Update on Safety Management (DP/8) February 2016 Michiel Vreedenburgh Chief Aviation Safety Implementation Planning & Support Air Navigation Bureau ICAO

Overview 2 nd High-level Safety Conference 2015 (HLSC 2015) Annex 19, Amendment 1 Global Aviation Safety Plan (GASP) update USOAP update ICAO Safety Management Training Supporting guidance material Sharing of best practices 7 December 20152

Second High-level Safety Conference HLSC Declaration and Recommendations – Montreal Declaration on Planning for Aviation Safety Improvement – Conclusions and Recommendations 7 December

Some of the HLSC 2015 Outcomes Enhancing State Safety Programmes (SSP) provisions – Enhancements to State safety programme (SSP) provisions should support States’ efforts to meet the Global Aviation Safety Plan (GASP) objectives, incorporating the integration of the eight critical elements of a safety oversight system with the SSP framework in a way that allows States to gain the maturity needed at each step to achieve sustainable improved performance. ICAO, in considering the integration of the eight critical elements of a State safety oversight system and the eleven elements of the State safety programme (SSP) framework, should ensure that the eight critical elements remain visible and that their role as the foundation of the SSP is emphasized 7 December 20154

Some of the HLSC 2015 Outcomes Implementing State Safety Programmes (SSP) – The implementation of the State safety oversight system and State safety programme (SSP) should be monitored to determine the progress attained towards the Global Aviation Safety Plan (GASP) objectives States should use the ICAO State safety programme (SSP) gap analysis tool and Universal Safety Oversight Audit Programme (USOAP) self-assessment to facilitate the monitoring and implementation of SSP – Safety performance indicators (SPIs) are needed to enable States to monitor and measure performance ICAO should improve and harmonize the defined safety performance indicators (SPIs) taking into account those currently in use – Additional guidance and sharing of experiences are necessary for States to further develop and implement SSPs ICAO should develop guidance and mechanisms for sharing best practices to support SSP implementation. 7 December 20155

Some of the HLSC 2015 Outcomes Protection of safety data and safety information – Expeditious progress in ICAO’s work to adopt new and enhanced provisions on the protection of certain accident and incident records and information collected for the purpose of maintaining or improving safety in addition to assistance to States in implementing these new protective frameworks is critical for the improvement of aviation safety That ICAO ensure meaningful and expeditious progress towards the adoption of new and enhanced provisions on the protection of certain accident and incident records, other information collected for the purposes of maintaining or improving safety and its related sources, … That ICAO support States in implementing new and enhanced provisions through a strategy comprised of supporting guidance material, tools and seminars tailored to the needs of each region… That States undertake the necessary legal adjustments to efficiently implement new and enhanced protective frameworks 7 December 20156

Annex 19, Amendment 1 State Letter with proposed amendment package pertaining to safety management issued mid-July 2015 Enhanced provisions for State safety management responsibilities in Chapter 3 that integrate the SSP provisions currently in Attachment A with references to the State safety oversight provisions in Appendix 1 Enhanced provisions for SMS to facilitate implementation Extension of the applicability of SMS to engine and propeller design and manufacturing organizations Upgrade of the guidance material currently found in Attachment B to new Appendix 3 7 December 20157

Annex 19, Amendment 1 Recommended applicability is indicated as November 2018 Guidance material to further support the implementation of Annex 19 is expected to be published no sooner than June 2017 The State letter requested the following: 1.Comments on the proposal; and 2.Confirmation of November 2018 applicability or support for November 2020 applicability including rationale 7 December 20158

Annex 19 - Amendment 1 ANC Preliminary Review Consultation period : ANC Final Review Council Adoption Effective Date Guidance Material published Applicability to be determined by the ICAO Council 7 December June 2015 Mid-July 2015 Mid-Oct Jan2016 Mar2016 July2016 June2017 November 2018 or 2020

GASP Update State Letter AN 6/37-15/76, dated 23 November 2015, sent to States and international organizations for comment Timelines for SSP implementation remain the same Proposed new appendices for a Global Aviation Safety Roadmap and suggested State Safety Performance Indicators (SPIs) Comments to reach ICAO by 23 February 2016 Will be endorsed by the 39 th Session of the ICAO Assembly, to be held in Montreal from 27 Sept – 7 October 2016 States are asked to submit their up-to-date SSP Gap Analysis on iSTARS to allow ICAO to monitor progress. 7 December

USOAP Update New SM-related PQs have been added in each relevant audit area and are posted on the USOAP CMA Online Framework (OLF): ICAO Electronic Bulletin to inform States that: o The launch of the USOAP CMA audits of the new SM-related PQs is postponed to January 2018; o States are expected to continue to complete their self-assessment of the new SM-related PQs on the OLF; and o State may request ICAO to perform an assessment of their SSP using the new SM-related PQs on a confidential and cost recovery basis during o By mid-2017, ICAO will conduct a review to determine any improvements required to the PQs or guidance material 7 December

ICAO Safety Management Training More than 200 safety management training courses were delivered by ICAO between 2006 and 2013 ICAO safety management training put on hold pending an update to reflect the adoption of Annex 19 and the 3 rd edition of the SMM Updated training to use modernized training methods including a blended training approach – Online + Classroom –Online  to deliver homogeneous instruction on safety management –Classroom activity  to provide an opportunity to apply safety management concepts through a case study similar to the one they will face in the workplace 7 December

ICAO Safety Management Training 7 December

ICAO Safety Management Training USD including the 4 CBT modules Same fee for all individuals (CAA inspectors, aviation industry personnel and private individuals) Cost for classroom activity yet to be decided Launch announced on 19 Nov 2015 via ICAO EB 2015/55 For more details: 7 December 2015

Supporting guidance material Safety Management Manual (SMM) (Doc 9859) 4th edition, (estimated publication July 2017) Part I – saleable document containing description of concepts to further describe SARPs translated in all ICAO working languages Part II – web based portion tools that can be updated easily and in a timely manner; ability to provide various examples to support scalability; and examples can be shared in various languages. Challenges: resources required to develop and maintain up-to-date 7 December

Sharing best practices Proposal for ICAO Regional Safety Management Seminars (RSMS) ICAO, States, RASGs and industry organizations to work together to deliver a series of seminars: –Needs analysis to identify priorities for topics to be addressed –Framework for seminar agenda, customizable for audience –Template presentations for each topic to standardize a core message –Identification of specific dates and venues –Teams established for the planning and conduct of specific seminars –Support for identification and travel costs of speakers/moderators –Resources requested for one additional ICAO staff for 3 years to support the coordination required to develop and deliver 10 seminars 7 December

Action The meeting is invited to encourage States to take appropriate measures, based on their USOAP EI score, to progress the implementation of SSP by: performing an SSP gap analysis; developing an SSP implementation plan; prioritizing and actively progressing the resolution of their USOAP deficiencies; and after achieving an EI score of 60 per cent, performing a more detailed SSP self-assessment. 7 December