International Civil Aviation Organization

Electronic Filing of Differences(EFOD) System and Filing of Differences Task

Force (FDTF)

Air Navigation Bureau

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1. Background 2. EFOD functionalities3. Principles and Procedures on the Use of EFOD4. Rollout of EFOD (2011~2013)5. Filing of Differences Task Force (FDTF)

Outline

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1. Background

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Obligation under the Convention

Filing of Differences

Article 38 of Chicago Convention for filing of differences from Standards

Assembly Resolution 37-15 for filing of differences from Recommended Practices as well

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Requirement under ICAO USOAP

Submission/update of Compliance Checklist

Memorandum of Understanding (MoU) signed between ICAO and a Member State regarding USOAP CMA

Provide information on the

implementation of the specific provisions of the relevant Annexes

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Different forms and means used for collecting similar information

Notification of Differences FormCompletion of CC

Different means of sharing information

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Differencesthrough Supplements to Annexes

Compliance Checklistthrough USOAP Restricted

Website

Caused duplicate tasks for States

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Send Notification Form to ICAO Update Compliance Checklist

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Keep up-to-date compliance checklist pursuant to MOU for USOAP

File differences pursuant to Article 38 of Chicago Convention

Need for a single system/database

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Decision by the Council – March 2011

Agreed to the initial rollout plan of EFOD (2011~2013) Invite States to use EFOD as an alternative means for filing

differences to Annexes except Annexes 9 and 17 Request States to validate data in EFOD, previously submitted

through CC under USOAP

Requested for draft policy on EFOD for consideration by the Council including the following issues; Languages to be used, user access, incorporation of A9 &17 and

publication of Supplements, etc.

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2. EFOD Functionalities

Business requirement

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NOT shared with other States

Conduct a preliminary data entry

Online/Offline

Conduct a preliminary data entry

Online/Offline

Submit/Update Compliance

Checklist Per Annex

Submit/Update Compliance

Checklist Per Annex

Save as a draftOnline

Save as a draftOnline

To be shared with other States

To be shared with other States

State to submit/update Compliance Checklist State to file differences

Choose Standards only

or All SARPsPer Annex

Choose Standards only

or All SARPsPer Annex

Submit official notification to

ICAO

Submit official notification to

ICAO

To be used for Generation of Supplement

To be used for Generation of Supplement

ICAO to monitor and share information on implementation of SARPs

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States Indicate compliance with and/or difference to SARPs with detailsKill two birds with one stone to meet obligations under CMA MOU and Convention Art. 38

ICAO Review/monitor the

level of global implementation

Generate e-Supplement

Key Functionalities

Electronic Supplement

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A dynamic and on-demand research tool on differences from SARPs submitted through EFOD that provides:

A list of States who have verified differences Completeness of data reporting for a selected State Differences per Annex for a selected State Differences of all States per a selected provision

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3. Principles and Procedures on the Use of EFOD

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Principles and Procedures on the Use of the EFOD sytem

Considered and approved by Council at its 195th Session

To be Published by Secretary General in 4th Quarter 2012

Table of Contents1. Introduction/Scope2. Access to the System3. Languages4. Annex Information5. Compliance/Differences

Information6. System performance7. References

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Guiding Principles used in drafting the Procedures

Limited to the use of system

Subject to existing rules and procedures

Approved and maintained by Secretary General

Accommodate all required future functionalities of EFOD

Supplemented by Technical Implementation Plan

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Strategies involved in allocation of resources for development and implementation of required functionalities of the EFOD system :

A list of required functionalities (Where we want to be) Gap analysis between current and required functionalities Timelines for releasing new functionalities Matrix for measuring system performance

EFOD Technical Implementation Plan

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4. Rollout of EFOD (2011~2013)

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Verification of data by States

Jan 2011, CC data from 153 States were migrated into the EFOD system

April 2011, States were requested to: (SL AN 1/1-11/28)

Recognize EFOD as an alternative means of filing of differences

Verify and confirm the data in EFOD which had previously been submitted through CC under USOAP.

Incorporation of Annexes 9 and 17

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Annex 9 (Facilitation) Completed uploading annex provisions in the system Differences information is to be uploaded by the end of 2012 States will be informed of taking further for further actions

Annex 17 (Security) Will remain pending until additional security controls are

implemented in the system

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Improvement of the system

For Own State(read/write)

~ 2011

Standard

Recommendation SARPs Database

Differences to definitions

Differences to Standard

Difference to Recommendation

State compliance information

For Other States’

(view/research)

2012~2013

For public (view/research)

2013

Figures & Tables

Appendices

Differences/Compliance Database

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Preformatted word documentDownloadable and can be worked on offline and

put back into online system

Validation feature workflow of State’s internal coordination and

approval process for completion of compliance checklist and filing of differences

Electronic SupplementsFeature that users can search difference

information by Annex provision and/or by States

Improvement of the system (Cont’d)

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5. Filing of Differences Task Force(FDTF)

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Background

Convention Article 38 and Assembly Resolution Annex 15

Not proper functioning of the two requirements regarding differences from ICAO provisions

According to USOAP report, more than 70% audited States were found to be not satisfactory in fulfilling requirements of filing and publication of differences.

• Notification to ICAO of ALL differences from Annex provisions

• Publication in the AIP of SIGNIFICANT differences from Annex, PANS and SUPPs provisions

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Membership Established by the Secretary General Chaired by Mr. Luc Lapene from France Members from 14 States and 1 Int’l Organization from all

Regions 2 ANC Members and Secretariat members from ANB, ATB, LEB

Note): 1st meeting in 12~14 Oct. 2011 and 2nd meeting in May 2012

Deliverables Draft policy on the use of EFOD – Completed Comprehensive Study on issues regarding filing of differences in

general with a view to improving relevant rules and procedures and providing additional guidance to States – In Progress

Establishment of TF

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Comprehensive Study on Issues regarding Filing of Differences

Being finalized by FDTF

To be considered by Council at its 198th Session in 2013

Table of Contents1. Executive summary2. Introduction3. ICAO’s past efforts4. Current situation5. Analysis of differences6. Known issues7. Importance and benefits of filing

and publication of differences8. Future strategies and

recommendations

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Known issues

StatesICAO

Not at all or not properly file differences

Not publish significant differences in AIPs

Not at all or not properly file differences

Not publish significant differences in AIPs

Misleading, inconsistent, insufficient guidance

Misleading, inconsistent, insufficient guidance

Limited value of

Supplements

Limited value of

Supplements

Frequent Annex Am’t

and unrealistic

applicability dates

Frequent Annex Am’t

and unrealistic

applicability dates

Difficulty in comprehen

ding and interpreting

Annex provisions

Difficulty in comprehen

ding and interpreting

Annex provisions

Lack of knowledge

and expertise

Lack of knowledge

and expertise

Lack of effective national

process and procedures

Lack of effective national

process and procedures

Lack of States’

commitment

Lack of States’

commitment

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Recommendation

Improve and develop ICAO documents Improve SARPs development and amendment process Increase transparency of differences information

Enhance assistance programme in cooperation with various entities

Introduce a quality control process wherein ICAO reviews differences and provides timely feedback

Improve the EFOD system to ease the work of States

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1. Background 2. EFOD functionalities3. Principles and Procedures on the Use of EFOD4. Rollout of EFOD (2011~2013)5. Filing of Differences Task Force (FDTF)

Review

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