FAA Participation in ICAO Panels and Technical Groups

ORDER U.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION 1240.16 National Policy Effective date: 01 / 04 /202 3 SUBJ: FAA Participation in ICAO Panels and Technical Groups 1. Purpose of this Order. This order establishes the policy on Federal Aviation Administration (FAA) participation in International Civil Aviation Organization (ICAO) panels and technical groups. It provides procedures and guidance regarding the nomination and selection of U.S.

Members and advisors from the FAA as well as their overall roles and responsibilities. This order supports an integrated cross-FAA approach to international engagement in accordance with the FAA’s international governance structure.

2. Audience. This order is applicable to all FAA Lines of Business/Staff Offices (LOB/SOs) involved in the nomination, selection, and participation of U.S. Members and advisors participating in ICAO panels and technical groups.

3. Where Can I Find This Order? FAA employees can find this order on the MyFAA employee website at https://employees.faa.gov/tools_resources/orders_notices . This order is available to the public at http://www.faa.gov/regulations_policies/orders_notices .

4. Background. The Interagency Group on International Aviation (IGIA) was established at the direction of the President in 1960. IGIA provides coordinated recommendations on international aviation matters to the Department of State (DOS). When the Department of Transportation (DOT) was established, the IGIA functions vested in the FAA Administrator transferred to the Secretary of Transportation (Executive Order 11382 dated November 28, 1967, Sec. 7).

DOT uses IGIA to obtain the views of participating United States Government (USG) departments and agencies on international aviation matters. DOT ensures DOS receives recommendations on policy directives and technical or other instructions for the guidance of U.S.

Representatives to the International Civil Aviation Organization (ICAO), other international bodies concerned with aviation, and U.S. delegations to international aviation conferences.

IGIA serves as the conduit between USG and ICAO. All correspondence for USG information or action is coordinated through IGIA, and all U.S. Representative nominations (i.e., U.S. Members for the purposes of this order) are subject to IGIA approval. Moreover, the IGIA Secretariat ensures the submission of final USG positions to the appropriate ICAO office. IGIA maintains the only complete U.S. library of ICAO documents and historical records of U.S. positions.

5. Overview of ICAO. ICAO is a United Nations specialized agency, established in 1944 through the Convention on International Civil Aviation (also known as the Chicago Convention), to develop the principles and techniques of international air navigation and to foster the planning and development of international air transport. ICAO works with the Convention’s Member Distribution: Electronically Initiated By: AP L - 1

01/04/2023 1240.16 States and observers to, inter alia, reach a consensus on international civil aviation Standards and Recommended Practices (SARPs) and policies in support of a safe, efficient, secure, economically sustainable, and environmentally responsible civil aviation sector.

ICAO achieves this work through panels, working groups, technical groups, and other working bodies. These bodies also carry out individual projects at the direction of the ICAO Assembly, the ICAO Council, the Air Navigation Commission (ANC), and the Air Transport Bureau (ATB).

6. Definitions. For the purposes of this order and its appendices, the following definitions apply: a. Advisor. An FAA or other USG employee or contractor who contributes supporting technical expertise to the U.S. Member to an ICAO panel or technical group. Advisors cannot vote and cannot move or second motions or amendments.

b. Panel. Panels are groups of qualified technical experts formed by the ICAO Council and/or the appropriate ICAO body. Each panel determines its membership by placing emphasis on subject-matter expertise and a well-balanced geographical representation, taking care to include international organizations as well as Member States. ICAO relies on the Member States and industry to provide highly qualified experts versed in the most current knowledge applicable to their fields. Panels typically meet at least once per year virtually or at ICAO Headquarters in Montreal, Canada, one of the ICAO Regional Offices, or other locations. Panels report to the ICAO Council or the appropriate ICAO body with their results and proposals. Following consultation with ICAO Member States and deliberation between the ICAO Council, the appropriate body, Secretariat, and panel, outcomes may result in the establishment of new or modified ICAO SARPs, Procedures for Air Navigation (PANS), guidance material, or ICAO programs.

c. Panel Working Group. Panels often have subsidiary working groups that meet virtually at ICAO headquarters or at other locations. With few exceptions, the provisions in this order do not apply to panel working groups or other subsidiary meetings. The exceptions will be decided on a case-by-case basis to accommodate unique subsidiary working groups or membership.

d. ICAO Secretariat. The Secretariat is the body whose members serve as technical experts on ICAO processes, policies, and procedures who assist panels and technical groups and liaise with other ICAO bodies.

e. Technical Group. Technical groups, including study groups, advisory groups, and task forces, are stand-alone entities formed at the request of the appropriate ICAO body. Each technical group determines its membership by placing emphasis on subject-matter expertise and a well-balanced geographical representation, taking care to include international organizations as well as States. ICAO relies on States and industry to provide highly qualified experts versed in the most current knowledge applicable to their fields. Technical groups typically meet as needed, with the majority of their work conducted remotely. They report to the Secretariat, who in turn report to the appropriate ICAO body with their results and proposals; consequent to deliberation between the Secretariat and the technical group, outcomes may result in proposals for new ICAO SARPs, PANS, or guidance material.

01/04/2023 1240.16 f. U.S. Member. U.S. Members are individuals nominated and selected by the USG to participate in ICAO panels or technical groups as experts in their fields. The U.S. Member is the only U.S. participant permitted to vote and to move or second motions or amendments. U.S.

Members may come from other USG agencies. This order only applies to U.S. Members who are FAA employees nominated by the FAA and selected through IGIA coordination.

7. Roles and Responsibilities. FAA employees participating in or supporting ICAO panels or technical groups must make every effort to coordinate with the appropriate stakeholders within the FAA and USG to ensure the availability of all relevant technical information and expertise.

U.S. Members and advisors should maintain awareness of the FAA’s larger global leadership objectives.

a. U.S. Member to an ICAO Panel or Technical Group: (1) Read and be familiar with the FAA ICAO Panel and Technical Group Orientation Briefing and ICAO Doc. 7984, Directives for Panels of the Air Navigation Commission . Both documents can be obtained from the FAA Office of International Affairs (API) by contacting 9- NATL-ICAO-ExpertGroups@faa.gov ; (2) Ensure formal working papers that will be discussed in the ICAO panel or technical group are coordinated with the appropriate FAA LOB/SO or USG agency (if not the FAA).

Working papers establishing the USG position during full panel meetings must be coordinated through IGIA; (3) Ensure informal coordination occurs with FAA, USG, or industry entities to prepare for panel or technical group meetings is conducted in accordance with Appendix B, Participation in an ICAO Panel or Technical Group Job Aid ; (4) Submit meeting documentation (e.g., working and information papers) in a timely manner to the ICAO Secretariat, as necessary, to advance the work of the panel or technical group; (5) Lead the U.S. delegation and serve as an expert on the panel or technical group; (6) Contribute to the work of the assigned ICAO panel or technical group; (7) Provide an out-briefing following the conclusion of each panel or technical group meeting to the U.S. Air Navigation Commissioner and/or the FAA Senior Representative to ICAO, elevating issues that need additional leadership attention. If necessary or warranted, this briefing may occur prior to the conclusion of the meeting; (8) Submit FAA Form 1240-4, ICAO Panel or Technical Group Summary Report to API either directly or via a designated LOB/SO point of contact. Instructions for completing and submitting this report are located on the back of Form 1240-4. This should occur during the quarter within which the panel or technical group last met but must occur at least once per fiscal year; and, (9) Prepare and submit FAA Form 1240-3, ICAO Panel or Technical Group Trip Report to API, either directly or via a designated LOB/SO point of contact, within sixty (60) calendar

01/04/2023 1240.16 days of each panel or technical group meeting. Instructions for completing and submitting this report are located on the back of FAA Form 1240-3.

b. Advisor Supporting an ICAO Panel or Technical Group: (1) Read and be familiar with the FAA ICAO Panel and Technical Group Orientation Briefing and ICAO Doc. 7984, Directives for Panels of the Air Navigation Commission . Both documents may be obtained from API; (2) Support the U.S. Member in the preparation of any documentation necessary for panel or technical group meetings, including working or information papers; (3) Contribute to panel or technical group discussions as requested by the U.S. Member and support working groups or sub-groups as needed; and, (4) Contribute to the preparation of FAA Form 1240-3, ICAO Panel or Technical Group Trip Reports, as requested by the U.S. Member.

c. FAA LOB/SO Nominating the U.S. Member: (1) Ensure nominees have the resources and expertise required for work by the panel or technical group; and, (2) Accept responsibility for the expenses incurred by their nominees in participating in the panel or technical group.

d. FAA Office of International Affairs (API) (1) Disseminate appropriate information from FAA Form 1240-4, ICAO Panel or Technical Group Summary Report , to facilitate awareness among other FAA and USG participants in ICAO panels and technical groups.

(2) Disseminate appropriate information from FAA Form 1240-3, ICAO Panel or Technical Group Trip Report , to facilitate awareness among stakeholders; and, (3) Manage the FAA’s IGIA coordination process.

8. Nomination and Selection Process. The most common scenarios for the selection of U.S.

Members to participate in ICAO panels or technical groups include: a. ICAO Announcement of the Formation of a Panel or Technical Group. USG agency membership in new panels or technical groups is generally established through recognition of each agency’s unique technical expertise. Interagency coordination may occur prior to any IGIA coordination if multiple agencies share technical expertise.

(1) ICAO circulates a State Letter to a select group of Member States and/or international organizations requesting the nomination of a technical expert. The IGIA coordination process distributes such State Letters to FAA LOB/SOs and other USG agencies for response.

01/04/2023 1240.16 (2) In accordance with Appendix A, Nomination and Selection Process for FAA Employees as New of Replacement U.S. Members Participating in ICAO Panels or Technical Groups , the LOB/SO responsible for selecting a new U.S. Member to participate in an ICAO panel or technical group will identify a nominee.

(3) The nominee must be coordinated through the IGIA process via API. Once the IGIA coordination process is complete and API has received concurrence with the proposed nomination from IGIA members, it will officially notify ICAO through the U.S. Mission of the selection of a new U.S. Member.

b. Replacement of a U.S. Member. USG agency membership in ICAO panels and technical groups is generally recognized and established. If the FAA identifies a need to nominate a U.S. Member to a position previously held by a different USG agency, it must coordinate with that agency. This interagency coordination should occur prior to any IGIA coordination.

(1) Reasons for U.S. Member departure usually include, but are not limited to, reassignments or other issues preventing their continued participation on behalf of the USG.

(2) If the departing U.S. Member is an FAA employee, their LOB/SO will nominate a replacement. The selection and approval process will then follow the same steps noted in subparagraph 8(a) above.

9. Advisor Selection. U.S. Members, given their LOB/SO concurrence, will select advisors as necessary to support the panel or technical group. U.S. Members should coordinate informally within the FAA and USG to ensure advisors are reflective of technical expertise relevant to the work. Advisors may be added or removed based on the need of the panel’s or technical group’s work program.

10. Requests to Change this Order. To recommend a change to this order, send a copy of FAA Form 1320-19, Directive Feedback Information , to 9-APL-API-Resources@faa.gov (reference Order 1320.1, FAA Directives Management).

11. Authority to Change this Order. The Assistant Administrator for Policy, International Affairs and Environment (APL-1) is authorized to make changes to this order.

Billy Nolen Acting Administrator 01/04/2023 1240.16 Appendix A Appendix A. Nomination and Selection Process for FAA Employees as New or Replacement U.S. Members Participating in ICAO Panels or Technical Groups ICAO State Letter / Departing U . S . Member IGIA / FAA Coordination API Should FAA U . S . Mission NO Participate ? ( ICAO ) Advised API API , LOB / SOs YES API Determines Sing le LOB / SO NO the Responsible Identifie d ?

LOB / SO API API YES LOB / SO Nomination LOB / SO NO FAA In tern atio nal API / IGIA Govern ance Coordination Structu re ( Awaren ess ) API IGIA Approval ?

IGIA YES NO U . S . Member Submitted to ICAO IGIA ICAO Approval ?

ICAO YES U . S . Member U . S . Member ICAO Onboarding / Participation Training API , LOB / SO API A-1 01/04/2023 1240.16 Appendix B Appendix B. Participation in an ICAO Panel or Technical Group Job Aid Step Role Task Prior to the panel or technical group meeting: 1.0 U.S. Member Receive notification of a panel or technical group meeting.

1.1 U.S. Member Obtain ICAO expectations from the U.S. Air Navigation Commissioner.

1.2 U.S. Member Review Terms of Reference (TOR) and/or Job Cards, ICAO Work Programme, and ICAO’s meeting agenda to determine the necessary delegation/support staff needs.

1.3 U.S. Member Coordinate with your LOB/SO ICAO focal point and API for guidance on papers, timelines, formatting, etc.

1.4 U.S. Member Develop an initial list of U.S. goals, objectives, and papers for the panel or technical groups and the ICAO Work Programme.

1.5 U.S. Member Set a schedule for FAA/USG delegation preparation meetings, to include industry where appropriate.

1.6 U.S. Member Summarize/copy relevant materials for distribution or assignment at the preparation meetings.

2.0 U.S. Member Facilitate the initial preparation meeting.

2.1 U.S. Member Review ICAO’s expectations and agenda for the panel or technical group meeting.

2.2 U.S. Member Discuss U.S. goals, objectives, and papers, and assign authors.

2.3 U.S. Member Identify off-agenda items, informal items of USG interest, and strategy.

2.4 U.S. Member Review deadlines, milestones, and overall preparation timeline and process.

2.5 U.S. Member Discuss the initial delegation and their roles and responsibilities.

3.0 U.S. Member Distribute meeting notes to attendees and relevant LOB/SOs.

4.0 U.S. Member Schedule follow on preparation meetings as needed.

4.1 U.S. Distribute papers as they are prepared.

Member, Advisors 4.2 U.S. Member Track action items or other deliverables to ensure timeliness.

4.3 U.S. Member Work issues with other States in advance, building relationships with fellow panel or technical group members.

4.4 U.S. Member Review and update deadlines, milestones, and preparation meeting schedules as needed.

4.5 U.S. Member Finalize delegation size and composition.

5.0 U.S. Member Submit final delegation to IGIA for DOS and ICAO approval by the IGIA deadline.

6.0 U.S. Member Coordinate any papers subject to IGIA coordination with your LOB/SO for concurrence.

7.0 U.S. Member Submit papers requiring interagency clearance by the IGIA deadline.

8.0 U.S. Member Develop U.S. positions requiring interagency clearance by the IGIA deadline.

9.0 U.S. Member Resolve U.S. position and paper comments from IGIA as applica ble in accordance with the IGIA deadline.

10.0 U.S. Member Conduct final preparation meeting.

10.1 U.S. Member Review U.S. position(s) and paper(s).

During the panel or technical group meeting: 11.0 U.S. Meet with U.S. Air Navigation Commissioner at the U.S. Mission upon arrival Member, in Montreal, Canada.

Advisors 12.0 U.S. Participate in the ICAO panel or technical group meeting.

Member, Advisors B-1 01/04/2023 1240.16 Appendix B Step Role Task 12.1 U.S. Hold meetings with the U.S. delegation as needed.

Member, Advisors 13.0 U.S. Review and comment on the ICAO panel or technical group report, if Member, available.

Advisors 14.0 U.S. Member Debrief U.S. Mission and/or ANC Commissioner prior to the delegation’s departure from Montreal, Canada.

After the panel or technical group meeting: 15.0 U.S. Member Debrief and share relevant materials with interested LOB/SOs, API, or others.

16.0 U.S. Member Complete FAA Form 1240-3, ICAO Panel or Technical Group Trip Report .

17.0 U.S. Member Complete action items or other deliverables to the panel or technical group secretary and/or other States.

18.0 U.S. Member Track ANC/Council actions on panel or technical group activities.

19.0 U.S. Member Complete FAA Form 1240-4, ICAO Panel or Technical Group Summary Report within the quarter or no later than September 30.

This job aid is for the convenience of U.S. Members. It is general in nature, as some steps may not be applicable to certain panels or technical groups. Similarly, some panels and technical groups may require additional steps.

Therefore, U.S. Members should consider this job aid a guide and not an inclusive checklist.

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