OCCAR Management Procedure

Transcription

1 OCCAR OCCAR Management Procedure Title: Corporate Management Number: OMP 3 Date: 08/06/16 Computer Ref: OMP 3_Corporate Management_Issue 6_ Current status: Issue 6 Contact address: Central Office, OCCAR-EA Bonn questions@occar.int Approved for issue OCCAR File Ref : CO/BDSPRO/2016/00082 This document replaces: OMP 3 issue 5 dated 15/04/14

2 Record of changes Date Issue Changes 30/05/05 1 Creation of the document. Document issue further to the approval of OMP 3 issue1 draft 7 by the BoS on 19/05/05. 01/07/06 2 Converted to the OCCAR-EA graphical house style 09/12/08 3 Modifying paragraph 5 to reflect the comprehensive business and resources planning process. Following revision of FTPC ToRs (Annex OMP 3-C) and incorporation of new ISSC ToRs (Annex OMP 3-H), updating of text as appropriate Following revision of Organisational Structure of OCCAR-EA (Annex OMP 3-G), updating of text as appropriate Following incorporation of new BoA ToRs (Annex OMP 3-I), updating of text as appropriate. Updating of text relevant to changes to organisational structure and OCCAR-EA staffing plan. Minor cosmetic changes. Approved by 19 th BoS on 28/11/08. 25/03/13 4 OMP 3 Issue 4 - Light Revision Taking into account direction at the 38 th FTPC and comments subsequently received 10/06/14 5 Overall structure modification and major revision taking into account all stakeholder inputs. 08/06/16 6 Amendment to Paragraph to reflect revised Security Committee Terms of Reference OMP 3_Corporate Management_Issue 6_INT_ Page 2 of 15

3 Table of Contents 1. Introduction Scope Authority Implementation and administration Reference documents Organisation and roles OCCAR Boards Board of Supervisors Programme Boards OCCAR Committees Future Tasks and Policy Committee Finance Committee Security Committee Through Life Management Committee Programme Committees OCCAR Expert Working Groups OCCAR Executive Administration Definition and Update of the OCCAR Strategy Planning Business Planning Cycle OCCAR Business Plan Requirement Definition and structure Establishment of the Business Plan Business Plan development and staffing Programme Management Plans OCCAR-EA Staffing Plan Financial Plans and Budget Reporting Reporting Requirement Annual Report Reporting to the PBs and PCs Reporting to the BoS Reporting to the FTPC Reporting to the FC Reporting to the SC Reporting to the TLMC Ex-Committee decisions Auditing OCCAR Auditing OCCAR-EA Internal Auditing Annexes OMP 3_Corporate Management_Issue 6_INT_ Page 3 of 15

4 List of acronyms BDSPRO BoS CO CSD EWG FC FD FTPC FOO HLO HRD ILS ISS KPI OCCAR-EA OMP PB PC PMA PMSD ProgD SC TDP TLM TLMC Business Development, Strategy, Planning & Reporting Office Board of Supervisors Central Office Corporate Support Division Expert Working Group Finance Committee Finance Division Future Tasks and Policy Committee Forecast of Outturn High Level Objective Human Resources Division Integrated Logistic Support In Service Support Key Performance Indicator OCCAR Executive Administration OCCAR Management Procedure Programme Board Programme Committee Programme Management Authorisation Programme Management Support Division Programme Decision Security Committee Technology Demonstrator Programme Through Life Management Through Life Management Committee Terminology To approve To endorse To take note /note To give the official consent on a decision on a matter falling under its own authority To provide favourable advice/support on a decision on a matter falling under the authority of a different individual/entity or to sanction a decision on a matter falling under the authority of another individual/entity Something reported verbally or in writing has been brought to one s attention without the need to approve or disapprove OMP 3_Corporate Management_Issue 6_INT_ Page 4 of 15

5 1. Introduction 1.1 Scope This OCCAR Management Procedure (OMP) governs the corporate governance of OCCAR. The procedures governing integration and management of Programmes, as well as support processes (e.g. finance, human resources, security) are covered by separate OMPs. The functions of the Board of Auditors are covered in Annex OMP 3-I and those of the Appeals Board are covered in OMP Authority This OMP is established to fulfil the requirements of the OCCAR Convention and in particular: Chapter II Objectives of the co-operation and the role of OCCAR; Chapter III General organisation; Chapter IV The Board of Supervisors; Chapter V Executive Administration; Chapter X Co-operation with non-member States and International Organisations; Chapter XIII Article 43 (reporting on and forecast of activities). 1.3 Implementation and administration The implementation and administration of this procedure shall be the responsibility of the OCCAR-EA Director. Any amendment to an Annex to this procedure shall be approved by the Board of Supervisors (BoS) but may not necessarily require a complete re-approval of the document. 2. Reference documents OCCAR Convention OMP 1: OMP 2: OMP 4: OMP 8: OMP 9: OMP 10: Principal Programme Management Procedure Programme Integration Legal Issues Personnel Regulations Recruitment Financial Rules OMP 3_Corporate Management_Issue 6_INT_ Page 5 of 15

6 OMP 11: OCCAR Security Regulations OMP 12: Handling of Unclassified Sensitive Information 3. Organisation and roles 3.1 OCCAR Boards Board of Supervisors The BoS, whose composition and functions are determined in the OCCAR Convention, directs and supervises OCCAR-EA and all OCCAR Committees and decides on all matters concerning the implementation of the OCCAR Convention. The BoS Rules of Procedure are set out at Annex OMP 3-B Programme Boards Once the BoS has signed a Programme Management Authorisation (PMA), starting the integration of a Programme, high-level decisions relating to the Programme will be made exclusively by a body composed of the BoS representative(s) of the Member State(s) participating to the Programme and, where appropriate, the representative(s) of the non-member Participating State(s) at an equivalent level. The above body will be called Programme Board (PB). Where only Member States participate in the Programme, the PB is the BoS, which will convene in an assembly restricted to the Participating States, and decide in accordance with Article 15.2 of the OCCAR Convention. 3.2 OCCAR Committees Where non-member Participating States are involved in the Programme, the PB will be established following the process described in OMP 2 and will decide as described in OMP 1, in accordance with Articles 37 and 38 of the OCCAR Convention. The role, responsibilities and operation of a PB are set out in OMP 1 and in the relevant Programme Decision (ProgD). The Committees support, in accordance with their Terms of Reference, the BoS and the relevant PBs in their decision-making processes. The Corporate Committees (FTPC, FC, TLMC and SC) report directly to the BoS. Where there is a need for coordination, Committees will liaise between themselves as part of their preparation work. The Programme Committees report directly to their respective Programme Boards. Additionally, Corporate Committees can, when requested to do so, provide support to PBs / PCs on specialised subjects. If no consensus is found on a matter delegated to a Committee, the pending issue returns to the BoS or the relevant PB. OMP 3_Corporate Management_Issue 6_INT_ Page 6 of 15

7 The administrative arrangements for all Corporate Committees are detailed in Annex OMP 3-J Future Tasks and Policy Committee The FTPC is established by the BoS to advise and assist it in the achievement of its functions in the areas of business and corporate management, contractual policy and future tasks. The Terms of Reference of the FTPC are set out at Annex OMP 3-C Finance Committee The role of the FC is to monitor on behalf of the BoS the operation and effectiveness of OCCAR-EA's financial management, to make recommendations to the BoS on the documents dealing with the regularity of this financial management and to propose to the BoS the general policies on OCCAR-EA financial matters. The FC advises the BoS (or any Committee) on financial matters relating to the operation of OCCAR-EA. The Terms of Reference of the FC are set out at Annex OMP 3-D Security Committee The Security Committee (SC) is established in accordance with Article 7 of the OCCAR Security Agreement to consider all aspects of security of Classified Information related to OCCAR.. The Terms of Reference of the SC are set out at Annex 3-E to OMP Through Life Management Committee The TLMC is established by the BoS to consider all aspects of the Through Life Management approach, with specific focus on In Service Support aspects, related to OCCAR. The Terms of Reference of the TLMC are set out at Annex OMP 3-H Programme Committees The PCs shall oversee the running of the Programmes for the PBs. The role, responsibilities and operation of a PC are set out in OMP 1 and in the relevant Programme Decision OCCAR Expert Working Groups For the examination of specific matters the Committees may establish Expert Working Groups (EWGs), with as many members as considered necessary to perform the tasks involved. The results of the work of the EWGs must be reported to the respective Committees for decision making as necessary. Terms of Reference shall be established for each EWG and approved by the respective Committee and OCCAR-EA shall be the custodian of this documentation. OMP 3_Corporate Management_Issue 6_INT_ Page 7 of 15

8 3.3 OCCAR Executive Administration The organisational structure of the Executive Administration, including the structure of the Central Office and the mission of the Central Office Divisions, is detailed at Annex OMP 3-G. In accordance with Article 21 of the OCCAR Convention, the OCCAR-EA Director shall be directly responsible to the BoS for the operation of OCCAR-EA. The Terms of Reference of the OCCAR-EA Director are set out at Annex OMP 3-F. 4. Definition and Update of the OCCAR Strategy The role, tasks and functions of OCCAR are set out in Articles 7 and 8 of the OCCAR Convention. The OCCAR Mission Statement (Mission, Vision, Values) and Strategic Aims shall be defined and / or amended within the provisions of these Articles. The OCCAR Mission shall describe in concise terms the main purpose and functions of the organisation. The OCCAR Vision shall describe in concise and quantifiable terms what the organisation aims to become in a defined period, of normally between five and ten years. The OCCAR Values shall be ethical principles underlying all OCCAR activities and decisions. The OCCAR Strategic Aims shall be statements of strategic intent addressing specific desired outcomes of activities deriving from the Mission Statement and giving clear direction and focus for such activities. In accordance with the provisions of OMPs 1 and 2, each OCCAR Programme shall be the subject of a set of focused High Level Objectives (HLOs) giving clear direction to the Programme and allowing assessment of each Programme Stage results normally in terms of time, performance and cost. Corporate OCCAR-EA performance shall be addressed by one or more OCCAR Strategic Aims. The purpose of the OCCAR Strategy is to set out how OCCAR will achieve its Mission and Vision. The OCCAR Strategy is made of: The OCCAR Strategic Aims; Strategic Initiatives (investments or projects) that drive the organisation s performance toward the achievement of its Vision and Strategic Aims; A Business Development Strategy providing an overview of potential new OCCAR Business areas. The OCCAR Mission Statement and Strategy may be the subject of proposals for update / modification either by the OCCAR-EA Director or one or more Member States. Any such change proposals (including indicative resource impact for new Strategic Initiatives) should be submitted to the FTPC so as to permit the resulting revised Strategy to be taken into account in the preparation of the Business Plan and Budgets of the following year. Approval of the Business Plan by the BoS shall be deemed as approval of the revised OCCAR Mission Statement and Strategy. OMP 3_Corporate Management_Issue 6_INT_ Page 8 of 15

9 5. Planning 5.1 Business Planning Cycle The OCCAR-EA business planning cycle (conducted annually) is an integrated process focused on the achievement of the OCCAR Vision, Mission, Strategic Aims and Programmes HLOs. Within this business planning cycle human resources, infrastructure and financial planning processes are synchronised. It shall support: OCCAR-EA accountability to the BoS through the definition and use of relevant Key Performance Indicators, a commitment on associated Targets and the provision of accurate forecast of activities and outputs; The empowerment of OCCAR-EA in the optimisation of its organisation and roles to achieve its objectives; The provision to OCCAR-EA of the resources necessary for the achievement of its objectives. The OCCAR-EA business planning cycle shall result in the establishment on an annual basis of the following documents: The OCCAR Business Plan; The Programme Management Plans; The OCCAR-EA Staffing Plan; The Administrative and Operational Budgets. On an annual basis, OCCAR-EA shall assess the business objectives and targets it aspires to achieve in the forthcoming years, as well as the resources it requires for that purpose. This assessment should lead to an integrated and coherent proposal to be submitted to the relevant OCCAR Committees in terms of Business and Programme Management Plans, Organisational Structure, Staffing Plan and Administrative and Operational Budgets, in accordance with the details provided below. 5.2 OCCAR Business Plan Requirement The OCCAR-EA Director is required under Article 43 of the OCCAR Convention, to submit to the BoS a forecast of activities for the coming year Definition and structure The OCCAR Business Plan provides a summary of OCCAR-EA s objectives and planned activities for a 4-year period, the organisation and the resources necessary to implement these activities and achieve these objectives. The OCCAR Business Plan drives OCCAR-EA to the achievement of the OCCAR Strategy. The OCCAR Business Plan is a rolling plan, established on an annual basis and covering a 4-year period. The Targets set for the first year (Year 1) of the 4-year period represent the corporate OMP 3_Corporate Management_Issue 6_INT_ Page 9 of 15

10 performance commitment of OCCAR-EA to the BoS. The Targets provided for the three following years are indicative. The OCCAR Business Plan shall comprise as a minimum: A description of the OCCAR organisation; The OCCAR Mission, Vision, Values and Strategy; Strategic Aims and related Key Performance Indicators (KPIs). KPIs are performance metrics that allow target setting against the OCCAR Strategic Aims, performance measurement and reporting against such targets; The OCCAR-EA aggregated Administrative and Operational Budgets (figures resulting from approved Year 1 Budgets and indicative Budgets for Years 2 to 4); A description of the OCCAR-EA objectives, activities and milestones in the following areas: o Outputs of OCCAR Programmes (Time, Performance and Cost HLOs); o Business Development Strategy, policy and activities; o Programme integration processes and activities (from BoS Programme Management Authorisation to Programme Decision); o Programme management processes and activities (e.g. contracts and financial management, risk management, technical management, Integrated Logistic Support (ILS) management); o Support processes and activities (Finance, Human Resources, Site); o Improvement of organisational / infrastructure aspects (site policy, skills, information technology and systems, organisational procedures and policy) Establishment of the Business Plan The OCCAR Business Plan is established during the year preceding the first year (Year 1) of the 4-year period which it covers. The establishment of the Business Plan shall consist of the following phases: Planning phase Approval phase Establishment, development and FTPC screening of draft Business Plan (year 1-4) Endorsement of the draft Business Plan by the FTPC and subsequent approval by the BoS January to September (Year 0) October to December (Year 0) Business Plan development and staffing Inputs and direction will be sought at the FTPC meeting held in Quarter 2 (Year 0). A first draft of the Business Plan will be submitted for screening by mid-july (Year 0), and if deemed necessary by the FTPC, a preparation OMP 3_Corporate Management_Issue 6_INT_ Page 10 of 15

11 workshop will be scheduled in advance of the FTPC meeting in Quarter 4 (Year 0). The Director shall formally submit the draft Business Plan as part of the documentation for the FTPC meeting held in Quarter 4 (Year 0). This draft shall be consistent with the draft Budgets submitted to the National delegated authorities and with any update of the Strategy submitted to the FTPC. The Director will submit a final version of the Business Plan as part of the documentation for the BoS meeting held in Quarter 4 (Year 0). This final version shall be consistent with the Administrative and Operational Budgets. 5.3 Programme Management Plans In accordance with OMP 1, a Programme Management Plan is established for each OCCAR Programme. It sets out the organisation and the resources needed, the methods used, together with the tasks to be undertaken in order to achieve the objectives of the Programme. Each Programme Management Plan shall be updated annually as necessary and subsequent to the approval of the Business Plan. It is issued to the relevant PC after approval by the OCCAR-EA Director (see OMP 1). 5.4 OCCAR-EA Staffing Plan The Staffing Plan is a corporate plan detailing the OCCAR-EA staff requirements resulting either from normal staff rotation or changes in business requirements. The Staffing Plan submitted in Year 0 covers the contracts expiring between 1 July 0+1 and 30 June 0+2. The Staffing Plan is revised and issued to the Member States on a yearly basis, normally in June, with an update being provided in the September timeframe. 5.5 Financial Plans and Budget 6. Reporting The financial rules covering financial plans and budget structure, preparation and approval processes are set out in OMP Reporting Requirement The OCCAR-EA Director is required under Article 43 of the OCCAR Convention to submit to the BoS a report on activities performed in the preceding year. The OCCAR-EA reporting system shall provide the BoS, PBs and their respective subordinate OCCAR Committees (FTPC, PCs, SC, FC, TLMC) with relevant, concise, and timely information to support: An update of OCCAR-EA s current performance against objectives; The anticipation and identification of progress towards and shortfalls against the OCCAR-EA objectives; Their specific decision making roles (e.g. launch of remedial actions, re-allocation of resources, prioritisation of objectives, etc.). OMP 3_Corporate Management_Issue 6_INT_ Page 11 of 15

12 The OCCAR-EA reporting effort shall meet the specific requirements of the BoS, PBs, and respective OCCAR Committees, reflect their specific roles and be commensurate with the programme / activity size and complexity. The OCCAR-EA reports comprise: Reports to the BoS and PBs including Corporate reports, Programme reports and annual financial statements; Reports to the FTPC and TLMC; Reports to the FC including the periodical financial statements and the Forecasts of Outturn; Programme reports to the PCs. 6.2 Annual Report The Annual Report shall be issued by OCCAR-EA prior to the end of February and shall provide the BoS with a final status of OCCAR-EA performance against the OCCAR Business Plan of the preceding year. The Annual Report shall address as a minimum: Status against the Key Performance Indicators Targets of the Business Plan; Status on OCCAR Programmes outputs (e.g. Time, Performance and Cost HLOs); Financial status (Administrative and Operational Budgets); Status on Business Development activities; Status on Programme integration activities; Status on Programme Management activities (including corporate policy); Status on support activities (Finance, Human Resources, Site); Status on organisational / infrastructure aspects; Main corporate risks; Conclusion and recommendations. The Annual Report structure shall consist of: Information provided in a Corporate Report; Programmes specific information provided in individual Programme Annual Reports. OMP 3_Corporate Management_Issue 6_INT_ Page 12 of 15

13 The distribution of the Annual Report shall be as follows: Corporate Annual Report Individual Programme Annual Reports To: BoS (OCCAR Member States representatives) Relevant PB (Programme Participating States representatives) Copy to: All Corporate Committees FTPC, TLMC (Programme Participating States representatives only); Relevant PC 6.3 Reporting to the PBs and PCs On the occasion of each Programme Board or Programme Committee meeting, a Programme report shall be issued by OCCAR-EA at least two weeks prior to the meeting. It shall provide the PB or PC with a status of OCCAR-EA performance against the relevant Programme HLOs, and provide information commensurate to the complexity of the Programme and the respective Terms of Reference. The Programme reports shall address as a minimum: Programme status against Time, Performance and Cost (with particular emphasis on the Programme HLOs and Intermediate Programme Milestones); Financial status (Programme Administrative and Operational Budgets); Status on programme management activities (contracts, technical, ILS, etc.); Programme organisation issues; Main Programme risks and associated mitigation plans; Identified export opportunities and status of levies as applicable; Conclusions and recommendations. The PB reports shall be sent to the Programme Board and copied to the relevant PC. 6.4 Reporting to the BoS On the occasion of a BoS meeting, a progress report to the BoS shall be issued by OCCAR-EA at least two weeks prior to the meeting. It shall provide the BoS with: Status against the Key Performance Indicators Targets of the Business Plan; Status against the Strategic Initiatives of the Business Plan; Main corporate risks and associated mitigation plans; Detailed briefing against the agenda points within the lead of the OCCAR-EA Director; Conclusions and recommendations. The progress reports shall be sent to the BoS and copied to the FTPC. OMP 3_Corporate Management_Issue 6_INT_ Page 13 of 15

14 6.5 Reporting to the FTPC On the occasion of a FTPC meeting, a report to the FTPC shall be issued by OCCAR-EA at least two weeks prior to the meeting. It shall provide the FTPC with: Status against the Key Performance Indicators Targets of the Business Plan; Status against the Strategic Initiatives of the Business Plan; Main corporate risks and associated mitigation plans; Detailed briefing against the agenda points within the lead of the OCCAR-EA Director; Conclusions and recommendations. 6.6 Reporting to the FC OCCAR-EA shall provide to the FC a report covering the progress and current situation on OCCAR financial matters at least two weeks prior to the meeting. 6.7 Reporting to the SC SC representatives and OCCAR-EA shall support the Committee's meetings by preparing appropriate briefing papers tasked to it by the Committee or the Chair. 6.8 Reporting to the TLMC OCCAR-EA shall provide to the TLMC a report covering the progress and current situation on OCCAR TLM matters at least two weeks prior to the meeting. 6.9 Ex-Committee decisions 7. Auditing Considering that ex-committee decisions may be taken by the BoS, PBs or Committees as described in Annex OMP 3-B and 3-J and according to their respective and applicable rules, OCCAR-EA records and annually reports to the BoS, respective PBs and / or appropriate Committees the list of decisions taken with this procedure. 7.1 OCCAR Auditing Each year the BoS shall consider an OCCAR Audit Programme in accordance with Article 47 of the OCCAR Convention. 7.2 OCCAR-EA Internal Auditing OCCAR-EA has implemented an OCCAR-EA Internal Control Process, described in detail in Concept Paper CP Internal Audits are part of the component Monitoring of this Internal Control Process and have to be considered in conjunction with the other constituents of this component as well as in conjunction with the other components of the complete Internal Control Process model in order to avoid duplication of efforts. Internal Auditing is an activity that provides independent, objective assurance and consulting services designed to monitor and improve an organisation s operations. OMP 3_Corporate Management_Issue 6_INT_ Page 14 of 15

15 8. Annexes The internal audit activity helps an organisation accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of all management processes. The scope of the internal audits includes all OCCAR-EA processes and activities. It is OCCAR s policy that the management of the Internal Audit function is undertaken from within existing resources of its functional organisation. The Internal Audits will be conducted under the authority of the OCCAR-EA Director. To this extent, the following key elements have been implemented: Independent teams of internal auditors will conduct the audits. The OCCAR-EA Director decides the composition of each team. In order to ensure adequate audit coverage it might also be necessary to consider outsourcing some audits to either private sector audit service providers or to Member States own internal audit organisations or to seek assistance from specialists of the Member States; The annual audit programme must be primarily risk based and allow the OCCAR-EA Director, at the end of each calendar year and in combination with all other elements stemming from the Internal Control Process, to provide to the BoS an opinion on the adequacy, effectiveness and efficiency of the organisation; The FTPC, the FC, the TLMC and the SC shall be informed of the annual Audit Programme. Audit reports shall be made available to the relevant Corporate Committees on their request subject to OCCAR security rules and regulations; External auditors, who have a need to know to fulfil their official audit functions, shall obtain Internal Audit reports including all recommendations together with a summary on their request and in accordance with OCCAR security rules and regulations. Specific programme information (classified or sensitive) shall be made accessible only to external auditors from the relevant programme Participating States, which are participating in that programme. Annex OMP3-A Annex OMP3-B Annex OMP3-C Annex OMP3-D Annex OMP3-E Annex OMP3-F Annex OMP3-G Annex OMP3-H Annex OMP3-I Annex OMP3-J Observer Status Board of Supervisors Rules of Procedure Future Tasks and Policy Committee Terms of Reference Finance Committee Terms of Reference Security Committee Terms of Reference OCCAR-EA Director Terms of Reference Organisational Structure of OCCAR-EA Through Life Management Committee Terms of Reference Board of Auditors Terms of Reference Administrative Arrangements for OCCAR Corporate Committees OMP 3_Corporate Management_Issue 6_INT_ Page 15 of 15

16 OCCAR OCCAR-EA OCCAR Management Procedure Title: Observer Status Number: Annex A to OMP 3 Date: 15/04/14 Computer Ref: OMP 3-A_Observer Status_Issue3_ docx Current status: Issue 3 Contact address: Central Office, OCCAR-EA Bonn questions@occar.int Approved for issue: This document replaces: Annex A to OMP 3 Issue 2 dated 01/07/06

17 Record of changes Date Issue Changes 19/05/ Incorporation of document reference CO/200/473/PG/3 dated 12 March 2004, as amended and approved at 10th BoS, as annex to the OMP 3 and text in 17th FTPC Decision sheet regarding Observer Status for OCCAR non-programme business. 01/07/06 2 Converted to the OCCAR-EA graphical house style. 10/06/14 3 Major revision taking into account all stakeholder inputs. Table of Contents 1. Observer Status in OCCAR Programmes Purpose Decision making on Observer Status Factors to take into account when considering requests Handling requests for Observer Status Observer Status for OCCAR non-programme Business... 4 OMP 3-A_Observer Status_Issue3_INT docx - Page 2 of 4

18 1. Observer Status in OCCAR Programmes 1.1 Purpose To set the policy for granting Observer Status to non-participating States in OCCAR Programmes. 1.2 Decision making on Observer Status In application of Article 12 (h) of the OCCAR Convention (Observer Status being a matter of principle for OCCAR) the representatives to the BoS shall approve all requests for Observer Status for OCCAR Programmes. Consistent with the Convention, this decision shall be taken by unanimity. All future Programme Decisions shall contain a provision reflecting this requirement. 1.3 Factors to take into account when considering requests The general factors to be taken into account are the consequences for OCCAR of the introduction of an observer State with regard to workload, administrative budget and organisation. To avoid unforeseen consequences, the granting of Observer Status shall, in principle, be limited to a period of two years (with a possibility of extension). In principle, requests from non-participating States to observe an OCCAR Programme should be granted if there is a likelihood of the observer joining the Programme as a Participant. Observer Status might also be permitted if the State is considering making a third party purchase or a Service Level Agreement with OCCAR in order to encourage that State to participate in an OCCAR Programme in the future. Taking into account, inter alia, these factors, the BoS shall decide upon and determine the exact status of observership on a case by case basis. All States granted Observer Status in an OCCAR Programme shall be required to state formally their clear interest in future participation in the Programme or to purchase off the shelf the system developed under the Programme and to sign a non-disclosure agreement. 1.4 Handling requests for Observer Status Requests from States to be granted Observer Status shall be submitted formally from the State concerned to the Chairman of the BoS. Requests received through other channels shall be politely returned with advice on the correct procedure to follow. To take the matter forward, the BoS Chairman shall then consider the request with BoS colleagues. Once the decision is taken by the BoS, the Chairman shall reply to the request on behalf of the BoS. The request shall be subject to a two step process: 1) The Participating States in the Programme (both OCCAR Member States and non-member States where applicable) shall give their advice at BoS or Programme Board level; 2) The BoS shall give its final decision. OMP 3-A_Observer Status_Issue3_INT docx - Page 3 of 4

19 Each step requires that every State must give its view and, in the case of a rejection of a request for observing, explain the rationale for its decision. Subject to specific Programme agreements the position of the non-member States participating in an OCCAR Programme will be treated on an equal basis to the Member States. The BoS cannot approve a request for Observership if there is an objection from a non-member State participating in the Programme. Taking into account all impacts on the respective Programme and on OCCAR as a whole, the BoS shall give the specific definition of the Observer Status in each case in its response. 2. Observer Status for OCCAR non-programme Business Requests to observe OCCAR business from prospective members would be dealt with in the same manner as requests to observe OCCAR Programmes (see Part 1). Decisions on requests to observe specific parts of OCCAR business to meet a particular need (e.g. to improve inter-organisation understanding) are delegated to the OCCAR-EA Director who may seek the advice of the FTPC depending on the degree of sensitivity associated with the request. Such specific requests would be met by providing relevant information and possibly granting permission to attend meetings appropriate to the request. The decision as to the amount of access will take into account the nature of the request, the interaction between OCCAR and the requesting State, and the need for OCCAR to be seen to be open to others. OMP 3-A_Observer Status_Issue3_INT docx - Page 4 of 4

20 OCCAR OCCAR Management Procedure Title: Board of Supervisors Rules of Procedure Number: Annex OMP 3-B Date: 27/01/17 Computer Ref: Annex OMP 3-B_BoS Rules of Procedure_Issue4.1_ Current status: Issue 4.1 Contact address: Central Office, OCCAR-EA Bonn Approved for issue: OCCAR File Ref: CO/PMSD/2017/00063 This document replaces: Annex OMP 3-B Issue 4 dated 08/12/16

21 Record of changes Date Issue Changes 19/05/ Incorporation of document reference CO/200/624/0/7 of 1 August 2001 as annex to the OMP 3 text revised to take account of the Programme Board Concept. 01/07/06 2 Converted to the OCCAR-EA graphical house style. 10/06/14 3 Overall structure modification and major revision taking into account all stakeholder inputs. 08/12/16 4 Introduction of the role of the BoS Chairperson and of the BoS members in the OCCAR whistle blowing policy. 27/01/ Minor amendment to include Flowchart as Appendix OMP3-B-1. Table of Contents 1. Composition and Chair Tasks Meetings Assembly, Location and Secretariat Agenda Languages Proceedings BoS Decisions In-Committee Ex-Committee Record of Meetings The role of the BoS Chairperson and of the BoS members in the OCCAR whistleblowing policy If the allegation is not related to a Programme If the allegation is related to a Programme: Final Provisions Related Templates Appendices... 9 Appendix OMP 3-B-1 Flowchart Whistleblowing Policy Annex OMP 3-B_BoS Rules of Procedure_Issue4.1_INT_ Page 2 of 10

22 1. Composition and Chair The representatives of the Member States in the BoS are the Ministers of Defence or their Delegates. Each delegation shall be issued by the Minister of Defence or his / her duly authorised representative in writing and provided to the other representatives and to OCCAR-EA. OCCAR-EA will act as the depository of such delegations. The BoS shall elect from amongst its members a chairperson who shall serve for a term of one year, renewable only once. 2. Tasks The BoS, whose composition and functions are determined in Chapter IV of the OCCAR Convention, directs and supervises OCCAR-EA and all OCCAR Committees and decides on all matters concerning the implementation of the OCCAR Convention. The tasks of the BoS are inter alia to: Define, with the support of the FTPC and the Director of OCCAR-EA, the OCCAR Mission, Vision, Values and Strategy; Approve all OCCAR Management Procedures (OMPs); Decide upon any deviation from OCCAR rules and regulations; Decide upon Programme s integration into OCCAR; Approve the OCCAR Business Plan; Approve the OCCAR-EA Administrative and Operational Budgets in accordance with the OCCAR financial regulations; Approve the end of year Financial Statement; Take note of the OCCAR-EA Corporate Reports addressed to it; Decide upon the OCCAR-EA Director s recommendations resulting from the above reports; Decide, in consultation, where appropriate, with the non-member Participating States, upon all requests for Observer Status for OCCAR managed Programmes and all requests to observe OCCAR business coming from prospective members, in accordance with the policy set out at Annex OMP 3-A; Decide, in consultation, where appropriate, with the non-member Participating States, upon the establishment or dissolution of OCCAR Committees. 3. Meetings Except where the BoS is convening as a Programme Board, meetings will be considered valid only when all Member States are represented. The BoS shall meet twice a year, and otherwise as required at the request of one or more Member States. Annex OMP 3-B_BoS Rules of Procedure_Issue4.1_INT_ Page 3 of 10

23 The Chairperson may decide, in agreement with the other BoS Members, to modify the date fixed for a meeting. The OCCAR-EA Director will be informed of such a decision. The members of the BoS shall be entitled to be accompanied by staff. The OCCAR-EA Director attends the meeting of the BoS. He may also designate other members of the organisation to attend the meeting. 4. Assembly, Location and Secretariat The Chairperson will convene the BoS meetings, at his initiative, or at the initiative of one or more Member States. The call shall be made with at least 14 days notice. The meetings will usually be held at the location of the Central Office. The BoS can decide to hold the meetings in other locations. The BoS secretariat functions shall be performed by OCCAR-EA. 5. Agenda The Chairperson of the BoS shall establish the provisional Agenda of each session. It will be issued along with other meeting documentation, to each member of the BoS by OCCAR-EA at least 14 days before the beginning of the session. The OCCAR-EA Director will establish the respective appropriate documentation. The Agenda must be confirmed by the BoS at the beginning of each session. With the unanimous agreement of all BoS members, additional points may be added to the Agenda, as required. 6. Languages The BoS may reduce the number of working languages to less than the four official languages. The cost of any linguistic services will be borne by the Member States. 7. Proceedings The Chairperson ensures the correct application of the present rules of procedure as well as correct development of the discussions. 8. BoS Decisions The decision making process will follow the provisions of the OCCAR Convention. It is based on the principles of unanimity, majority of the voting rights or reinforced qualified majority (Article 18 of the OCCAR Convention). As a principle, decisions shall be taken by BoS Members unanimously. However in accordance with Annex IV of the OCCAR Convention, some decisions shall be taken by a reinforced qualified majority, which means that a decision cannot be taken if there are ten voting rights in opposition. Finally, in accordance with Annex IV of the OCCAR Convention, some decisions can also be taken by a majority of the voting rights. All the BoS Decisions, which are the topics subject to vote, must be put precisely in a written form before voting. Annex OMP 3-B_BoS Rules of Procedure_Issue4.1_INT_ Page 4 of 10

24 8.1 In-Committee The BoS carries out a vote at the initiative of its Chairperson or at the initiative of a BoS member. Except where the BoS is convening as a Programme Board, the presence of all BoS members is required for the BoS to carry out a vote. BoS Members shall normally vote by a show of hands. The result of all votes shall be included in the Meeting Records. 8.2 Ex-Committee Whenever deemed appropriate, BoS decisions can be taken ex-committee following the procedure set out at Annex OMP 3-J (section 6, paragraph 2). 9. Record of Meetings Every meeting shall lead to a Decision Sheet approved and signed by all national official representatives normally at the end of the meeting. In the case where a Decision Sheet cannot be approved prior to the end of the meeting, the Decision Sheet should be submitted within 15 days for signature by using the ex-committee approval process. Decision Sheets are prepared by the secretariat. Decision Sheets include, generally, for each point of the agenda: Decisions taken or conclusions adopted by the BoS; Declarations made by the BoS or the ones for which a member of the BoS has requested registration; Action items. Decision Sheets shall be forwarded to relevant Committees and Working Groups. OCCAR-EA shall ensure appropriate communication of decisions and monitoring of resulting actions within OCCAR-EA and Committees. 10. The role of the BoS Chairperson and of the BoS members in the OCCAR whistleblowing policy Where a concern regarding a possible case of fraud, malpractice or bribery is reported to the BoS Chairperson, the latter will order an investigation to check if the allegation is founded. To that end: 10.1 If the allegation is not related to a Programme The BoS Chairperson shall task an investigation team The Investigation Team is composed of 3 investigators chosen among the list of investigator nominees by using Form OMP 3-B-1 Tasking Letter. Annex OMP 3-B_BoS Rules of Procedure_Issue4.1_INT_ Page 5 of 10

25 The list of investigator nominees is established as follows Each BoS member will designate their investigator nominee, which should not be OCCAR-EA staff, and inform OCCAR-EA accordingly. Each BoS member will immediately request from the nominated individuals the signature of a Declaration of Confidentiality (Form OMP 3-B-2) applicable for the duration of their assignment and afterwards. These declarations of confidentiality will be promptly sent to OCCAR-EA for archive. OCCAR-EA will: manage the list of nominees and their respective declaration of confidentiality, request updates every 3 years, and make it available to the BoS Chairperson on request. BoS members shall ensure that nominated individuals are in principle available for that task and that changes in the nominees are reported to OCCAR-EA, as soon as it occurs. Any breach of the obligations under the declaration of confidentiality shall lead to the withdrawn of the concerned investigator from the investigation team. The BoS Chairperson may additionally bring any issue which may require disciplinary action to the attention of the nominee s BoS member. However, it is understood that any decision to bring disciplinary action would remain the decision of the national authority. The falling nominee s BoS member shall replace him/her in the list of investigator nominees as soon as possible and inform OCCAR-EA accordingly. The investigator nominees, whenever appointed, are allowed to access and investigate all OCCAR-EA Sections/Divisions, but will have no access to Programme sensitive information BoS Chair further actions The BoS Chairperson will immediately inform the other BoS members and may inform whomever he considers appropriate in OCCAR-EA, including the Deputy Director (as long as it is compatible with the obligation to protect the confidentiality of the whistleblower if requested). When informing the OCCAR-EA Director, he may use Form OMP 3-B-3 Information Letter. He may also ask for a copy of the initial report of the investigation conducted by the OCCAR-EA Director if it exists. Amongst the 3 investigators chosen in the investigation team, the BoS Chairperson will designate the Lead investigator. The Lead investigator will organise the investigation with the 2 other investigators and plan any investigation activity on site (if possible). Their duty travel costs and subsistence allowances (if any) will be paid from the OCCAR-EA CO Budget in accordance with OCCAR-EA rules in that matter. Annex OMP 3-B_BoS Rules of Procedure_Issue4.1_INT_ Page 6 of 10

26 The outcome of the investigation The outcome of this investigation will be presented in a written report to be submitted directly by regular mail (with the caveats PRIVATE and PERSONAL FOR on the envelope) to the BoS Chairperson who will communicate it to the BoS members in order to decide whether the investigation is sufficient to decide on the case or if further investigations are necessary. The report shall entail a recommendation as to the appropriate disciplinary measures to be taken (if any), as well as an opinion on the necessity (if any) to report to national judicial authorities. When a concern is raised anonymously to the BoS Chair, the investigation team may conclude that the allegation is not sufficiently detailed or that the identity of the whistleblower is necessary to conduct on efficient investigation and recommend not to proceed with to the investigation As a result of the investigation(s), the BoS members will unanimously: when the allegation concerns an OCCAR-EA Staff member or DNE: - decide that the allegation is unfounded: the BoS Chairperson will then inform the OCCAR-EA Director of the outcome and will present to him the report for archive in OCCAR-EA, and The BoS Chairperson may instruct, if agreed by the BoS and on its behalf, the OCCAR-EA Director to take any appropriate action against the Staff member or DNE that has made an allegation frivolously, maliciously or for personal gain, or - decide that the allegation is founded: The BoS Chairperson will then present the original copy of the report to the OCCAR-EA Director for archive in OCCAR-EA, and The BoS Chairperson may, if agreed by the BoS and on its behalf, instruct the OCCAR-EA Director to initiate appropriate disciplinary action against the OCCAR-EA staff member, or instruct him to report to the Nation of origin of the DNE, and The BoS Chairperson will also, on behalf of the BoS, report to the judicial authorities if so recommended by the investigator team (in such event, the Director may preliminary need to waive the Staff member or DNE s immunity of jurisdiction), or - decide that the allegation raised anonymously cannot be processed. Annex OMP 3-B_BoS Rules of Procedure_Issue4.1_INT_ Page 7 of 10

27 when the allegation concerns the OCCAR-EA Director: - decide that the allegation is unfounded: The BoS Chairperson will inform of the outcome whom ever in OCCAR-EA he considers has a need-to-know and present to the OCCAR-EA Legal advisor the original copy report for archive, and The BoS Chairperson may, if agreed by the BoS and on its behalf, instruct the OCCAR-EA Director to take any appropriate action against the employee that has made an allegation frivolously, maliciously or for personal gain, or - decide that the allegation is founded: The BoS Chairperson will then inform of the outcome whom ever in OCCAR-EA he considers has a need-to-know and present to the OCCAR-EA Legal advisor the original copy report for archive; The BoS Chairperson will then, on behalf of the BoS, with if needed the support of the OCCAR-EA Head of Human Resources or, if more appropriate, any CO Head of division implement the disciplinary actions decided by the BoS, and If recommended by the Investigating team, the BoS Chairperson will, on behalf of the BoS, report to the judicial authorities (in such event, the Director s diplomatic immunity of jurisdiction may need to be waived by the BoS in accordance with the OCCAR Convention), or - decide that the allegation raised anonymously cannot be processed If the allegation is related to a Programme: The BoS Chairperson will immediately forward by mail the letter containing the allegation to the Programme Board Chairperson (with the caveats PRIVATE and PERSONAL FOR on the envelop), who will conduct the investigations in accordance with the procedure described in para and to of this Annex but under the PB/PB Chairperson rather than in a BoS/BoS Chairperson leadership. The PB Chairperson should nominate 3 investigators in the Investigator list (referred to in para ) amongst the nominees of the concerned Programme Participating States, or, when impossible, ask for prior PB approval to validate the Investigation team composition. The investigator nominees, whenever appointed, are allowed to access and investigate all concerned programme related documents. The outcome of this investigation will be presented in a written report to be submitted directly by regular mail (with the caveats PRIVATE and PERSONAL FOR on the envelope) to the PB Chairperson who will communicate it to the PB members to evaluate whether the investigation is sufficient to decide on the case or if further investigations are necessary. The report shall entail a recommendation as to the appropriate disciplinary measures to be taken (if any), as well as an opinion on the necessity to report to national judicial authorities (if any). Annex OMP 3-B_BoS Rules of Procedure_Issue4.1_INT_ Page 8 of 10

28 Once the PB members have taken their decision on an unanimous basis, the PB Chairperson will then, in the name and on behalf of the PB members, inform the BoS Chairperson of the outcome and the associated recommended measures to be taken, and submit to him/her the original copy of the report by regular mail (with the caveats PRIVATE and PERSONAL FOR on the envelop). The BoS Chairperson will handle them in accordance with para of this Annex. In a specific Programme where the PB is not formally established, the allegation shall be handled as if it is not related to a Programme in accordance with para of this Annex. 11. Final Provisions The present Rules of Procedure may be amended by BoS decision in accordance with Annex IV of the OCCAR Convention. 12. Related Templates Form OMP3-B-1 Form OMP3-B-2 Form OMP3-B-3 Tasking Letter Declaration of Confidentiality to OCCAR for Investigator Nominees Information Letter 13. Appendices Appendix OMP3-B-1 Flowchart Whisleblowing Policy Annex OMP 3-B_BoS Rules of Procedure_Issue4.1_INT_ Page 9 of 10

29 Appendix OMP 3-B-1 Flowchart Whistleblowing Policy A possible case of fraud, malpractice or bribery is reported to the BoS Chairperson The BoS Chairperson orders an investigation Form OMP3-B-2 Each BoS member has designated its investigator nominee The investigator nominees sign a declaration of confidentiality The BoS Chairperson forward the letter containing the allegation to PB Chairperson YES* The allegation is related to a Programme? NO The BoS Chairperson selects an investigation team (3 investigators) The PB Chairperson conducts the investigation The investigation team reports to the PB Chairperson with recommendations The PB Chairperson informs the BoS Chairperson who handles the measures recommended OMP3 Annex B para The BoS Chairperson designates the lead investigator and tasks the investigation team List of investigator nominees edited and updated every 3 years on a OCCAR-EA request Form OMP 3-B-1 The BoS Chairperson: Informs OCCAR-EA D and presents the report to the OCCAR-EA for archive Instructs OCCAR-EA D to take disciplinary actions based on recommendations of the investigation team and/or reports to judicial authorities YES The allegation concerns OCCAR- EA Director? NO The BoS Chairperson: Informs OCCAR-EA D and presents the report to the OCCAR-EA for archive Instructs OCCAR-EA D to take action towards the whistleblower if malicious allegation The BoS Chairperson: May inform whomever appropriate in OCCAR-EA Informs the BoS members Form OMP3-B-3 The BoS Chairperson: May inform the OCCAR-EA D Informs the BoS members The BoS Chairperson: Informs OCCAR-EA D & presents to him the report Instructs OCCAR-EA D to take action towards the whistleblower if malicious allegation NO The BoS Chairperson: Presents the report to OCCAR-EA LA for archive Take on behalf of the BoS disciplinary measures and/or reports to the Judicial authorities Allegation founded? If the allegation concerns the Director YES NO Allegation founded? If the allegation concerns an OCCAR-EA Employee YES The Investigation Team (under resp. of the Lead Investigator) plans investigation activities NO The Investigation Team writes a report and sends it to the BoS Chairperson, who communicates it to BoS members The BoS considers the investigation is sufficient? YES The Investigation Team (under resp. of the Lead Investigator) liaises with the OCCAR-EA D to plan investigation activities The report shall contain: Opinion on the capacity to process with the allegation (when raised anonymously) Recommendation for appropriate disciplinary measures Opinion on the necessity to report to national judicial authorities *In the case a PD has not a PB yet, the situation the allegation is not related to a programme applies Annex OMP 3-B_BoS Rules of Procedure_Issue4.1_INT_ Page 10 of 10

30 OCCAR OCCAR-EA OCCAR Management Procedure Title: Future Tasks and Policy Committee Terms of Reference Number: Annex C to OMP 3 Date: 10/06/14 Computer Ref: OMP 3-C_Future Tasks and Policy Committee_ToRs_Issue5_ docx Current status: Issue 5 Contact address: Central Office, OCCAR-EA Bonn questions@occar.int Approved for issue: This document replaces: Annex OMP 3-C, issue 4 dated 09/12/08

31 Record of changes Date Issue Changes 19/05/ Incorporation of document BoS 10/E dated 07/ as annex to the OMP 3. Amendments to paragraphs 3,7, 8 and 9. Editorial changes. 01/07/06 2 Converted to the OCCAR-EA graphical house style. 08/12/06 3 Complete revision by FTPC. 09/12/08 4 Description of the relationship with the ISS Committee. Minor cosmetic changes. Approved by 19 th BoS on 28/11/08. 10/06/14 5 Overall structure modification and major revision taking into account all stakeholder inputs. Table of Contents 1. General Tasks Specific Delegations from the BoS Other... 4 OMP 3-C_Future Tasks and Policy Committee_ToRs_Issue5_INT docx - Page 2 of 4

32 1. General In accordance with Articles 12 and 17 of the OCCAR Convention, the FTPC is established by the OCCAR Board of Supervisors (BoS) to advise and assist the BoS in the achievement of its functions in the areas of business and corporate management, policy and future tasks. Future tasks comprise mainly programmes (including Technology Demonstrator Programmes (TDPs)) not yet integrated into OCCAR. 2. Tasks 2.1 The BoS has overall responsibility for establishing the business objectives and targets of OCCAR and for the strategic direction and control of OCCAR s activities. The FTPC is authorised, subject to the powers delegated to it, and subject to it reporting its decisions to the next available meeting of the BoS, to take such steps on behalf of the BoS as it considers necessary to further the strategy, business objectives and targets established by the BoS, in all regards taking into account the responsibilities and delegated powers of the OCCAR-EA Director. The latter may, whatever action or decision taken by the FTPC, reserve the right to directly refer any case or issue to the BoS for discussion or decision. 2.2 Within the authorities delegated to it by the BoS, the tasks of the FTPC are inter alia to: Exercise corporate oversight of OCCAR; monitor its effectiveness, performance and development and make recommendations to the BoS as necessary; Actively supervise the development, implementation and successful execution of the BoS strategies, policies, procedures and other matters, the principles or policies of which have been specifically approved by the BoS. In particular, this item covers matters linked to the general management of all Programmes (corporate level matters, topics relevant to all programmes, etc.); Recommend objectives and strategies to the BoS in the development of OCCAR business, identifying potentially difficult issues and developing corporate risk mitigations and solutions, having regard to the interests of its customers, employees and stakeholders; Recommend direction and provide feedback to the BoS regarding policy priorities and OCCAR-EA Corporate Strategy items; Assist OCCAR-EA in the development and implementation of the OCCAR Corporate Strategy (including the Vision, Mission and Values) and Business Plan; Receive and consider regular reports from OCCAR-EA so as to monitor and ensure improvements are driven through; Clear all papers on topics which are not assigned to other committees (allowing for minor exceptions arising only as a result of practical difficulties) intended for consideration by the BoS in advance of circulation and make recommendations to the BoS if required; Investigate and pursue the opportunities for new programmes (including TDPs as well as other activities as defined in OMP 2 and COTS / MOTS) to be assigned to OCCAR-EA and submit proposals to the BoS accordingly; OMP 3-C_Future Tasks and Policy Committee_ToRs_Issue5_INT docx - Page 3 of 4

33 Assess and keep under review the adequacy of external reporting arrangements and the corporate effectiveness of internal control systems and risk management; Assess the need for change to the organisational structure of the OCCAR-EA Central Office outside of the scope of the authority delegated to the OCCAR-EA Director; Assist OCCAR-EA in establishing and maintaining an effective system of learning from experience and change management; Support, in accordance with its Terms of Reference, the BoS in its decisionmaking process; Note the OCCAR-EA corporate reports addressed to it; Express a view on decisions envisaged by the OCCAR-EA Director at his request and decide upon recommendations from the OCCAR-EA Director in accordance with its terms of reference; Liaise with the TLM Committee for close coordination of all policy aspects of the Through Life Management approach of OCCAR; Prepare the agenda of each BoS meeting as well as the decisions to be taken. 3. Specific Delegations from the BoS In addition to delegations set out in the OMPs and in specific BoS decisions, in undertaking the above tasks, the FTPC is authorised to take decisions on issues within its competence and which have not been delegated to the OCCAR-EA Director. This includes but is not limited to: Approval of business initiatives; Annual pay scales & allowances; Minor amendments to OMPs; Extensions of Central Office Heads of Division staff contracts; Minor changes to the CO organisational structure; Other matters as delegated by the BoS. The FTPC cannot take policy decisions or decisions within the ambit of other OCCAR Committees or related to a specific Programme or Programmes. Decisions taken by the FTPC must be unanimous; if unanimity is not found then the issue must be referred to the BoS. 4. Other The Chairperson of the FTPC must come from the same Member State as the Chairperson of the BoS. OMP 3-C_Future Tasks and Policy Committee_ToRs_Issue5_INT docx - Page 4 of 4

34 OCCAR OCCAR Management Procedure Title: Finance Committee Terms of Reference Number: Annex D to OMP 3 Date: 10/06/14 Computer Ref: OMP 3-D_Finance Committee ToRs_Issue3_ docx Current status: Issue 3 Contact address: Central Office, OCCAR-EA Bonn questions@occar.int Approved for issue: This document replaces: Annex D to OMP 3 dated 08/09/06

35 Record of changes Date Issue Changes 19/05/ /09/ /06/14 3 Incorporation of OCCAR Finance Committee Terms of Reference - issue 2 of 5 November 2003, as annex to the OMP 3. Amendments to paragraph 2, paragraph 6 and the annex. Editorial changes Additional reference to OMP 10, under the second bullet of paragraph 5 tasks - Converted to the OCCAR-EA graphical house style. Overall structure modification and major revision taking into account all stakeholder inputs. Table of Contents 1. General Tasks Other... 3 OMP 3-D_Finance Committee ToRs_Issue3_INT docx - Page 2 of 3

36 1. General The Finance Committee shall advise the Board of Supervisors (or any other Committee established by the BoS) on financial matters relating to the operation of OCCAR and decide on any matter delegated to it. The Committee is established in accordance with Articles 12 and 17 of the OCCAR Convention. 2. Tasks Within the authorities delegated to it by the BoS, the tasks of the FC are inter alia to: Monitor on behalf of the BoS the operation and effectiveness of OCCAR-EA's financial and related risk management and especially to: o o o o Make recommendations to the BoS on financial and related risk management; Oversee and screen the financial elements of the Business Plan; Advise the BoS on Budget proposals submitted by the OCCAR-EA Director; Advise the BoS on the results of external audits of OCCAR, covering financial issues and on OCCAR-EA s implementation of audit recommendations, consulting with the Auditors, as necessary. Decide on matters delegated by the BoS (see in particular OMP 10); Propose to the BoS the general policies on OCCAR financial matters such as: o o o Financial Rules, Procedures and documents at BoS level and ensuring that the associated accounting and operating instructions are consistent with them; Financial policy, estimating and budgeting (short, medium and long term forecasts), accounting and payments, financial control and reporting, and sharing of contributions; Financial audit policies and strategies (e.g. concerning performance auditing and the implementation of Article 47 of the OCCAR Convention). Act as a forum for exchanging information on financial matters and learning from experience; Provide guidance and advice to OCCAR-EA on the consideration and implementation of financial issues; Arrange national expertise to assist OCCAR-EA on specific matters (e.g. taxation, accounting or forecasting methodologies). 3. Other The Chairperson of the FC must come from a different Member State than the Chairperson of the BoS. OMP 3-D_Finance Committee ToRs_Issue3_INT docx - Page 3 of 3

37 OCCAR OCCAR Management Procedure Title: Security Committee Terms of Reference Number: Annex E to OMP 3 Date: 08/06/16 Computer Ref: OMP 3-E_Security Committee ToRs Issue 5_ Current status: Issue 5 Contact address: Central Office, OCCAR-EA Bonn questions@occar.int Approved for issue OCCAR File Ref: CO/BDSPRO/2016/00083 This document replaces: Annex E to OMP 3 issue 4 dated 11/09/13

38 Record of changes Date Issue Changes Incorporation of Security Terms of Reference (final version 19/05/ dated 22 March 2002 as approved by BoS on 5 December 2002) as annex to the OMP 3 Editorial changes in paragraphs 3 and 10 01/07/06 2 Converted to the OCCAR-EA graphical house style. 09/12/08 3 Revision tasked by BoS, during 17 th BoS meeting on 04/12/07. Revised to take into account the revision of OMP12. Approved by BoS Ex-Committee (02/08). 11/09/13 4 Major review draft 3 08/06/16 5 Major revision to incorporate the revised SC Terms of Reference. Table of Contents 1. General Tasks Other... 3 OMP 3-E_Security Committee ToRs Issue 5_INT_ Page 2 of 3

39 1. General The Security Committee is established in accordance with Article 7 of the OCCAR Security Agreement to consider all aspects of security of Classified Information related to OCCAR. The Principles and Minimum Standards of Security for the Protection of that Classified Information are defined in the OCCAR Security Agreement and further developed in the OCCAR Security Regulations. 2. Tasks a. Ensure that OCCAR Security Regulations adopted in accordance with Articles 12(g) and 42 of the OCCAR Convention are in compliance with the provisions of the OCCAR Security Agreement. b. Endorse Security Agreements or Arrangements with non OCCAR Member States and International Organisations and provide guidance to OCCAR-EA on the negotiation of such Agreements or Arrangements. c. Propose to the BoS, the security policy on the protection of Classified Information, in particular the requirements in OMP 11. d. Consider all questions that arise concerning the protection of Classified Information related to OCCAR. e. Decide on all matters of security affecting the principles and minimum standards of security for the protection of OCCAR Classified Information delegated by a Member State, the BoS, or the OCCAR-EA Director, in particular in respect of the provisions in OMP Other The SC shall be composed of representatives of the NSA s/dsa s of the Member States as stipulated in Article 7 of the OCCAR Security Agreement. OMP 3-E_Security Committee ToRs Issue 5_INT_ Page 3 of 3

40 OCCAR OCCAR Management Procedure Title: OCCAR-EA Director Terms of Reference Number: Annex F to OMP 3 Date: 10/06/14 Computer Ref: OMP 3-F_OCCAR-EA Director ToRs_Issue3_ docx Current status: Issue 3 Contact address: Central Office, OCCAR-EA Bonn questions@occar.int Approved for issue: This document replaces: Annex F to OMP 3 Issue 2 dated 08/09/06

41 Record of changes Date Issue Changes 19/05/ Incorporation of OCCAR-EA Director Terms of Reference (First Revise dated October 2003) as annex to the OMP 3 revision of text to incorporate the Programme Board concept 08/09/06 2 Incorporation in paragraphs 9 financial matters and 18 other delegation matters of slight modifications to make these paragraphs fully consistent with the provisions of OMP 10 issue 1 - Converted to the OCCAR-EA graphical house style. 10/06/14 3 Overall structure modification and major revision taking into account all stakeholder inputs. Table of Contents 1. General Tasks Support to the OCCAR-EA Director and Sub-Delegations Detailed Responsibilities of the OCCAR-EA Director Attendance at Meetings Amendments Acceptance by the OCCAR-EA Director... 9 OMP 3-F_OCCAR-EA Director ToRs_Issue3_INT docx Page 2 of 9

42 1. General According to Article 21 of the OCCAR Convention, these Terms of Reference define the responsibilities and accountability of the OCCAR-EA Director, as approved by the Board of Supervisors. The OCCAR-EA Director shall be appointed by the BoS for a period of three years. The appointment can be renewed once for a maximum of a further three years. Furthermore the appointment can be annulled by the BoS. All appointments, renewals and annulations shall be decided in accordance with Annex IV of the OCCAR Convention. For the duration of the appointment, the OCCAR-EA Director is directly responsible and personally accountable to the BoS for all activities within, and for the operation of, the EA, and for the implementation of decisions made by the BoS. 2. Tasks The tasks of the OCCAR-EA Director are inter alia to: a. Management and Legal Manage the OCCAR-EA in an efficient, effective and timely manner to meet the objectives specified by the BoS. This responsibility includes the implementation of an effective management control system; Apply the provisions contained in the OCCAR Convention and any other agreements or decisions governing the activities of the OCCAR-EA; Exercise the legal authority as delegated to him / her by these ToRs. The BoS also reserves the right under Article 41 of the OCCAR Convention to delegate further legal authority on a case by case basis; Ensure that the OCCAR-EA adheres to prevailing relevant national and international laws, rules and regulations; Decide whether to provide information regarding OCCAR Business to Nations that have not expressed an aspiration to join OCCAR or an OCCAR Programme, such a decision being limited to the provision of relevant information and / or the granting of permission to attend relevant OCCAR-EA meetings. b. Programme Management Ensure that Programme objectives are met, pursuant to his overall responsibility for the operation of the OCCAR-EA, according to Article 21 of the OCCAR Convention; Be personally and directly accountable to the BoS for the overall management of all OCCAR Programmes in accordance with OMP 1; Be personally and directly accountable to the relevant PB for the effective and efficient management of matters strictly related to individual OCCAR Programmes in accordance with OMP 1; Seek and propose to the BoS, in accordance with OMP 1 and OMP 2, opportunities for new co-operative Programmes (including TDPs) between the OCCAR Member States, which may also include non- Member States, for possible management by OCCAR-EA. c. Business Planning & Reporting Prepare and develop the OCCAR Strategy, the OCCAR Mission Statement, the Strategic Aims and the annual Business Plan, and to submit them to the BoS for approval and to implement them subsequently; OMP 3-F_OCCAR-EA Director ToRs_Issue3_INT docx Page 3 of 9

43 Submit reports in accordance with the OCCAR Reporting System and against the OCCAR Business Plan, and on a case by case basis upon BoS request; Update every year the OCCAR Business Plan for BoS approval; Approve the Programme Management Plans; Issue the Corporate and Programme reports to the BoS, respective PBs and / or appropriate Committees. d. Finance and Audit Prepare and submit financial documents to the BoS, relevant Boards and Committees as appropriate, for approval in accordance with the financial regulations (Administrative and Operational Budgets, financial reports, Forecasts of Outturn and Financial Statements); Manage funding and expenditure in the most effective manner in accordance with the financial regulations and within BoS and PB decisions and authorised budgets; Establish and maintain proper control, ensuring propriety and regularity, prevention of fraud or corruption and reporting to the BoS or any delegated body any irregularities. e. Personnel and Working Environment Recommend, to the BoS or the respective PB for their approval, appointment of candidates for the posts of all Heads of Division and Programme Managers, following a selection process; Select all other OCCAR-EA staff from candidates proposed by the Nations or appropriately qualified external candidates after endorsement by Nations; Sign contracts for all selected staff; Issue to the BoS staff lists of OCCAR-EA (Article 16 of the OCCAR Convention); Prepare efficiency reports for personnel evaluation; Be responsible, as an employer, for the adherence to sanitary, health and safety, and working environment and other personnel related legislation and regulations; Be accountable for the effective and legitimate use, for the benefit of OCCAR, of the taxes paid by OCCAR staff on salaries and emoluments paid by OCCAR (Article 17 in Annex I of the OCCAR Convention). 3. Support to the OCCAR-EA Director and Sub-Delegations The Director is supported by a Deputy, designated by the BoS, who is authorised to substitute fully for him in his absence. This authority is to be sub-delegated by the Director in writing and on a personal basis. To this end, the OCCAR-EA Director will consult with and inform the Deputy on all matters of significance. In the event of the absence of the OCCAR-EA Director and Deputy concurrently, the OCCAR-EA Director shall delegate his authority as described in this ToR, but only for emergency matters to nominated individuals in writing. The OCCAR-EA Director is entitled to sub-delegate, to the fullest extent possible, authority further within OCCAR-EA. Such delegations should be made in writing and on a personal basis. 4. Detailed Responsibilities of the OCCAR-EA Director 4.1 BoS Delegation of Authority The OCCAR-EA Director will be personally accountable to the BoS for the exercise of his delegated authority, for all activities within the OCCAR-EA including the OMP 3-F_OCCAR-EA Director ToRs_Issue3_INT docx Page 4 of 9

44 Programme Divisions, and for interactions with organisations external to OCCAR. This accountability for actions undertaken during his tenure will continue after the end of his appointment according to applicable legislation as determined by the BoS on a case by case basis. 4.2 Relationship with the Programme Committees Progress towards individual programme objectives will be overseen by the relevant Programme Committee. The OCCAR-EA Director will work with the Programme Committees to ensure OCCAR-EA general and Programme specific objectives are achieved. Any matter that cannot be resolved by OCCAR-EA and by the relevant Programme Committee should be referred to the BoS or the relevant PB. 4.3 OCCAR Management Procedures The OCCAR-EA Director is responsible for ensuring that the OMPs are reviewed, updated, and promulgated on a regular basis. 4.4 Programme Decisions The OCCAR-EA Director is responsible for co-ordinating the preparation of Programme Decisions to ensure that OCCAR Programmes, once integrated, are managed in the most efficient and effective manner in accordance with both the founding principles of OCCAR and its management procedures. In seeking approval from the PB, the OCCAR-EA Director shall provide them his perspective on the proposed document, including adherence to the appropriate rules, principles and HLOs. OMP 2 describes precisely the preparation process of Programme Decisions. 4.5 Financial Matters The OCCAR-EA Director holds overall responsibility for financial planning, budgeting, in-year management and accounting. a. Financial Documentation The OCCAR-EA Director is responsible to: Prepare annually Administrative and Operational Budgets and Plans in accordance with OCCAR financial regulations; Ensure that Nations have visibility of the financial implications of multi-year contractual commitments; Issue, to Nations, in a timely manner, reports of actual and forecast expenditure in accordance with OCCAR financial regulations; Submit annual accounts / Financial Statements to the Board of Auditors and submitting the subsequent Board of Auditor s report, including the assessment and evaluation by OCCAR-EA, to the BoS for approval, in accordance with OCCAR financial regulations. b. Management of Funds The OCCAR-EA Director has full authority to commit Administrative and Operational Budget funds to deliver OCCAR Programmes / operations, providing: It is in accordance with the appropriate Programme Decision; OMP 3-F_OCCAR-EA Director ToRs_Issue3_INT docx Page 5 of 9

45 The necessary BoS approval for the Administrative Budget expenditure and PC or PB approval for the Operational Budget expenditure has been obtained; He has assured himself that commitments / expenditure complies with OCCAR s financial regulations; The commitments can be contained within approved Budgets, Financial Plans and Programme Decisions; He has assured himself that the proposed contractual commitments comply with OCCAR contractual and procurement rules and procedures; He ensures that payments for OCCAR Programmes are contained within the in-year relevant budget allocations. The OCCAR-EA Director is responsible for providing forecasts of expenditure to support OCCAR-EA s in-year financial management and call for funds. The OCCAR-EA Director, in accordance with his overall objective to keep Programmes on track, must ensure with Nations that: Adequate funds are available to meet all contractual commitments; Appropriate proposals are made to Nations to solve any arising problems. The OCCAR-EA Director must inform the BoS or PB at the earliest opportunity if difficulties arise or are likely to arise in containing expenditures within the relevant Budget, Financial Plan or Programme Decision. c. Financial Integrity of OCCAR The OCCAR-EA Director is responsible for: The financial integrity of OCCAR in accordance with the OCCAR financial regulations, and should seek advice of his Head of Finance Division on all commitments and expenditure proposals, which should be scrutinised in a manner expected by the BoS and the Programme Committees; The efficient and economical management of the assets necessary to discharge his agreed responsibilities; Ensuring that there are adequate procedures in place to protect against fraud and theft and to safeguard cash balances, equipment or assets of any kind (including those owned by OCCAR or the Member States but held at contractors works) within his management authority; The Director is authorised to write off losses (cash losses, constructive losses, fruitless payments and stores losses) in accordance with OCCAR financial regulations. 4.6 Contractual Matters The contractual authority for OCCAR contracts is the OCCAR-EA Director. He therefore has full authority and accountability for signing all contracts placed by OCCAR-EA including all amendments; OMP 3-F_OCCAR-EA Director ToRs_Issue3_INT docx Page 6 of 9

46 The OCCAR-EA Director may sub-delegate the management and signature of some contracts. Such delegation should be made in writing. Any sub-delegation that the Director makes should preserve the distinction between contractual authority and financial authority; The OCCAR-EA Director has full authority to enter into Administrative Budget related contracts. For Programme contracts, depending on his level of delegation (as decided in the Programme Decision), the OCCAR-EA Director may need to seek approval of the relevant Programme Committee before signing major programme contracts; The OCCAR-EA Director should seek advice of his relevant commercial staff on all contractual decisions to ensure that the commercial propriety of all contractual commitments is in accordance with the contractual rules and regulations. 4.7 Safety and Quality of Procured Equipment The OCCAR-EA Director is responsible for ensuring that all equipment contracts let by OCCAR include quality and safety provisions which meet the requirements of the Participating States; In exercising this responsibility he must ensure that all tasks have been defined, responsibilities assigned and, where appropriate, authorities delegated; The OCCAR-EA Director should request advice from appropriate national authorities on safety and quality matters. Unresolved issues are to be referred to the BoS. 4.8 Health & Safety The OCCAR-EA Director is responsible for health and safety matters throughout OCCAR-EA and will need to consult relevant national authorities to determine the specific requirements. 4.9 Personnel The OCCAR-EA Director has the authority to manage the Executive Administration and its staff within the limits set out in the OCCAR Convention, the approved OMPs, the OCCAR Personnel Regulations, and the approved organisational structures. As delegated by the BoS and the FTPC, the OCCAR-EA Director, whilst working within the agreed structure and administrative budget, can manage changes to the Central Office, or sites, in terms of fine tuning the grading of posts and job descriptions in order to most efficiently deliver the business needs of OCCAR. Any proposed increases or decreases to post numbers will be subject to the approval of the FTPC or BoS through the annual planning cycle. When considering, or proposing changes within the Programme Divisions, the OCCAR-EA Director will take into account the views of the Programme Managers and the directives of the Programme Committees Personnel management The OCCAR-EA Director shall ensure that the systems and processes for the provision, management, development and appraisal of staff are in accordance with OCCAR Personnel Regulations and any relevant national regulations and that all personnel related functions are exercised in a manner which conforms to European OMP 3-F_OCCAR-EA Director ToRs_Issue3_INT docx Page 7 of 9

47 regulations on equal opportunities, race relations, and other similar legislation (in accordance with the OCCAR Personnel Regulations, the OCCAR-EA Director should consult with the OCCAR Staff Committee where appropriate on personnel issues) Sensitive Information The OCCAR-EA Director is responsible for ensuring the protection of Sensitive Information, whether such information is originated within OCCAR-EA or is received from OCCAR Participating States or from non-occar sources Classified information The OCCAR-EA Director is responsible for ensuring protection of classified information generated by or transmitted to OCCAR-EA. He will issue appropriate internal security instructions to be applied by OCCAR-EA in accordance with the OCCAR Security Regulations National Secretariat Considerations In exercising his responsibilities, the OCCAR-EA Director: Must keep himself aware of the political context in which he is operating; Is responsible for the accuracy of information provided to the BoS, Programme Committees or other national staff in response to national parliamentary enquiries Other delegation matters. The delegations contained within these ToR or in OMPs are designed to provide the OCCAR-EA Director with the necessary authority to deliver the programmes managed by OCCAR-EA. If a subject is not covered by the delegations, then the OCCAR-EA Director shall inform the BoS or the FTPC where appropriate. Otherwise, the BoS expects him to ensure the availability and accuracy of information necessary to monitor and manage the overall performance of the organisation, as well as to make proposals if he considers they might improve the operation of the delegations contained in these ToRs or the organisation as a whole; In the event of an urgent requirement or action which requires the BoS to be informed or requires their advice, the OCCAR-EA Director shall notify the BoS of his intended course of action and may request any contrary advice or instructions to be provided by a given timescale. 5. Attendance at Meetings The OCCAR-EA Director is entitled to attend meetings of the BoS (Article 15 of the OCCAR Convention), the PBs and the Committees. 6. Amendments These ToR may be amended by the BoS as and when necessary. OMP 3-F_OCCAR-EA Director ToRs_Issue3_INT docx Page 8 of 9

48 7. Acceptance by the OCCAR-EA Director The BoS will normally provide the OCCAR-EA Director with a Mission Letter detailing his personal objectives. In addition, the present ToR shall be an integral part of the OCCAR-EA Director s personal contract. OMP 3-F_OCCAR-EA Director ToRs_Issue3_INT docx Page 9 of 9

49 OCCAR OCCAR-EA OCCAR Management Procedure Title: Organisational Structure of OCCAR-EA Number: Annex G to OMP 3 Date: 21/10/16 Computer Ref: OMP 3-G_Organisational Structure of OCCAR- EA_Issue3_ Current status: Issue 3 Contact address: Central Office, OCCAR-EA Bonn questions@occar.int Approved for issue: OCCAR File Ref: CO/PMSD/2016/00197 This document replaces: Annex G to OMP 3 Issue 2 dated 10/06/14

50 Record of changes Date Issue Changes 09/12/08 1 Initial Issue. Approved by 19 th BoS on 28/11/08 10/06/14 2 Overall structure modification and major revision taking into account all stakeholder inputs. 21/10/16 3 Update of the OCCAR-EA Organisational Chart to include new Programmes. Minor change approved by 46 th FTPC on 21/10/16. Table of Contents 1. Purpose OCCAR-EA General Organisation OCCAR-EA Director OCCAR-EA Deputy Director Organisational Structure and Mission of the Central Office General Business Development, Strategy, Planning & Reporting Office Programme Management Support Division Human Resources Division Finance Division Corporate Support Division Programme Division Organisation Changes to the Central Office and Site Organisational Structures... 6 OMP 3-G_Organisational Structure of OCCAR-EA_Issue3_INT_ Page 2 of 6

51 1. Purpose The purpose of this annex is to provide a general overview of the organisational structure of OCCAR-EA and the mission of its entities. 2. OCCAR-EA General Organisation The structure of OCCAR-EA is set out in Chapter V of the OCCAR Convention. OCCAR-EA comprises a Central Office and Programme Divisions. The Programme Divisions are headed by Programme Managers and are not necessarily co-located with the Central Office. When Programme Divisions are geographically separated from the Central Office for programme-specific reasons, each site will be supported by a Site Manager. 3. OCCAR-EA Director Figure 1: OCCAR-EA organisational chart The OCCAR-EA Director is directly responsible to the BoS for the operation of OCCAR-EA. The OCCAR-EA Director s Terms of Reference are set out at Annex OMP3-F. 4. OCCAR-EA Deputy Director The OCCAR-EA Director is supported by the OCCAR-EA Deputy Director, who is authorised to substitute fully for him in his absence. OMP 3-G_Organisational Structure of OCCAR-EA_Issue3_INT_ Page 3 of 6