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ANNEX II: TERMS OF REFERENCE

1. BACKGROUND INFORMATION ..................................................................................... 2

1.1. Beneficiary countries .................................................................................................... 2

1.2. Contracting Authority ................................................................................................... 2

1.3. Relevant country background ....................................................................................... 2

1.4. Current state of affairs in the relevant sector ............................................................... 4

1.5. Related programmes and other donor activities: .......................................................... 7

2. OBJECTIVE, PURPOSE & EXPECTED RESULTS ....................................................... 9

2.1. Overall objective .......................................................................................................... 9

2.2. Purpose ......................................................................................................................... 9

2.3. Results to be achieved by the Consultant ..................................................................... 9

3. ASSUMPTIONS & RISKS ................................................................................................. 10

3.1. Assumptions underlying the project intervention ...................................................... 10

3.2. Risks ........................................................................................................................... 10

4. SCOPE OF THE WORK ................................................................................................... 10

4.1. General ....................................................................................................................... 10

4.2. Specific activities ....................................................................................................... 12

4.3. Project management ................................................................................................... 12

5. LOGISTICS AND TIMING ............................................................................................... 15

5.1. Location ...................................................................................................................... 15

5.2. Commencement date & Period of implementation .................................................... 16

6. REQUIREMENTS .............................................................................................................. 16

6.1. Personnel .................................................................................................................... 16

6.2. Office accommodation ............................................................................................... 18

6.3. Facilities to be provided by the Consultant ................................................................ 18

6.4. Equipment ................................................................................................................... 18

6.5. Incidental expenditure ................................................................................................ 18

6.6. Expenditure verification ............................................................................................. 19

7. REPORTS ............................................................................................................................ 19

7.1. Reporting requirements .............................................................................................. 19

7.2. Submission & approval of reports .............................................................................. 20

8. MONITORING AND EVALUATION .............................................................................. 21

8.1. Definition of indicators .............................................................................................. 21

8.2. Special requirements .................................................................................................. 22


1. BACKGROUND INFORMATION

1.1. Beneficiary countries

The beneficiary countries of the programme are the ENPI East partners (Armenia, Azerbaijan,

Republic of Moldova, Ukraine and Georgia) and the Central Asia TRACECA countries

(Kazakhstan, Kyrgyzstan, Uzbekistan, and Tajikistan). Romania, Bulgaria and Turkey will be

associated to the programme as indirect beneficiary countries.

1.2. Contracting Authority

The Contracting Authority will be the European Commission EuropeAid Development and Co-

operation Directorate-General in Brussels.

1.3. Relevant country background

Background

In the TRACECA region, a regular and intensive policy dialogue has been established through the

TRACECA Intergovernmental Strategy based on the Multilateral Agreement1. This strategy sets

out the priorities for transport cooperation between the TRACECA countries. The European

Commission has been supporting and will support these priorities by financing regional

cooperation programmes in the different transport domains illustrated in the figure below. The

programme implementation is accompanied by the various Baku Initiative Working Groups

according to the different transport modes. In 2000 the 1st Intergovernmental Commission

established the TRACECA Permanent Secretariat based in Baku2.

1 Basic Multilateral Agreement on International Transport for Development of the Transport Corridor Europe – Asia and

Caucasus signed in Baku in 1998.

2 The Permanent Secretariat is an executive body of the IGC TRACECA. The Permanent Secretariat was opened in

Baku, Azerbaijan on 21 February 2001. The Permanent Secretariat (PS) of the IGC TRACECA: - is headed by the

Secretary General and administered by the Executive Secretary (currently, the position is suspended.); - delivers

administrative services for the IGC and its structures, e.g organization and facilitation of IGC and working group

meetings; - maintains the TRACECA archive; - maintains traffic and project databases; - renders technical advisory

services, provides information and is responsible for dissemination; - maintains protocol; - maintains coordination,

programming and project cycle management of TRACECA relevant projects; - follows-up, advances and promotes the

MLA objectives and IGC decisions; and keeps Permanent Representations in each party to the MLA.


Multilateral Agreement

(RO,BG,UK,GE,AZ,AR,TR,

KZ,TU,KZ,UZ,TA,MO)

Permanent Secretariat

(selected among national

secretaries for period of

two years)

Infrastructure

Development

Safety

and Security in

Transport

Trade

Facilitation

and Logistics

Data collection/modelling

/forecasting(Supported by:IDEA project)

Financing(Supported by:IDEA project)

Network Development

& Identification of

Priority Projects(Supported by:IDEA project)

Maritime Transport

Safety & Security(Supported by:maritime safety and

security project)

Land Transport

Safety & Security(Supported by:land safety and

security project)

Air Transport Safety

& Security - including ATM(Supported by:aviation safety and

security project)

Maritime transport

connections & port operations(Supported by: Motorways of the

Seas project)

Hinterland Connections

& Logistics Centers(Supported by: Logistical centers

Caucasus & Central Asia projects)

Cross border trade

Facilitation(Supported by: Motorways of the

Seas project)

TRACECA ACTIONS OF COOPERATION

The TRACECA Programme in terms of EU funded technical assistance projects was launched in

1993 including the Central Asian and the Caucasian Republics and such countries as Bulgaria,

Moldova, Romania, Turkey and Ukraine. This programme corresponds to the purpose of

promoting optimal connection of the international transport TRACECA corridor into Pan

European Corridors and Trans-European Networks (TEN-T), global EU strategy towards these

countries and pursues primarily the purpose of facilitation of merchandises’ flows.

The general objectives of the TRACECA Programme are the following:

- to contribute to the overall economic and social development of TRACECA countries through

increased and more sustainable transport flows, more competitive trade and better balanced

exchanges;

- to improve the quality, safety and efficiency of goods and passenger transport systems in the

region, thus improving the functioning of the transport sector as a whole;

- to support the development of integrated multimodal transport networks and infrastructure,

leading to improved transport flows, better connections and reductions in bottlenecks.

While air traffic growth is desirable in its own right, it also generates important spill over effects

and can be considered as an essential pre-requisite to facilitate regional integration within

TRACECA corridor especially concerning land-locked countries (Kyrgyzstan, Tajikistan,

Uzbekistan, Armenia and Moldova). However, despite considerable efforts invested in the

development of civil aviation in the TRACECA region, air transport has been hampered by

numerous factors. Safety remains as the main challenge. According to the 2009 Annual Safety

Review of the European Aviation Safety Agency, the fatal accident rate per 10 million flights in

the period 2000 – 2009 in Europe non-EASA countries and Western and Central Asian countries is

around seven times higher than the one in the EU EASA countries3 (25 accidents in non-EASA

European countries and 23.4 in Western and Central Asia against 3.4 for EASA countries).

Specifically, safety and security audits conducted by the International Civil Aviation Organisation

(ICAO) indicate that the main difficulties facing TRACECA countries derive primarily from the

3 http://easa.europa.eu/communications/docs/annual-safety-review/2009/RLY_EASA_Annual_101124.pdf


following: regulatory frameworks not fully up to date, lack of appropriately empowered

institutions and structures, not sufficiently qualified personnel as well as a lack of the necessary

political commitment to changes or considerable budget constraints. In order to develop their

potential in air traffic, countries in the TRACECA corridor need effective and efficient

institutional capacity and organisational competence in order to fulfil safety, security and

environmental requirements according to international civil aviation standards.

TRACECA Intergovernmental Strategy 2015 (TRACECA Multiannual programming document)

indicates these challenges as main obstacles for air traffic development within the corridor and

between the countries and the EU. In particular the document outlines the commitment of many of

the TRACECA countries to improve their respective aviation relations with the EU, with the final

objective to create a Common Aviation Area. This would be an important step for increasing the

attractiveness of the region. Negotiations with Ukraine on such an agreement are underway since

2007 and are completed with Georgia in 2009. Other countries, such as Moldova, are also potential

candidates in the nearer future (see detailed information below).

The European Union is also currently developing a new Air Traffic Management (ATM)

regulatory framework (the Single European Sky - SES)4. A smoothly functioning ATM system

should not be constrained by the borders of the Union. To avoid bottlenecks, promote

interoperability, and enhance safety and environmental efficiency, the neighboring states should

also be appropriately associated. The objective of the SES is to enhance current air traffic safety

standards, to contribute to the sustainable development of the air transport system and to improve

the overall performance of ATM and air navigation services (ANS) for general air traffic in

Europe, with a view to meeting the requirements of all airspace users. This SES shall comprise a

coherent pan-European network of routes, network management and ATM systems based on

safety, efficiency and technical considerations.

This TRACECA Civil Aviation regional programme should guarantee the continuity of the

regional cooperation in the field of aviation between the beneficiary countries and the EU. This

cooperation was initiated already during the previous TRACECA programmes "South Ring

Training in Civil Aviation" (2007 - 2009) and TRACECA "Civil Aviation Safety and Security"

(2009 - 2012). In the framework of the new project, the European Commission will closely

cooperate with the European Aviation Safety Agency (EASA) in the domain of aviation safety.

This shall help to streamline its support and to develop an integrated approach to bring about the

objectives of the European Union external aviation policy, the major challenges of which include

ensuring the highest standards of safety and security. This close involvement of EASA will be

particularly beneficial to advance on all legislative and regulatory aspects in civil aviation.

1.4. Current state of affairs in the relevant sector

The aviation sector in the TRACECA countries is a sector with considerable potential for growth

and could serve as catalyst for further economic growth as well as for enhanced mobility of

persons in the region. Many TRACECA countries have developed closer links to the EU's single

aviation market including the negotiation of comprehensive aviation agreements with the EU.

These activities might create increasing demand for further training which will be difficult to be

met within the context of the ongoing contract. This additional pressure would need to be

conveyed within a future technical assistance project.

Although some progress can be identified when it comes to bilateral relations between the

individual countries and the EU, cooperation among the partner countries themselves is lagging

behind. When keeping in mind the regional character of this project, such regional cooperation

4 This regulatory framework, fully consistent with and supported by the International Civil Aviation

Organisation, is being adapted to technical progress through the implementation of the SESAR ATM Master Plan to

develop, introduce and finance new concepts and technologies.


among the TRACECA partners is also to be further supported. This relates mainly to gradually

moving to mutual recognition of safety controls, checks, documents and procedures as well as

cooperating on the development of appropriate procedures for this. The TRACECA countries'

willingness to cooperate diverges, and the development of their aviation oversight systems vary to

a certain extend. Against this background, the project will provide technical assistance to all

beneficiary countries, but may at the same time focus more in depth on those countries that are

fully engaged in enhanced approximation to the EU aviation acquis and to improve the cooperation

with other TRACECA countries.

Both the signature of the CAA agreements and the tendency towards aviation market opening in

the region would raise the question of the need to establish a regional aviation body. This might

have the potential for creating more sustainability in managing aviation regulation and oversight,

and to reduce the need for the involvement of donor support. The Conclusions of the EC-ICAO

Symposium on Regional Organizations on 10-11 April 2008 Montreal, stressed that EU assistance

in the field of aviation should widely promote regional cooperation between the countries of the

region, pooling of their resources and economies of scale. ICAO High Level Safety Conference5,

held in March 2010, pointed out in its conclusions and recommendations that Regional Safety

Oversight Organisations (RSOOs) were having "an increasingly important role in supporting States

to meet their safety oversight responsibilities"' and "States should support ICAO in efforts to foster

the development and sustainability of regional Safety Oversight Organisations (RSOOs)''.

In general there is a major need in the beneficiary states for effective and efficient institutional

capacity as well as organisational competence to provide adequate awareness and provision of

safety, security, ATM and environmental requirements as too often there is insufficient knowledge

of the required ICAO and EU standards. In some cases there are excellent modern facilities but not

in others. However, a consistent problem is the lack of enough qualified experts available for the

effective fulfilment of the safety, security and environmental responsibilities of the states. This

impinges heavily on the actual implementation of the job requirements as well as the oversight

responsibilities.

Against this background, the project should leave aside the institutional aspects of building up an

RSOO. It should focus on supporting practical regional cooperation measures (e.g. regional

inspector scheme, training centres, data sharing networks, etc.).

Given the differences between the Central Asian countries (Kazakhstan, Kyrgyzstan, Tajikistan,

and Uzbekistan) and the ENPI countries (Ukraine, Moldova, Armenia, Azerbaijan and Georgia), it

would be necessary to cluster the different needs and to develop two different approaches:

- The work with the ENPI countries should be built on the close link some of these countries

have already developed or are currently developing with the EU by negotiating Common

Aviation Area agreements. Georgia signed such an agreement, Ukraine negotiates it, Moldova

requested this and others might follow.

- The work with Central Asian TRACECA countries should aim at improving the civil aviation

oversight systems so that they will meet ICAO requirements. This would then make it possible

to remove operational restrictions towards the EU.

Briefly, the state of play with the EU in aviation can be described as following:

5 http://www2.icao.int/en/HLSC/Lists/Advance%20Copy%20of%20the%20HLSC%202010%20Report/Attachments/

1/HLSC.2010.DOC.9335.EN.pdf


ENPI East countries

Negotiations on a Common Aviation Area agreement (CAA) between the EU and Ukraine started

in 2007. Following five rounds of negotiations that brought significant progress, discussions have

been suspended by the Commission because of the wish of Ukraine to obtain unconditional

recognition by the EU of Ukrainian design approvals for aeronautical products. Negotiations

would resume as soon as an understanding on this matter is reached. Routine work on update of

aviation safety legislation is going on. The State Aviation Administration of the Ministry of

Infrastructure (since December 2010) of Ukraine continues to work on the legal and normative

basis related to aviation safety aspects. The State Aviation Administration initiated in Ukraine the

implementation of European standards of certification of personnel dealing with technical service

and maintenance of aircraft (EASA Part-66 Certifying staff). Working Arrangements, covering all

aspects of the regulation of civil aviation safety and environmental protection of products,

organisations and personnel as these are covered by relevant standards, between the European

Aviation Safety Agency (EASA) and the State Aviation Administration of the Ministry of

Transport and Communications of Ukraine was signed on 9 December 2009. Currently the

Ukrainian State Aviation Administration is in correspondence with EASA concerning the

Implementation Procedures.

Moldova requested the Commission to prepare the launch of negotiations for a Common Aviation

Area agreement in 2010. It can be expected that such negotiations will start in the course of 2011.

The Civil Aviation Administration of the Republic of Moldova (CAA RM) was restructured, while

establishing the State Safety Programme (SSP) and implementing a Quality Management System

(QMS). The National Aviation Security Plan (NSP) was adopted by the Parliament (law status)

based on the EU regulation. At a ministerial level an order was signed stating that only aircraft

holding a Type Certificate approved by EASA can fly to the EU.

In December 2010 Georgia and the EU signed a Common Aviation Area Agreement. A positive

output of this agreement will be that from the start of its application, Georgia shall start

implementing EU legislation in a range of areas including safety, operating licensing, security, air

traffic management, consumer protection, and environment. New management of the United

Transport Administration with the political support of the Georgian government is expected to

improve the institutional framework in civil aviation, so that Georgia can fulfill its obligations

under the Chicago Convention and work effectively together with European civil aviation

institutions. A technical cooperation initiative in the field of air safety oversight to assist in the

preparation of an air safety oversight capacity building roadmap for Georgia is on-going in the

framework of the contract of the EC and EASA on technical assistance according to the EU

Regulation 2111/2005 EC. Georgia signed Working Arrangements with EASA.

Cooperation between Armenia and the European Union is based on the "Horizontal" Agreement

on certain aspects of air services between the European Community and the Republic of Armenia

signed in December 2008 and serving as a legal basis for any EU airline to operate flights between

any EU Member State and Armenia. The agreement shall contribute to the further development of

EU-Armenia aviation relations. Armenia signed Working arrangements with EASA in July 2009.

In November 2010, following the resolution of the Director General of Civil Aviation

Administration, normative requirements of EASA entered into force.

Azerbaijan signed a "Horizontal" Agreement with the EU and Working Arrangements with EASA.

State Civil Aviation of Azerbaijan (SCAA) is a relatively young organisation and the issue is its

further institutional development. SCAA works in the direction of bringing its aviation rules in

compliance with European standards and requirements. In particular, rules are elaborated at the

basis of former JARs and post JARs regulations. American technical cooperation (USTDA)

financed this work in the framework of an Aviation Safety project.


Central Asia TRACECA countries

A first priority for the Civil Aviation Agency of the Kyrgyz Republic is to stop an operating ban

trough the implementation of an effective Corrective Action Plan. All air carriers certified by the

authorities with responsibility for regulatory oversight of Kyrgyzstan are included in the list of air

carriers of which all operations are subject to a ban within the Community, referring to last

Commission Regulation (EC) No 619/2009 of 13 July 2009 amending Regulation (EC) No

474/2006 establishing the Community list of air carriers which are subject to an operating ban

within the Community. The reasons of this Community ban were the verified evidence of lack of

ability of the authorities responsible for the oversight of air carriers licensed in Kyrgyz Republic to

address safety deficiencies, as demonstrated by the results of the former audit of Kyrgyz Republic

carried out by ICAO in the framework of the Universal Safety Oversight Audit Programme

(USOAP). The political crisis of 2010 had a negative effect on the Kyrgyz Civil Aviation Agency.

Approval of legislative and technical documents, which are necessary for discharging its

regulatory oversight authority in complaisance with ICAO SARPS, was delayed by the interim

government. Nevertheless, technical work within the Civil Aviation Authority continued.

Legislative and regulatory amendments to the Air Code and Aviation Rules (ARKR) have

nevertheless continued to be drafted by the CAA.

Priority task in the aviation sector of Kazakhstan is the correction of ICAO findings and the

removal of the EU's operational restrictions for Kazakh airlines. Therefore, all efforts are

concentrated to solve these major issues, including primarily implementation of corrective

measures based on ICAO audit and corrective plans for air lines that are in the EU black list. In

July 2010 the new law "On the use of airspace of the Republic of Kazakhstan and aviation activity''

was adopted, being based on a model ICAO law. Currently the work on adaptation of the national

legal and normative base on aviation safety in accordance with international standards is being

carried out.

The aviation policy of Tajikistan is oriented towards the improvement of aviation safety and

security in accordance with ICAO standards. Recently, new air traffic rights were agreed by the

Tajik authorities and 12 new routes were opened. At the same time, major problems remain as

regards the deficiency of qualified personnel and aviation equipment that result in frequent

cancelation and delays of flights.

1.5. Related programmes, cooperation with EASA and other donor activities

In line with the broader objectives of the TRACECA Multilateral Agreement, the project supports

the implementation of the EU's overall external air transport policy6.

Concerning the other ongoing TRACECA Programmes this project will be linked to the framework

of the "TRACECA Transport Dialogue" (ongoing May 2009 – May 2012, a follow-up will be

foreseen) ensuring specifically the follow-up of the relevant TRACECA Action plan activities.

This project shall also build on the results achieved by the on-going TRACECA Civil Aviation

Safety, Security ad Environmental project and coordinate its activities with twinning operations in

Ukraine (aerodromes, airports and ATM/ANS), Georgia (civil aviation safety) and Armenia (civil

aviation safety and licensing of air carriers).

TRACECA Civil aviation, security and environment project (02/2009 - 02/2012) focuses on

standards and regulations in aviation. The project is about strengthening knowledge and skills of

the staff of beneficiary countries responsible for ensuring safety and security in air transport as

6 Communication from the Commission "A Community aviation policy towards its neighbours", COM (2004) 74 final)

and notably the ongoing Commission’s initiative aiming at the establishment of the Common Aviation Area

(Communication from the Commission - Common aviation area with the Neighbouring Countries by 2010: progress

report, COM/2008/0596 final).


well as application of environmentally friendly approach in aviation. A capacity-building

programme in aviation safety, security and environment management systems is being

implemented and specific expertise support is being provided, in order to develop the necessary

regulatory frameworks, technical and institutional conditions, regional management and

monitoring systems in line the requirements of international conventions, resolutions,

recommendations and standards of ICAO and EU/ EASA. During almost two years of the project

implementation a number of special training courses in airworthiness and maintenance standards,

operations, oversight tools, security and environmental issues were conducted. Currently the

project is implementing technical assistance programme to the civil aviation authorities of the

beneficiary countries.

Armenian aviation twinning project "Strengthening the capacity of the Armenian General

Department of Civil Aviation (GDCA) in the integration and enforcement of Joint Aviation

Requirements (JARs), and EU aviation safety regulations" for the General Department of Civil

Aviation at the Government of the Republic of Armenia (GDCA) started in February 2011.The

objective of this Twinning project is to prepare Armenia to fully integrate the European civil

aviation safety system (through the implementation of all relevant JARs and post JARs EU safety

regulations) and to support close relations between Armenia and the European Aviation Safety

Agency. The specific objective of this twinning project is to strengthen the capacity of the General

Department of Civil Aviation (GDCA) of the Government of Armenia to apply and implement

relevant JARs and post JARs EU safety regulations. The twinning project should therefore support

the approximation of the Armenian legislation, procedures and enforcement mechanisms of the

Civil Aviation sector with those of EASA.

Georgian aviation twinning project "Harmonisation with EU norms of the legislation and

standards of Georgia in the field of Civil Aviation" for The Civil Aviation Department (CAD) of

the United Transport Administration (UTA) of the Ministry of Regional Development and

Infrastructure of Georgia is expected to be launched soon. Overall objective of the project is to

ensure that all Georgian aviation regulations in civil aviation safety and licensing of air carriers are

harmonised with those of the European Union and implemented by the aviation authorities and

industry in Georgia with the aim to increase safety standards in Georgia. The twinning project is

expected to help civil aviation authorities enabling their development in line with EU experience

and practices, whilst, in turn the MS benefits in gaining experience from closer co-operation with

another civil aviation agency which is potential associated member of EASA.

Ukrainian aviation twining project "Support the Implementation of the Norms and Standards of

the EU in the Spheres of Airports, Aerodromes and Air Traffic Management /Air Navigation

Services (ATM/ANS)" is still at the stage of tendering and expects to be launched in autumn 2011.

The project is aimed at supporting the sustainable development of civil aviation in Ukraine,

harmonise regulations and working practices to comply with international standards (ICAO),

international best practices and prepare for the implementation of international standards and

present and forthcoming EU regulations concerning airports, aerodromes and Air Traffic

Management/Air Navigation Services (ATM/ANS). The purpose of this project is development of

a regulatory framework compliant with the [anticipated] European Common Aviation Area

(ECAA) agreement and institutional development including capacity building of the Civil Aviation

Regulator, and other relevant institutions to enable aviation activities to be carried out in

accordance with the International Civil Aviation Organisation (ICAO) Standards and

Recommended Practices (SARPs) and applicable Union Acquis.

This new TRACECA civil aviation project, being devoted to aviation security and legal and

regulatory aspects in aviation will be linked to the project covering aviation safety and being

implemented by EASA directly. In the framework of safety project, EASA will be dealing with

provision of training and technical assistance directly to CAAs of the ENPI and Central Asian

countries. To ensure close coordination of the two projects it is expected that EASA

representatives will participate in the Steering Committee meetings of this new TRACECA civil

aviation project.


In addition, the project is expected to assist beneficiaries to attend and participate in various

relevant events organised by other aviation international and European organisations, including

ICAO (and ICAO efforts to build up an RSOO), ECAC, Eurocontrol, etc. In this way, the project

will help to get the beneficiaries better acquainted with and incorporated into international and

European aviation context that is essential in aviation.

2. OBJECTIVE, PURPOSE & EXPECTED RESULTS

2.1. Overall objective

The intention of this project is to develop an integrated approach towards aviation policy in the

TRACECA countries.

The overall objective of the project is to support the sustainable development of civil aviation in

the beneficiary countries, harmonise regulations and working practices to comply with

international standards (ICAO), international best practices and prepare for the implementation of

international standards and EU regulations concerning, security, ATM and the environment.

Technical assistance activities should cover the main aspects of the civil aviation regulation and

oversight, including in the areas of licensing and organisation of market access, security, ATM and

environmental protection. The project should ensure that a regional approach towards aviation

policy in the region is granted. However it is essential to recognise that some activities should be

particularly targeted to the specific characteristic in terms of political, industrial and regulatory

environment of each of the concerned country. For instance some of the countries have already

sufficiently mature regulatory frameworks and industry to start implementing EU standards.

2.2. Purpose

The purposes of this contract are as follows:

To continue to acquaint aviation personnel (in the sectors of security, ATM and

environment of the beneficiary countries) from the administration and from operators with

the requirements of international and European conventions, resolutions and standards.

To continue to provide aviation personnel (in the sectors of security, ATM and

environment of the beneficiary countries) from the administration and from operators with

improved knowledge, skills and capacities in the relevant technical sectors.

To contribute to further development and strengthening of the administrative capacity of

the civil aviation authorities of the beneficiary countries in their implementation of

international and, where relevant, European security, ATM and environmental

standards.

To prepare the civil aviation authorities of the beneficiary countries for closer relations

with (Central Asia) or integration (Caucasus, Moldova, Ukraine) to Pan-European

aviation structures.

To promote closer regional cooperation between the aviation administrations of the

beneficiary countries to optimise the use of scarce resources.

2.3. Results to be achieved by the Consultant

Progress as regards regulatory approximation towards the EU aviation acquis for the ENPI

countries;

Contributing to the extension of the Common Aviation Area to the ENPI countries;

Progress as regards security issues, particularly for the Central Asian countries.


3. ASSUMPTIONS & RISKS

3.1. Assumptions underlying the project intervention

The key assumptions are that:

The Partner governments continue their political commitment to regional cooperation;

Increased ownership of the subject following the previous TRACECA projects in the field;

The Partner governments continue to enhance policies to reform their transport sector;

Participating countries should recognise European Union law and/or relevant international

standards in the field of aviation and should be ready to actively work towards the

implementation of first of all international (ICAO) standards, and, if relevant, EU standards. In

external aviation relations, the principle of European Union designation must be applied either

through a horizontal agreement with the EU or through amendments of bilateral aviation

agreements with EU Member States;

No major political or policy changes would contradict the objectives and implementation of the

project;

TRACECA Permanent Secretariat will help in coordinating the projects activities between the

countries beneficiaries and between the countries and the European Commission.

3.2. Risks

The identified potential risks related to the implementation of the present project are the following:

Governance structure: weakness of aviation authorities bodies in the administration structure,

lack of adequately skilled experts and high staff turn-over, insufficient financial resources; lack

of intra and inter-organisation coordination and communication.

These risks are minimised by the use of already functioning mechanisms for cooperation

between the transport key stakeholders of the neighbouring states and with the EU.

4. SCOPE OF THE WORK

4.1. General

4.1.1. Project description

In order to achieve the project results, the following thematic approaches should be considered:

Further assessment of the current situation in the aviation sector and the capacity of aviation

training institutions in all beneficiary countries;

Provision of relevant capacity building programme, including training courses for aviation

personnel of the beneficiary countries;

Provision of relevant expertise support to technical experts working in the aviation

departments of beneficiary countries, as well as regional and international study visits for

aviation personnel of the beneficiary countries;

Awareness-raising and communication strategies in the relevant sectors.

The objectives of the project are in line with the external transport policy of the

European Union. In the field of civil aviation, it aims at strengthening relations to the

countries in Central Asia and at integrating neighbouring countries into Pan-


European aviation structures. Partner countries should accept the implication of the

EU internal aviation market in their bilateral aviation relations with EU Member

States or the EU (EU standard clauses). Armenia, Azerbaijan, Georgia, Moldova and

Ukraine are members of the European Civil Aviation Conference (ECAC) and part of

the EU neighbourhood policy. For the Central Asian countries, the emphasis has to be

put on improving the overall aviation security situation in these countries. The EASA-

led side project has the objective to support these countries to implement ICAO

SAPRs so that the existing operating restrictions with Europe can be removed

(Kazakhstan and Kyrgyz Republic). It is therefore important to maintain close

contact with EASA to ensure a coordinated approach.

During the brief assessment and analysis phase, the experts will analyse results of previous

relevant projects and hold interviews with each beneficiary during an opening event. Relevant

programmes of other donors should also be taken into consideration. Following this inception

phase, a draft programme of training courses, capacity building sessions, on-the-job training and

study tours should be defined and proposed to the beneficiaries for their respective approval.

The programme of training courses shall be implemented together with a programme of study tours

to institutions that can demonstrate the procedures and processes of best practices in the fields of

aviation security and environment. Details such as the course levels, centres to be visited,

indicative dates and participants to each course shall be agreed with the EC Project Manager.

A detailed programme of technical assistance will further develop the management and technical

capacities of the target groups to implement the requirements of international conventions,

resolutions, recommendations and standards of the EU/EASA (European Aviation Safety Agency)

and of ICAO (International Civil Aviation Organisation). The schedule for the implementation of

the programme and identified participants shall be approved by the EC Project Manager.

A detailed report including recommendations and concrete proposals for the next steps needed in

order to continue the progress towards the project's overall objective will be provided. The project

will support drafting the necessary documents for future EC-funded projects in the field of

aviation.

A security, ATM and environment visibility, awareness and communication programme shall

promote all components of the project and the EU's continuous efforts to improve security and

environment standards in neighbouring countries.

Due to the complexity of the programme, more effectiveness would be achieved, if the components

would be implemented in parallel so that each can be commenced as soon as sufficient information

is available. The consultant should suggest an appropriate time schedule for implementing each of

the components. A benchmark document shall be developed and constantly updated throughout the

project to allow for ongoing monitoring of the progress made.

4.1.2. Geographical area to be covered

The geographical area to be covered includes the following TRACECA countries: Armenia,

Azerbaijan, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Tajikistan, Uzbekistan and Ukraine.

4.1.3. Target groups

The Project Partners are the Ministries of Transport and other state entities responsible for civil

aviation. The target groups will include management, technical, operational and instructional

personnel who are working in the safety, security, ATM and environmental areas of:

The Civil Aviation Departments in the Ministries of Transport;

The Civil Aviation Authorities or other Authorities concerned with Regulation, Safety

Oversight and Accident Investigation;

The Operational, technical and administrative departments of airports;


The Operational, technical and administrative departments of airlines;

The Instructional and administrative departments of those training centres, academies,

schools etc. that are concerned with aviation disciplines.

4.2. Specific activities

Component 1: Brief assessment of needs in capacity-building, training and technical

assistance based on the results of the on-going TRACECA Civil Aviation Safety,

Security and Environment project

This component should be considered during the Inception phase (two months). Taking into

consideration the fact that the project is de facto continuation of the current TRACECA Civil

Aviation project, this component should be mainly based on studying the reports and technical

papers of the current projects and to be based on the contacts established with the CAAs of the

beneficiary countries. The Consultant should also take into account results and evaluation reports

of the project 'Training of Operational Air Transport Control Staff of South Ring States' and rest

assessment on the results achieved in the TRACECA Civil Aviation Safety, Security and

Environment project.

The major activity during the inception phase is organisation of one extensive regional opening

event (up to 3 days), aimed at both project presentation and preliminary assessment of the needs of

the beneficiary countries. Such approach shall be feasible, taking into consideration the fact the

beneficiaries are aware about the new TRACECA Civil Aviation project, and it would allow

saving resources required otherwise if paying visits to each beneficiary country.

The component shall be focused on brief analysis of the major problems and challenges in current

aviation security, ATM, economic regulation and environment areas for each country, brief

analysis of needs in capacity-building, including training needs. The assessment and analysis of the

current situation is mainly aimed at assessment of potential scope of technical assistance needed by

each country in the framework of major policy directions in aviation sectors of these countries.

Component 2: Strengthening aviation security in TRACECA countries (for all

TRACECA countries with a specific emphasis on Central Asian countries)

The project should ensure that TRACECA countries aviation authorities' and airlines operate

towards the effective adoption and implementation of international security standards.

The Consultant shall build up activities of the Component in order to:

- Reinforce the ability of CAAs, airport authorities and operators to comply with international

ICAO security standards and European standards;

- Encourage and facilitate an exchange of best practices in aviation security;

- Assist CAAs in developing and implementing national quality control programmes;

- Assist airport authorities and operators in developing and implementing security programmes

and internal quality control measures;

- Assist in developing and implementing Crisis management Plans, including the definition of

clear tasks and responsibilities among the various involved stakeholders in the case of a crisis;

- Suggest possible sources for financing the additional security measures that would required at

the TRACECA airports to meet the international and EU standards.

Above a general thematic framework is given. The Consultant, jointly with the beneficiary

countries and target groups should develop a list of priorities which could determine the content of

this component.

Two major types of activities are to be implemented in the framework of this component:


Training of security staff. These activities should aim in particular at training of airports' and

airlines' security staff and assisting CAAs in the development of national aviation security quality

programmes. The project should ensure that TRACECA countries aviation authorities' and airlines

operate towards the effective adoption and implementation of international security standards.

When compiling the training programme, it would be recommended to take into consideration

different aviation policy agendas of two major groups of beneficiaries, contemplating even

clustering topics in different aviation areas for two groups of beneficiaries separately, where

relevant. The Consultant should indicate which criteria will be applied for the selection of

participants to training sessions and how the criteria will be used to ensure that selected candidates

are well motivated and have good potential for improving their job performance.

Technical assistance and expertise, aimed at compliance with international security standards and

addressing in particular national administrations, airport authorities and operators to move towards

the adoption of EU/international security standards in the field of airport security (i.e. access

control), aircrafts inspections, staff recruitment and equipment standards. One of the possible

activities in the area can be assistance in quality control standards, aiming at helping TRACECA

countries to establish National Aviation Security Programme and National Control Programmes to

ensure proper implementation of security standards. Technical assistance and expertise support

shall pursue the purpose of helping beneficiary countries to develop their institutional capacities

and carry out reforms in their aviation sectors, in particular in aviation security. The project shall

be concentrated on the provision of technical expertise, technical assistance required by the

beneficiaries in terms of ICAO audits, institutional development and regional cooperation/

integration.

Component 3: Support in the implementation of European acquis to prepare for

achieving the most important requirements of Common Aviation Area Agreements

(for ENPI countries: Ukraine, Moldova, Armenia, Azerbaijan, Georgia)

The primarily target group for this component is the ENPI countries.

Thematically this component is to be concentrated on the issues related to market access, ATM/

ANS, economic regulation and environmental issues. All safety aspects are to be covered by the

EC – EASA project linked to the project in question.

The purpose of this component is to advance with the implementation of the most important

requirements of a Common Aviation Area Agreement (such as the EU-Georgia agreement).

To facilitate the identification of the respective pieces of legislation, an Annex is attached to these

Terms of Reference. It contains the legislation that should (at least partially) be implemented by

the beneficiary countries with the support of the consultants. This list is built on a similar Annex to

the EU-Georgia Common Aviation Area Agreement. The most fundamental pieces of legislation

are highlighted.

Based on this Annex, the Consultant shall develop a working plan with each of the beneficiary

countries concerned. These working plans shall contain a list of the pieces of legislation that shall

be implemented, a date when this shall be achieved and a broad description of the means and

instruments.

In a second step, the consultants are expected to bring together the specific needs of each

beneficiary country in order to pool identical needs and to develop an overall work plan for this

Component for the ENPI-countries.

In other words, this Component shall provide the following results:

Preparation of a Road Map for the development of the Common Aviation Area for ENPI

countries which are already negotiating or willing to negotiate such an agreement with the

EU.


Support for the implementation of CAA agreements for ENPI countries that have already

signed a Common Aviation Area agreement and provide the necessary tools for the gradual

implementation of the EU legislation in the field of air transport.

The Consultant shall organise workshops, seminars and training sessions enabling the beneficiary

CAAs to get acquainted with new international and EU legal and regulatory acts and their impact

on their respective performances.

One of the activities would be expertise/ consulting concerning major national aviation legislation

and their harmonisation/ compliance with international and EU standards, depending upon

countries.

For ENPI countries, in particular, economic regulation should be taken into consideration.

Component 4: Awareness, communication and visibility programme

A share of the budget of the project should be dedicated to the communication, visibility and

information activities in order to ensure that the results of the projects activities are further

disseminated. The Project should develop an adequate communication plan and press strategy

towards local and EU media.

Constant communication should be kept with the ENPI East Info centre web portal.

Communication and awareness-raising should be ensured for all components related to aviation

security and environment. A communication plan should be proposed, including possible press

releases, press conferences, leaflets and newsletters, websites, banners and promotional items

related to the project activities. In particular, regular update on the project should be sent to the

TRACECA Permanent Secretariat for their quarterly newsletter. EC templates and guidelines

should be respected for any communication action.

This programme is aimed at creating an awareness of the TRACECA programme in general and of

best practices in the project's relevant areas. It is suggested that a website or newsletters are

developed giving regular reports on the progress of the project and activities that have taken place.

Consideration should also be given to extending awareness meetings in each country to include a

day for all aviation players (e.g. CAA, airports, airlines, training centres) to meet, and each to brief

the meeting on national and international developments in their disciplines.

There is a need to encourage dialogue and mutual understanding with regard to a harmonised

development of civil aviation in the TRACECA Region. All countries and personnel should be

invited to play a part, and examples of successful implementation should be reported. It is expected

that regional seminars should also include:

- Progress made towards achieving regional cooperation in aviation;

- Involvement in the project of other international organisations, (such as ICAO, EASA, ECAC).

- Results of recent activities and forthcoming activities.

The Final Report shall make concrete recommendations for possible future programmes that would

build on the successes of this project or provide extra activities in areas that were either not so

successful or not covered.

The Consultant must also observe the latest Communication and Visibility Manual for EU External

Actions concerning acknowledgement of EU financing of the project (see

http://ec.europa.eu/europeaid/work/visibility/index_en.htm.

4.3. Project management

4.3.1. Responsible body

The project will be managed by the EuropeAid Development and Co-operation Directorate-

General. The Team Leader will be responsible for managing the contract.

http://ec.europa.eu/europeaid/work/visibility/index_en.htm


Besides the permanent and close contacts with the EC project manager, informal exchange of

information will be ensured with the EC DG MOVE, specifically with the unit responsible for rail

policy, road transport and urban transport.

4.3.2. Management structure

The project is to be managed via a regional office, to be established by the Consultant and which

will serve as the main contact point for all project activities. This office will be staffed with the

experts and adequate secretarial support.

Secondary offices could be established in the other beneficiary countries with one long-term

coordinator.

In addition to the counterpart institutions, the Consultant will work closely with the national

regulatory institutions and administrations, with the TRACECA Permanent Secretariat in Baku and

its representatives in the beneficiary countries and with other relevant national authorities. The

Consultant shall keep the relevant EU Delegations informed. Moreover, the TRACECA Secretariat

and the TRACECA National Secretaries play an important coordination role and should liaise with

the project beneficiaries and all the stakeholders at national level.

The contractor should bear in mind the regional emphasis in planning his travels and staffing

requirements and a draft schedule of visits shall accompany his proposal. It should be noted that

this schedule may need to be adjusted at inception report stage or later with the agreement of the

project manager in the European Commission. The ratio of working time spent in the Contractor's

home office, at the regional offices and on mission in the region should be clearly visible in the

Contractor's proposal. In any case not less than 50% of the total amount of working days (of

all experts together) needs to be spend either on mission in the region or in the regional

office.

Tenderers must supply an annex of the 'Estimated number of working days' worksheet contained in

the spreadsheet for Annex V to their Organisation and Methodology (Annex III) to demonstrate the

correspondence between the proposed methodology and the expert inputs.

4.3.3. Facilities to be provided by the Contracting Authority and/or other parties

The Consultant shall ensure that experts are adequately supported and equipped to work

effectively and will be responsible for all charges relating to the rental and running of the office

(i.e. furniture, personal computers, phones, fax machines, electricity, heating, etc).

In particular it shall ensure that there is sufficient administrative, secretarial and interpreting

provision to enable experts to concentrate on their primary responsibilities. It must also transfer

funds as necessary to support its activities under the contract and to ensure that its employees are

paid regularly and in a timely fashion.

If the Consultant is a consortium, the arrangements should allow for the maximum flexibility in

project implementation. Arrangements offering each consortium partner a fixed percentage of the

work to be undertaken under the contract should be avoided.

5. LOGISTICS AND TIMING

5.1. Location

A regional project office is to be established in one of the beneficiary countries (Armenia,

Azerbaijan, Moldova, Ukraine, Kazakhstan, Tajikistan, Uzbekistan, Georgia). Bulgaria, Romania

and Turkey are to be considered indirect beneficiary countries.

This project office will be considered as the base of operations.

Secondary project offices can be established in other direct or indirect beneficiary countries.

Changes in the location of the offices could be considered during the inception phase in close


coordination with the EU delegations in those countries and with prior approval of the Contracting

Authority.

The location of regional events should be proposed by the Consultant and should be balanced

among the different TRACECA regions or take place in an EU member state. The Consultant is

requested to clearly describe the intended activities, which might be adjusted within the inception

phase of the project.

It has also to be noted that in the course of the project implementation, frequent travelling will be

required to all TRACECA countries, Brussels and other locations as appropriate and agreed with

the Project Manager, based on the project needs. The cost for this travelling will be provided from

the incidental expenditure budget.

5.2. Commencement date & Period of implementation

The intended commencement date is February 2012; the period of implementation of the contract

will be 36 months from the commencement date. Please refer to Articles 4 and 5 of the Special

Conditions for the actual commencement date and period of implementation.

6. REQUIREMENTS

6.1. Personnel

6.1.1. Key experts

All experts who have a crucial role in implementing the contract are referred to as key experts. The

profiles of the key experts for this contract are as follows:

The role of national/local expertise in similar projects is important. Communication and

coordination amongst the large number of stakeholders (ministries, CAAs, TRACECA National

Secretary, EU Delegations) in the beneficiary countries is essential for effective and efficient

project implementation. The national technical expertise in the respective aviation sectors of

beneficiaries is an added value for the identification of needs in technical assistance and technical

expertise. In addition, rely on a national support is needed in order to increase largely involvement

of beneficiaries in the project. The Consultant is expected to involve national experts in the project

implementation, both as key and non key experts.

For each sector of activity, each relevant key expert is expected to lead a team of non key experts

in the relevant sector and consequently have management capacity. The profiles of the key experts

for this contract are as follows:

Key expert 1: Team Leader/ Training Expert (minimum 400 w/days)

The Team Leader will be a high level expert. He/she will have the overall responsibility for the

implementation of the project. This includes timely submission of reports and responsibility for all

other contractual and logistical arrangements related to the project. The Team Leader will manage

the day-to-day operations of the project and will also provide substantial strategic and policy

inputs as well as providing the main co-ordination role of the project, including and particularly

with the EASA-led safety project. The team leader will be part of and will manage the team of

experts, organises all aspects of the technical project work, ensure good communication with the

project partners and Contracting Authority.

Qualifications and skills: University degree or equivalent in air transport or related fields.

General professional experience:

Preferably 7 years experience in professional training in the aviation sector;

Experience in international projects;

Specific professional experience


At least 5 years specific experience in human development in the aviation sector,

designing training programmes and curricula development;

Excellent command of English is essential;

Knowledge of the Russian language is an advantage;

Field experience in the TRACECA countries would be an advantage;

Experience in managing a team composed of expatriate and local technical specialists;

Good understanding of local and regional socio-political aspects;

Supervising and coordinating all aspects of the project’s technical work;

Ensuring good communication with the Project Partners;

Organising and overseeing administrative and logistic support;

Good reporting and drafting skills.

Key expert 2: Civil Aviation Security Expert to deal with Component 2 (minimum 400

w/days)



Preferably 10 years experience in aviation security;


Specific professional experience

At least 5 years specific experience in capacity building and technical expertise in the field

of security aspects of air transport;



Field experience in the TRACECA countries would be an advantage.

Key expert 3: Civil Aviation Legal Expert with a good knowledge of the EU acquis to deal

with Component 3 (minimum 400 w/days)



Preferably 10 years experience in the aviation sector;


Specific professional experience:

At least 5 years experience in implementing EU civil aviation acquis in the different areas

covered by Component 3;



Field experience in the TRACECA countries would be an advantage.


6.1.2. Other experts

CVs for experts other than the key experts are not examined prior to the signature of the contract.

They should not have been included in tenders.

The Consultant shall select and hire other experts as required according to the profiles identified in

the Organisation & Methodology. They must indicate clearly which profile they have so it is clear

which fee rate in the budget breakdown will apply. All experts must be independent and free from

conflicts of interest in the responsibilities accorded to them.

The selection procedures used by the Consultant to select these other experts shall be transparent,

and shall be based on pre-defined criteria, including professional qualifications, language skills

and work experience. The findings of the selection panel shall be recorded. The selected experts

shall be subject to approval by the Contracting Authority.

Note that civil servants and other staff of the public administration of the beneficiary country

cannot be recruited as experts, unless prior written approval has been obtained from the European

Commission.

6.1.3. Support staff & backstopping

It is mandatory to have backstopping and support staff available for this project. Backstopping and

support staff costs must be included in the fee rates of the experts.

6.2. Office accommodation

Office accommodation of a reasonable standard and of approximately 10 square metres for each

expert working on the contract is to be provided by the Consultant.

Office running costs (stationery, communication costs, energy) and excluding purchase of office

equipment of regional office will be covered by incidentals.

The costs of the of home office accommodation are to be covered by the fee rates of the experts.

6.3. Facilities to be provided by the Consultant

The Consultant shall ensure that experts are adequately supported and equipped. In particular it

shall ensure that there is sufficient administrative, secretarial and interpreting provision to enable

experts to concentrate on their primary responsibilities. It must also transfer funds as necessary to

support its activities under the contract and to ensure that its employees are paid regularly and in a

timely fashion.

If the Consultant is a consortium, the arrangements should allow for the maximum flexibility in

project implementation. Arrangements offering each consortium member a fixed percentage of the

work to be undertaken under the contract should be avoided.

6.4. Equipment

No equipment is to be purchased on behalf of the Contracting Authority / beneficiary country as

part of this service contract or transferred to the Contracting Authority / beneficiary country at the

end of this contract. Any equipment related to this contract which is to be acquired by the

beneficiary country must be purchased by means of a separate supply tender procedure.

6.5. Incidental expenditure

The Provision for incidental expenditure covers the eligible incidental expenditure incurred under

this contract. It cannot be used for costs, which should be covered by the Consultant as part of its


fee rates, as defined above. Its use is governed by the provisions in the General Conditions and the

notes in Annex V of the contract. It covers:

1. Travel costs and subsistence allowances for missions to be undertaken as part of this

contract to and from the base of operations in the beneficiary countries;

2. Stakeholders', regional coordination meetings, participation of the beneficiary countries in

relevant events of international and European organisations (ICAO, EASA, etc.);

3. Seminars, workshops, on-the-job training and study tours;

4. Translation and publication of documents and studies relevant to the implementation of the

project;

5. Regional office rent;

6. Regional office running costs (stationery, communication costs, energy) and excluding

purchase of office equipment.

The Provision for incidental expenditure for this contract is EUR 700,000. This amount must be

included without modification in the Budget breakdown.

The Consultant will need prior written approval from the European Commission before spending

the funds related to the components (2), (3), (5). No written approval from the Contracting

Authority will be needed for spending funds related to the components (1), (4) and (6), however

all supporting documents must be kept by the Consultant as indicated in art. 24 of the General

Conditions for Service Contracts financed by the EC.

Any subsistence allowances to be paid for missions undertaken as part of this contract must not

exceed the per diem rates published on the Web site:

http://ec.europa.eu/europeaid/work/procedures/index_en.htm at the start of each such mission.

6.6. Expenditure verification

The Provision for expenditure verification relates to the fees of the auditor who has been charged

with the expenditure verification of this contract in order to proceed with the payment of further

pre-financing instalments if any and/or interim payments if any.

The Provision for expenditure verification for this contract is EUR 20,000. This amount must be

included without modification in the Budget breakdown.

7. REPORTS

7.1. Reporting requirements

Please refer to Article 26 of the General Conditions. Interim reports must be prepared every six

months during the period of implementation of the tasks. They must be provided along with the

corresponding invoice, the financial report and an expenditure verification report defined in Article

28 of the General Conditions. There must be a final report, a final invoice and the financial report

accompanied by an expenditure verification report at the end of the period of implementation of

the tasks. The draft final report must be submitted at least one month before the end of the period

of implementation of the tasks. Note that these interim and final reports are additional to any

required in Section 4.2 of these Terms of Reference.

Each report shall consist of a narrative section and a financial section. The financial section must

contain details of the time inputs of the experts, of the incidental expenditure and of the provision

for expenditure verification.

A short Inception Report will be issued within 2 months of the start of the project. It shall

summarise initial findings and propose any modifications to the methodology and work plan. It

http://ec.europa.eu/europeaid/work/procedures/index_en.htm


will also confirm or modify institutes/organisations/consulting bodies to be directly involved in the

implementation. The report distribution lists will be included.

In addition to the above formal reports, the Consultant shall provide such information on project

progress as it is reasonable required by the Methodology and the European Commission, and shall

regularly inform the Commission of political, economical or institutional developments of

relevance to the project. The Consultant shall in particular provide electronic and hard copies of

recommendations elaborated, training material prepared under this project, report of short-term

specialists, any other document which requires prior approval as stated in the project description

above.

No report or document shall be distributed to third parties prior to the approval by the Project

Manager of the European Commission. The Consultant shall pay particular attention to the

confidentiality of data. Reports, as well as press statements, etc., made by the Consultant will make

clear that any opinions expressed therein remain those of the Consultant and do not represent the

opinion of the European Commission.

Copyright on all reports and other material prepared under this contract shall reside with the

European Commission.

Consultants are advised to print all the above-mentioned reports double sided.

To summarise, in addition to the documents, reports and output which could be specified under the

duties and responsibilities of each key expert above the Consultant shall provide the following

reports:

Name of report Content Time of submission

Inception Report Analysis of existing situation

and plan of work for the

project

No later than 2 months after

the start of the implementation

6 month Progress Report Short description of progress

(technical and financial)

including problems

encountered; planned activities

for the ensuing 6 months

accompanied by an invoice and

the expenditure verification

report.

No later than 1 month after the

end of each 6 month

implementation period

Draft Final Report Short description of

achievements including

problems encountered and

recommendations

No later than 1 month before

the end of the implementation

period.

Final Report Short description of

achievements including

problems encountered and

recommendations; a final

invoice and the financial report

accompanied by the

expenditure verification report.

Within 1 month of receiving

comments on the draft final

report from the Project

Manager identified in the

contract.

7.2. Submission & approval of reports

1 copy of the reports referred to above must be submitted to the Project Manager identified in the

contract. The reports must be written in English. The Project Manager is responsible for

approving the reports.


All reports are to be delivered in the numbers, languages and locations as follows:

Bound Hard Copy Electronic Copy on CD

English Russian English & Russian

EC Project Manager Brussels 1 1 1

TRACECA National Secretaries of beneficiary

countries

1 per

country

1 per

country

1

TRACECA Permanent Secretariat in Baku 1 1 1

TACIS Coordinating Unit (Beneficiaries

States)

1 per

country

1 per

country

1 per country

EU Delegations in the beneficiary countries 1 per country

In order to implement the reports on the TRACECA web site and to allow further data processing,

reports must be provided by the Consultant under an electronic file “.doc” or “.pdf”. In any case,

all texts must be composed with common and scan-able fonts, including for tables, maps,

diagrams, drawings etc.

Only photographs, logos and facsimiles of original documents will be accepted under a bitmap

graphic format (inside the “.doc” or “.pdf” file) though in this case they cannot be used in the

document data processing. The resolution of bitmap files must be 150 dpi or less. Each report must

correspond to one single “.doc” document or “.pdf” file. Reports transmitted in multiple files and

of different kind will be refused. Consultant is invited to contact the Webmaster before any file

transfer.

The reports and working papers on the many issues covered by this project should be issued

regularly and discussed with the beneficiaries.

The Consultant is to compose and provide in his Technical Proposal a schedule of separate

deliverables appropriate to specific technical and commercial components of the project. Formal

draft versions are not required, but the Consultant should carefully discuss the proposed contents

with, and provide draft extracts upon request to the EC Project Manager, before issuing

deliverables.

8. MONITORING AND EVALUATION

8.1. Definition of indicators

The Consultant shall incorporate monitoring mechanisms for periodic assessment of the progress

of the project work components. Specific performance measures can be selected because they

provide valid, useful, practical and comparable measures of progress towards achieving expected

results. Such measures can be quantitative: measures of quantity, including statistical statements;

or qualitative: judgements and perception derived from subjective analysis of progress made.

The essential points to be monitored are:

Deviations of milestones and deliverables from their planned dates;

Adherence to the work plan in terms of content of the activities actually carried out;

Deviations in efforts needed to complete activity/introduction of work not initially

planned;

Shifting of the common understanding of the objectives and priorities between Consultant

and beneficiaries;


Appearance of unexpected difficulties likely to require special measures or shift of project

resources.

8.2. Special requirements

None.

* * *

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