ICAO ANNEX 16 VOL IV PDF

FOREWORD

Historical background

Standards and Recommended Practices for Environmental Protection were first adopted by the Council on 2 April 1971 for Aircraft Noise, pursuant to the provisions of Article 37 of the Convention on International Civil Aviation (Chicago, 1944) and designated as Annex 16 to the Convention. On 11 May 1981, the Council agreed that it was desirable to include all provisions relating to environmental aspects of aviation in one Annex to the Convention; it therefore renamed Annex 16 as “Environmental Protection”, making the existing text of the Annex into Volume I — Aircraft Noise, and adopting the first edition of Volume II — Aircraft Engine Emissions on 30 June 1981. On 3 March 2017, the first edition of Annex 16, Volume III — Aeroplane CO₂ Emissions was adopted by the Council.

This Volume IV to Annex 16 was developed in response to a request by the ICAO Assembly which, at its 39th Session in 2016, adopted Assembly Resolution A39-3: Consolidated statement of continuing ICAO policies and practices related to environmental protection – Global Market-based Measure (MBM) scheme. In this Resolution, Member States decided to implement a global MBM scheme in the form of the Carbon Offsetting and Reduction Scheme for International Aviation (CORSIA).

Discussions on the application of MBMs as a means to limit or reduce CO₂ emissions from international civil aviation had taken place prior to the 37th Session of the Assembly in 2010, which adopted Assembly Resolution A37-19: Consolidated statement of continuing ICAO policies and practices related to environmental protection — Climate change. Assembly Resolution A37-19 requested the Council, with the support of Member States and international organizations, to continue to explore the feasibility of a global MBM scheme by undertaking further studies on the technical aspects, environmental benefits, economic impacts and the modalities of such a scheme, taking into account the outcome of the negotiations under the United Nations Framework Convention on Climate Change (UNFCCC) and other international developments, as appropriate, and report the progress for consideration by the 38th Session of the ICAO Assembly in 2013.

The 37th Session of the Assembly also adopted global aspirational goals for the international aviation sector of annual average fuel efficiency improvement of 2 per cent, and keeping the global net carbon emissions from 2020 at the same level (also referred to as carbon neutral growth from 2020).

The work requested by Resolution A37-19 focused on the qualitative and quantitative assessments of potential options for a global MBM scheme for international aviation. Building on this work, the 38th Session of the ICAO Assembly in 2013, through Resolution A38-18: Consolidated statement of continuing ICAO policies and practices related to environmental protection — Climate change, decided to develop a global MBM scheme for international aviation, and requested the Council, with the support of Member States, to finalize the work on the technical aspects, environmental and economic impacts and modalities of the possible options for a global MBM scheme, including on its feasibility and practicability, taking into account the need for development of international aviation, the proposal of the aviation industry and other international developments, as appropriate, and without prejudice to the negotiations under the UNFCCC.

Assembly Resolution A38-18 further requested the Council to identify the major issues and problems, including those for Member States, and make a recommendation on a global MBM scheme that appropriately addresses them and key design elements, including a means to take into account special circumstances and respective capabilities of ICAO Member States. The Council was also requested to identify the mechanisms for the implementation of the scheme from 2020 as part of a basket of measures that also include technologies, operational improvements and sustainable aviation fuels to achieve ICAO’s global aspirational goals.

Following the 38th Session of the Assembly, the 200th Session of the Council in November 2013 supported that the Committee on Aviation Environmental Protection (CAEP) would continue to undertake technical tasks related to the development of a global MBM scheme, as requested by Resolution A38-18. The Council also decided upon the establishment of an Environment Advisory Group of the Council (EAG), which was mandated to oversee all the work related to the development of a global MBM scheme and make recommendations to the Council.

The EAG focused its work on a mandatory carbon offsetting approach as the basis for a global MBM scheme for international aviation. The EAG/15 meeting in January 2016 considered a draft Assembly Resolution text on a global MBM scheme, which was further refined throughout 2016 by two meetings of a High-level Group on a Global MBM Scheme in February and April 2016, a High-level Meeting on a Global MBM Scheme in May 2016 and a Friends of the President Informal Meeting in August 2016.

The Assembly, by adopting Resolution A39-3, requested the Council, with the technical contribution of CAEP, to develop the SARPs and related guidance material for the implementation of the Monitoring, Reporting and Verification (MRV) system under the CORSIA, and for Emissions Unit Criteria (EUC) to support the purchase of appropriate emissions units by aircraft operators under the scheme, taking into account relevant developments in the UNFCCC and Article 6 of the Paris Agreement; as well as policies and related guidance material to support the establishment of registries under the CORSIA.

Following the Assembly, the 209th Session of the Council endorsed the overall plan of preparatory activities for the CORSIA implementation, including development of the CORSIA-related draft SARPs and guidance by CAEP.

The CAEP developed International Standards and Recommended Practices for the CORSIA and, after amendment following the usual consultation with the Contracting States of the Organization, this Annex 16, Volume IV was adopted by the Council.

Table A shows the origin of amendments to the Annex 16, Volume IV over time together with a list of the principal subjects involved and the dates on which the Annex and the amendments were adopted by the Council, when they became effective and when they became applicable.

Applicability

Part I of Volume IV of Annex 16 contains definitions, abbreviations and symbols. Part II, Chapter 2 contains Standards, Recommended Practices and guidelines for monitoring, reporting and verification of an aeroplane operator’s CO₂ emissions. Part II, Chapter 3 contains Standards, Recommended Practices and guidelines on an aeroplane operator’s CO₂ offsetting requirements that can be reconciled using Emissions Units generated by eligible programmes under Chapter 4. The relevant applicability requirements to an aeroplane operator engaged in international air navigation are specified in the individual Chapters of Volume IV of Annex 16.

Action by Contracting States

Notification of differences. The attention of Contracting States is drawn to the obligation imposed by Article 38 of the Convention by which Contracting States are required to notify the Organization of any differences between their national regulations and practices and the International Standards contained in this Annex and any amendments thereto. Contracting States are invited to extend such notification to any differences from the Recommended Practices contained in this Annex, and any amendments thereto, when the notification of such differences is important for the safety of air navigation. Furthermore, Contracting States are invited to keep the Organization currently informed of any differences which may subsequently occur, or of the withdrawal of any differences previously notified. A specific request for notification of differences will be sent to Contracting States immediately after the adoption of each amendment to this Annex.

The attention of States is also drawn to the provisions of Annex 15 related to the publication of differences between their national regulations and practices and the related ICAO Standards and Recommended Practices through the Aeronautical Information Service, in addition to the obligation of States under Article 38 of the Convention.

Use of the Annex text in national regulations. The Council, on 13 April 1948, adopted a resolution inviting the attention of Contracting States to the desirability of using in their own national regulations, as far as is practicable, the precise language of those ICAO Standards that are of a regulatory character and also of indicating departures from the Standards, including any additional national regulations that were important for the safety or regularity of international air navigation. Wherever possible, the provisions of this Annex have been written in such a way as to facilitate incorporation, without major textual changes, into national legislation.

Status of Annex components

An Annex is made up of the following component parts, not all of which, however, are necessarily found in every Annex; they have the status indicated:

— Material comprising the Annex proper:

a) Standards and Recommended Practices adopted by the Council under the provisions of the Convention. They are defined as follows:

Standard: 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.

Recommended Practice: 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.

b) Appendices comprising material grouped separately for convenience but forming part of the Standards and Recommended Practices adopted by the Council.

c) Provisions governing the applicability of the Standards and Recommended Practices.

d) Definitions of terms used in the Standards and Recommended Practices which are not self-explanatory in that they do not have accepted dictionary meanings. A definition does not have an independent status but is an essential part of each Standard and Recommended Practice in which the term is used, since a change in the meaning of the term would affect the specification.

e) Tables and Figures which add to or illustrate a Standard or Recommended Practice and which are referred to therein, form part of the associated Standard or Recommended Practice and have the same status.

— Material approved by the Council for publication in association with the Standards and Recommended Practices:

a) Forewords comprising historical and explanatory material based on the action of the Council and including an explanation of the obligations of States with regard to the application of the Standards and Recommended Practices ensuing from the Convention and the Resolution of Adoption.

b) Introductions comprising explanatory material introduced at the beginning of parts, chapters or sections of the Annex to assist in the understanding of the application of the text.

c) Notes included in the text, where appropriate, to give factual information or references bearing on the Standards or Recommended Practices in question, but not constituting part of the Standards or Recommended Practices.

d) Attachments comprising material supplementary to the Standards and Recommended Practices, or included as a guide to their application.

Selection of language

This Annex has been adopted in six languages — English, Arabic, Chinese, French, Russian and Spanish. Each Contracting State is requested to select one of those texts for the purpose of national implementation and for other effects provided for in the Convention, either through direct use or through translation into its own national language, and to notify the Organization accordingly.

Editorial practices

The following practice has been adhered to in order to indicate at a glance the status of each statement: Standards have been printed in light face roman; Recommended Practices have been printed in light face italics, the status being indicated by the prefix Recommendation; Notes have been printed in light italics, the status being indicated by the prefix Note.

It is to be noted that in the English text the following practice has been adhered to when writing the specifications: Standards employ the operative verb “shall” while Recommended Practices employ the operative verb “should”.

The units of measurement used in this document are in accordance with the International System of Units (SI) as specified in Annex 5 to the Convention on International Civil Aviation. Where Annex 5 permits the use of non-SI alternative units these are shown in parentheses following the basic units. Where two sets of units are quoted it must not be assumed that the pairs of values are equal and interchangeable. It may, however, be inferred that an equivalent level of safety is achieved when either set of units is used exclusively.

Any reference to a portion of this document which is identified by a number includes all subdivisions of that portion.