical
cooperation
programmes.

Strategic Objective E: Continuity — Maintain the continuity of aviation

operations

Identify and manage threats to the continuity of air navigation through the
following measures:

1. Assist States to resolve disagreements that create impediments to air navigation.

2. Respond quickly and positively to mitigate the effect of natural or human events
that may disrupt
air navigation.
3. Cooperate with other international organizations to prevent the spread of disease
by air travellers.

Strategic Objective F: Rule of Law — Strengthen law governing international

civil aviation

Maintain, develop and update international air law in light of evolving needs of the
international civil aviation
community by the following measures:

1. Prepare international air law instruments that support ICAO’s Strategic

Objectives and provide
a forum to States to negotiate such instruments.
2. Encourage States to ratify international air law instruments.
3. Provide services for registration of aeronautical agreements and depositary
functions for
international air law instruments.
4. Provide mechanisms for the settlement of civil aviation disputes.
5. Provide model legislation for States.
SUPPORTING IMPLEMENTATION STRATEGIES

To implement its Strategic Objectives, the Organization will take the necessary
steps to:

1. operate in a transparent manner and communicate effectively both externally and

internally;
2. maintain the effectiveness and relevance of all documents and materials;
3. identify risk management and risk mitigation strategies as required;
4. continuously improve the effective use of its resources;
5. enhance the use of information and communication technology integrating it into
its work
processes at the earliest possible opportunity;
6. take into account the potential impacts on the environment of its practices and
operations;
7. improve its use of diverse human resources in line with the best practices in the
UN system; and
8. operate effectively with the highest standard of legal propriety.
ICAO CONTRACTING STATES

Afghanistan Côte d'Ivoire Kyrgyzstan Qatar

Albania Democratic Lao People's Republic of
People's Republic Democratic Korea
of Korea Republic
Algeria Democratic Latvia Republic of
Republic of the Moldova
Congo
Andorra Denmark Lebanon Romania
Angola Djibouti Lesotho Russian
Federation
Antigua and Dominican Liberia Rwanda
Barbuda Republic
Argentina Ecuador Libyan Arab Saint Kitts and
Jamahiriya Nevis
Armenia Egypt Lithuania Saint Lucia
Australia El Salvador Luxembourg Saint Vincent and
the Grenadines
Austria Equatorial Madagascar Samoa
Guinea
Azerbaijan Eritrea Malawi San Marino
Bahamas Estonia Malaysia Sao Tome and
Principe
Bahrain Ethiopia Maldives Saudi Arabia
Bangladesh Fiji Mali Senegal
Barbados Finland Malta Serbia
Belarus France Marshall Islands Seychelles
Belgium Gabon Mauritania Sierra Leone
Belize Gambia Mauritius Singapore
Benin Georgia Mexico Slovakia
Bhutan Germany Micronesia Slovenia
(Federated States
of)
Bolivia Ghana Monaco Solomon Islands
Bosnia and Greece Mongolia Somalia
Herzegovina
Botswana Grenada Montenegro South Africa
Brazil Guatemala Morocco Spain
Brunei Guinea-Bissau Mozambique Sri Lanka
Darussalam
Bulgaria Guinea Myanmar Sudan
Burkina Faso Guyana Namibia Suriname
Burundi Haiti Nauru Swaziland
Cambodia Honduras Nepal Sweden
Cameroon Hungary Netherlands Switzerland
Canada Iceland New Zealand Syrian Arab
Republic
Cape Verde India Nicaragua Tajikistan
Central African Indonesia Nigeria Thailand
Republic
Chad Iran (Islamic Niger The Former
Republic of) Yugoslav
Republic of
Macedonia
Chile Iraq Norway Timor-Leste
China Ireland Oman Togo
Colombia Israel Pakistan Tonga
Comoros Italy Palau Trinidad and
Tobago
Congo Jamaica Panama Tunisia
Cook Islands Japan Papua New Turkey
Guinea
Costa Rica Jordan Paraguay Turkmenistan
Croatia Kazakhstan Peru Uganda
Cuba Kenya Philippines Ukraine
Cyprus Kiribati Poland United Arab
Emirates
Czech Republic Kuwait Portugal United Kingdom
United Republic United States Uruguay Uzbekistan
of Tanzania
Vanuatu Venezuela Viet Nam Yemen
Zambia Zimbabwe
Total: 190