Welcome on ICAO's direct submission process portal.
International Civil Aviation Organization's (ICAO) direct submission process related to the development of ICAO SARPs and PANS under the Strategic Objectives of Safety and Air Navigation Capacity and Efficiency is in effect as of 1 January 2024, State letter AN 1/70-23/79 refers.
The 41st Session of the ICAO Assembly welcomed the Organization's work related to the direct submission process, supported the concept and requested that States be informed of the process once finalized, Report of the Executive Committee of the 41st Session of the Assembly (Doc 10183) refers. As a result of this request, the Council of ICAO and the Air Navigation Commission (ANC), at the second meeting of its 230th Session and the seventh meeting of its 224th Session respectively, took the actions to finalize the ICAO direct submission process.
The direct submission process aims at providing an option to accelerate ICAO development of Standards and Recommended Practices (SARPs) and Procedures for Air Navigation Services (PANS) and optimize the use of resources by capitalizing on existing material and experience from States and international organizations. The implementation of the direct submission process is limited to the topics related to ICAO's Strategic Objectives of Safety and Air Navigation Capacity and Efficiency. Of particular note is that the direct submission process does not replace the ICAO Standard-making process, but rather offers an optional alternative.
Below you will find detailed information regarding the direct submission process.
Should you have any question, contact us at ICAOHQ@icao.int.
1. Background
1.1 The opportunity for direct submissions from a wide variety of sources has long existed as a potential Origin of Proposal in the ICAO Standards-making process. One such example includes Amendment 27 to Annex 6 — Operation of Aircraft, Part II — International General Aviation — Aeroplanes when the International Business Aviation Council (IBAC) provided valuable leadership in delivering the necessary amendments related to business aviation operations. However, there have been no formal procedures to govern and administer these direct submissions in a fair, consistent, transparent, and objective manner.
1.2 Pursuant to Recommendation 5.5/3, Standard-making processes stemming from the Thirteenth Air Navigation Conference (AN-Conf/13) and Assembly Resolution A40-27: Innovation in aviation, the Council requested the Secretariat to assess the need, as well as the resources required, to evolve the processes of the Organization, including its working methods with industry in order to keep pace with innovations that affect the sustainable development of civil aviation (C-DEC 219/7 refers). At the tenth meeting of its 214th Session, the ANC agreed that the activity related to time-based separation (TBS) minima for wake turbulence serve as a pilot project for direct submissions (AN Min. 214‑10 refers). Based on the Secretariat proposal for a direct submission process and the outcomes of this pilot project, the ANC developed this direct submission process.
1.3 The 41st Session of the ICAO Assembly welcomed the Organization's work related to the review of the direct submission process and supported the concept, it also requested that certain principles be considered by ICAO when reviewing the process and further requested that States be informed of the process once finalized (Assembly 41st Session. Montréal, 27 September–7 October 2022. Executive Committee. Report (Doc 10183) para 23.2 refers).
2. Problem Statement
2.1 Whereas the traditional ICAO expert group-based standard-making process is very robust and of high quality, the Air Navigation Commission (ANC) can increase agility and efficiency by leveraging externally-matured regulatory material which will enable ICAO to accelerate the throughput of standards development to address the rapid evolution of aviation and emerging issues.
3. What are the Objectives of the direct submission process?
3.1 Provides an option to accelerate ICAO development of Standards and Recommended Practices (SARPs) and Procedures for Air Navigation Services (PANS) and optimizes the use of resources by capitalizing on existing material and experience from States and international organizations.
3.2 Ensures that the ICAO Standards-making process addresses the rapid evolution of aviation and emerging issues while providing high quality SARPs/PANS.
4. What is the current Scope of direct submissions?
4.1 The direct submission process allows for submissions related to SARPs and PANS within the ANC's mandate. In other words, topics related to ICAO's Strategic Objectives of Safety, and Air Navigation Capacity and Efficiency.
5. What Principles are applied to the process and the submissions?
5.1 The direct submission process and its application are guided by the following principles:
a) the process is simple, more expeditious than, and should produce SARPs/PANS using less resources than, the expert group-based ICAO-Standards making process;
b) the process is stable, repeatable and administered consistently;
c) the process is transparent both internally and externally and is evidence-based; and
d) the process does not undermine, but is a supplementary process to, the ICAO's expert group-based Standards-making process;
5.2 When processing direct submissions proposals, all ICAO stakeholders involved (i.e. the ANC, the Secretariat, expert group(s) or experts emanating from expert group(s) shall apply the following principles:
a) maintain ICAO's independence;
b) ensure an equality of treatment and fairness; and
c) avoid conflict of interest.
5.3 The end-product (i.e. the SARPs/PANS) emanating from a direct submission proposal should:
a) be of quality similar to existing SARPs/PANS;
b) be coherent with existing SARPs/PANS;
c) be compliant with the Convention; and
d) bring efficiency and sustainability.
6. Who is allowed to make a direct submission to icao?
6.1 The following are qualified to be submitting entities for a direct submission:
a) ICAO Member States; and
b) international organizations on the List of international organizations that may be invited to attend suitable ICAO meetings.
7. When and how to make a direct submission?
7.1 The basis of the direct submission process is that a qualified direct submission entity (or entities) developed regulatory material that has the potential for incorporation in the ICAO SARPs/PANS provisions. Prospective submitting entities should ensure that their proposal meets the objectives (paragraph 3 refers) and scope (paragraph 4 refers) of the direct submission, as well as the following minimum entry point criteria:
— Mature. The material has completed a stable level of development.
— Implemented. The material is being actively used in one or more State.
— Regulated. The material has been adopted into the regulations of one or more State.
— Globally suitable. The material is suitable to become globally applicable SARPs/PANS, while not excluding other types of material provided in conjunction with, and supporting, a SARPs/PANS proposal.
Note. — Prospective applicants are encouraged to perform a self-assessment of their proposal against the minimum entry point criteria, as well as the evaluation conditions (paragraph 8.1 refers), before submitting their proposal.
7.2 It is expected that national/domestic regulation be transposed by the submitting entity (or entities) into the SARPs/PANS format, and for necessary changes to other SARPs/PANS to be identified, as appropriate.
7.3 It is expected that the submitting entity (or entities) fill in the direct submission form, noting that it serves as a guideline, and that all fields may not be applicable for all direct submissions. Using the direct submission form as a guide, the submitting entity (or entities) is expected to submit all the necessary evidence (supporting documentation, risk analysis, guidance material, etc.) which supports their proposal.
7.4 It is expected that, for certain submissions, guidance material is included. If provided, the submitting entity (or entities) should clarify whether the included guidance material is intended to be incorporated into ICAO's documentation, or, if it is intended to be referenced in ICAO's provisions. When guidance material is not provided, the submitting entity (or entities) should provide an explanation to that effect.
7.5 The direct submission package should be sent to the ICAO Secretary General and comprise the following:
a) the direct submission form;
b) the SARPs and/or PANS proposal;
c) all the supporting evidence related to the direct submission form, as applicable; and
d) the supporting implementation guidance material.
7.6 While a direct submission may emanate from more than one submitting entity, forming a consortium, a single focal point will be identified by the submitting entities for each direct submission. Correspondence will be exclusively addressed to that focal point.
8. What happens after a direct submission has been sent to ICAO?
8.1 The ICAO Secretariat verifies that the direct submission proposal meets the minimum entry point criteria (7.1 refers), when met, the following considerations are used to evaluate the direct submission proposal and its suitability for inclusion within ICAO provisions:
a) the submission is complete with all applicable and required information and supporting documentation, and meets the required quality;
b) is compatible with the global plans;
c) is compatible with existing and planned SARPs/PANS (content and timeline), impact and integration with expert group(s) work programme and has a programmatic oversight (e.g. does not duplicate/contradict current work programme of expert groups);
d) the proposal has not already been rejected by the planning and implementation regional groups (PIRGS)/regional aviation safety groups (RASGS), or an expert group;
e) supports the Strategic Objectives of the Organization;
f) has global interest in terms of safety, regularity and efficiency of international civil aviation and is suitable for implementation globally;
g) the likelihood of consequential amendments of other SARPs and/or PANS; and
h) the proposal is technology neutral.
8.2 Upon conclusion of the initial assessment, the Secretariat presents its recommendations to the ANC, which makes its decision to accept, or not, the direct submission proposal.
8.3 In case the direct submission proposal is accepted, ICAO communicates with the submitting entity (or entities) as soon as a decision has been made. In case a submission cannot be accepted under the direct submission, ICAO informs the submitting entity (or entities) and provides the reasons for non‑acceptance without delay.
8.4 During the initial assessment and finalization of the technical proposal, the Secretariat does not communicate with the submitting entity (or entities), except to obtain technical clarification on the proposal. When such clarification is sought, it is mentioned by the Secretariat in its report to the ANC. This aims at guaranteeing the independence of ICAO.
8.5 The direct submission proposal is then finalized (transposed into an ICAO compliant language and formatting), either by the Secretariat, or the Secretariat supported by experts from ICAO's expert group(s), or ICAO's expert group(s).
8.6 Once finalized, the direct submission proposal is directed into the ICAO Standards‑making process at the preliminary review step for the ANC to make a determination. If agreed by the ANC, the proposal follows the same process as for any other proposal for amendment, i.e., it is sent to States and international organizations for consultation, a final review is performed by the ANC and a determination is made by the ANC, before the ICAO Council adopts or approves, respectively, SARPs or PANS proposals.
Note. — See the ICAO Standards-making process with the direct submission and the
4‑step direct submission process.
9. How does the direct submission process affect the Role and responsibilities of the ICAO council, the ANC, ICAO's standards-making process and the role of the states?
9.1 While the ICAO Standard-making process is not modified by the direct submission process, the direct submission process formalizes the process to be used by stakeholders to make a direct submission to ICAO.
9.2 The role of the Council related to SARPs/PANS adoption and approval (Convention on International Civil Aviation, signed at Chicago on 7 December 1944 and amended by the ICAO Assembly (Doc 7300) Chicago Convention, Art 54 l), m) and Art. 90 refer) is not modified by the direct submission process.
9.3 The role of the States and international organizations in the review phase, i.e. State consultation (Assembly Resolution A39-22, Resolving clause 7 refers), and publication phase, i.e. disapproval (Chicago Convention, Art. 90 refers) and notification of difference (Chicago Convention Art. 38 refers) is not modified by the direct submission process.
9.4 The ANC's role and responsibilities, as per the Chicago Convention Art. 57, as well as those delegated by the Council to the ANC, are equally unaffected by the direct submission process. For direct submissions, the origin of proposals and development phases are replaced by the direct submission process and its 4-step process. The review, publication and adoption phases are unaffected. It is important to underline that at any stage of the process, the ANC may involve expert group(s) or experts from expert group(s), as it sees fit.
10. Intellectual Property Rights
10.1 By submitting a "Direct Submission Proposal" to ICAO, the submitting entity (or entities) grant(s) to ICAO, a world-wide, perpetual, irrevocable, non-terminable, fully paid-up, royalty-free, non-exclusive right and license under any and all of the submitting entity's intellectual property rights in the submitted material (the "License").
