1. Third AFI Aviation Safety Symposium
Malabo, Equatorial Guinea, 28 June 2016
Amendment No.1 to Annex 19 to the Convention on International Civil Aviation
Presented by: Prosper Zo’o Minto’o
Deputy Regional Director,
ICAO Western and Central African Office
28 June 2016

2. Third AFI Safety Symposium, Malabo, Equatorial Guinea
Overview
Global Aviation Safety Plan (GASP) objectives and timelines
Annex 19 – Historical Background
Amendment 1 to Annex 19
Summary of Changes
Supporting activities
Conclusions
Recommendations
The need for a new Annex
Historical background
2 phases to develop Annex 19
Benefits
28 June 2016
Third AFI Safety Symposium, Malabo, Equatorial Guinea

3. GASP Objectives and Timelines
Endorsed by the 37th Session of the ICAO Assembly (2013)
High-level, policy, planning and implementation document
Guides air transport progress in conjunction with the Global Air Navigation Plan (GANP, Doc 9750)
Defines the means and targets by which ICAO, States and aviation stakeholders can anticipate and efficiently manage air traffic growth while proactively maintaining or increasing safety
All States are expected to continually progress their implementation of State safety programmes as a matter of priority. As the time required for
implementation will vary among States, the near and mid-term objectives indicated in Figure 2 provide global targets reflecting the collective achievements of all States, which will be coordinated through the RASGs at regional level. Attainment of the long-term objective will depend upon each State’s implementation of future air navigation systems.
28 June 2016
Third AFI Safety Symposium, Malabo, Equatorial Guinea

4. Overview of GASP Objectives and Timelines
All States are expected to continually progress their implementation of State safety programmes as a matter of priority. As the time required for
implementation will vary among States, the near and mid-term objectives indicated in Figure 2 provide global targets reflecting the collective achievements of all States, which will be coordinated through the RASGs at regional level. Attainment of the long-term objective will depend upon each State’s implementation of future air navigation systems.
28 June 2016
Third AFI Safety Symposium, Malabo, Equatorial Guinea

5. Need for SM and Its Benefits
Global air traffic is predicted to double in the next 15 years
The GASP sets out a continuous improvement strategy for States to implement over the next 15 years
Transition from a reactive system, to a proactive system
Increased efficiencies with an effective SMS
REACTIVE
Accident and Incident Reports
Resources
Traffic Growth
SMS
PROACTIVE
Allocation of resources based on RISK
Hazard Identification
Risk Management
Trend Analysis
Global air traffic is predicted to double in the next 15 years
It is our collective responsibility to enable the aviation system to realize this growth in a safe and sustainable manner.
The GASP sets out a continuous improvement strategy for States to implement over the next 15 years.
First, through the establishment of effective safety oversight, then to more advanced concepts related to Safety Management, and finally towards predictive risk modelling.
Transition from Reactive to Proactive
Analyzing the conduct of operations to identify potential hazards and assess the associated risks and then to mitigate risks factors before they result in an accident or incident.
Addressing today the risks of tomorrow!
Increased efficiency in many aspects with an effective SMS, such as but not limited to:
More informed decision-making
Safety improvement by reducing the risk
Better resource allocation
Increased efficiencies
Reduced costs
Strong corporate culture
Demonstration of corporate due-diligence

6. Annex 19 - Historical Background
High-level Safety Conference Recommendation 2/5
ICAO should develop, in close collaboration with States, international and national organizations, a new Annex dedicated to safety management responsibilities and processes which would address the safety management responsibilities of States framed under the State Safety Programme (SSP).
The new Safety Management Annex should facilitate the provision of State and air carrier safety information to the travelling public, in addition to specifying the high level safety responsibilities of States.
The ANC agreed to establish the Safety Management Panel (SMP) in 2011
Just before introducing the recommendations of the HLSC 2010, it is important to say a few words on the need of this Annex :
EX: the increasing complexity of the global air transportation system, interrelated aviation activities …. need to assure the safe operation of aircraft,
Annex 19 was developed in response to recommendations regarding the need for an annex dedicated to safety management. The HLSC 2010 ….
28 June 2016
Third AFI Safety Symposium, Malabo, Equatorial Guinea

7. Annex 19 - Historical Background
High-level Safety Conference Recommendation 2/4
Recommended that ICAO establish a multidisciplinary group to progress activities regarding the protection of safety data and safety information.
ICAO Council:
Following the recommendations of the HLSC, the Air Navigation Commission proposed that a multidisciplinary taskforce be formed to conduct this work and that the Secretariat prepare the terms of reference. The Council agreed with these proposals.
In December 2010, the ANC approved the establishment of the Safety Information Protection (SIP) Task Force
28 June 2016
Third AFI Safety Symposium, Malabo, Equatorial Guinea

8. Two-Phase Approach to develop Annex 19
ANC recommended and Council accepted that Annex 19 be developed in 2 phases :
First phase focused on the consolidation of the existing Standards and Recommended Practices (SARPs) and supporting guidance material
Second phase focused on further development of the Safety Management Annex and supporting guidance material
28 June 2016
Third AFI Safety Symposium, Malabo, Equatorial Guinea

9. Third AFI Safety Symposium, Malabo, Equatorial Guinea
Annex 19 - Phase 1
Adopted by the Council
25 February 2013
Became effective
15 July 2013
Became applicable
14 November 2013
In response to High-level Safety Conference 2010 (HLSC/2010) Recommendation 2/5, the ICAO Council supported a two-phased approach for the creation of a new safety management Annex:
a) the first phase to consolidate existing and overarching Standards and Recommended Practices (SARPS), currently contained in as many as six different Annexes, into asingle new Annex; and
b) the second phase for the development of new safety management provisions.
28 June 2016
Third AFI Safety Symposium, Malabo, Equatorial Guinea

10. Annex 19 - Implementation
Third Edition, Doc 9859, was published on 8 May 2013
Restructured according to the SSP and SMS Frameworks (Annex 19)
Contains detailed guidance and tools for SSP and SMS implementation
ICAO Safety Management Website:
ICAO Safety Management I-Kit
Regional Aviation Safety Groups
The SMM has been restructured according to the SSP and SMS frameworks and includes detailed guidance and tools developed for SSP and SMS implementation. ICAO has given a high priority to the finalization and translation of this document.
Further information is available on the Safety Management website.
The ICAO
The regional aviation safety groups (RASGs) have been invited to identify activities in support of ICAO’s roll-out plan and the effective and continuing implementation of SMS and SSP provisions. safety management training material is being updated to reflect the third edition of the SMM, the first edition of Annex 19 and the latest safety management developments.
Compliance to all applicable SARPs remains the foundation on which State safety programmes are established. The concepts of performance or risk management in Annex 19 do not absolve the States from complying with the existing provisions in other Annexes, which remains fundamental to aviation safety.
28 June 2016
Third AFI Safety Symposium, Malabo, Equatorial Guinea

11. Third AFI Safety Symposium, Malabo, Equatorial Guinea
Amendment 1 To Annex 19
 The first amendment to Annex 19 — Safety Management was adopted by the ICAO Council on 2 March 2016 and will become effective on 11 July 2016 with an applicability date of 7 November 2019.
State letter AN 8/3.1-16/16, dated 4 April 2016 provides the contents of the amendment.  
28 June 2016
Third AFI Safety Symposium, Malabo, Equatorial Guinea

12. Amendment 1 to Annex 19
Integration of the State safety oversight (SSO) system critical elements (CEs) with the State safety programme (SSP) provisions which are upgraded from the SSP framework in Attachment A.
Enhancement of safety management system (SMS) provisions to support uniform implementation, including the extension of an SMS to organizations responsible for the type design and/or manufacture of engines and propellers
Protection of safety data, safety information and related sources
Upgrading Attachment B of Annex 19 to the status of an Appendix
Safety data and safety information in voluntary reporting systems are accorded a higher level of protection through a Standard
The protection of safety data and safety information in mandatory reporting systems is reflected in a Recommendation.
New provisions ensure that there is no overlap with the protection provisions in Annexes 6 and 13
1) Integration
Integrates the eight CEs of the SSO system with the SSP framework elements into a streamlined set of SARPs to facilitate implementation.
The integration of provisions related to a State’s safety management responsibilities, elevates the elements of the SSP framework to SARPs.
2) Enhancement
Extends the applicability of SMS to organizations responsible for the type design and manufacture of engines and propellers.
Provides new and amended safety management system (SMS) SARPs to facilitate implementation, including the addition of several explanatory notes.
3) Protection
Elevating Attachment B of Annex 19 to the status of an Appendix that will move the principles of protection from guidance material to SARPs and thus provide greater impetus for their implementation.
Another important element is that safety data and safety information in voluntary reporting systems are accorded a higher level of protection through a Standard to ensure their continued availability and greater uniformity among States.
The protection of safety data and safety information in mandatory reporting systems, which differs among various legal systems, is reflected in a Recommendation.
Amendment 1 ensures that there is no overlap with the protection provisions in Annexes 6 and 13.

13. Enhanced Support by ICAO
A revision to the Safety Management Manual (SMM, the 4th Edition, expected to be published in July 2017)
An upgrade to the ICAO Safety Management website (expected launch in July 2017)
An update to the ICAO Safety Management Training Programme (Phase 1 - July 2016; Phase 2 - July 2017)
An update to the USOAP SSP-related protocol questions (PQs) (July 2017)
The delivery of a Webinar (July 2016)
The delivery of three Regional Symposia (planned for 1Q 2018)
A series of Regional Safety Management Seminars (to be launched immediately after the Symposia)
Many States are facing challenges with the implementation of an SSP and an SMS.
The need for ICAO to provide additional guidance materials, tools and means for sharing of best practices was emphasized during the Second High-level Safety Conference.
[HLSC 2015 Recommendation 2/1 b) 2)]
Regarding to this issue, ICAO plans to support Safety Management implementation by:
1) A revision to the Safety Management Manual (SMM) (Doc 9859)
The Secretariat has developed a strategy for the 4th edition of the Safety Management Manual (SMM) (Doc 9859) that includes a streamlined version of the document complemented by an enhanced ICAO safety management website.
The document would include guidance material to address the full range of subjects covered by Annex 19, Amendment 1, and risk-based approaches to managing safety identified during the HLSC 2015.
2) An update to the ICAO Safety Management website
The enhanced ICAO Safety Management website would include the examples currently found in the SMM and provide a mechanism for the sharing of best practices.
As experience in the implementation of safety management grows and the tools continue to evolve, the web-based format will allow for continuous update. States, regional organizations, international organizations and service providers will be invited to share their examples as one means to share best practices.
3) An update to the ICAO Safety Management Standardized Training Programme
The safety management online course will be updated to reflect Amendment 1 to Annex 19 with phase 1 of the update expected to be released in July 2016 to coincide with the effective date of the amendment.
Phase 2 of the Safety Management online course update to be released in July 2017 will further reflect the 4th edition of the SMM and will include an additional module on safety information protection (SIP).
4) An update to the USOAP SSP-related protocol questions (PQs)
The SSP-related Universal Safety Oversight Audit Programme (USOAP) protocol questions (PQs), initially published in November 2014, are expected to be updated in July 2017 with the publication of the 4th edition of the SMM.
5) The delivery of a Webinar
A Safety Management Webinar will be available in mid-July 2016 and is expected to address:
the benefits of safety management;
an explanation of the changes introduced with Amendment 1 to Annex 19;
enhanced guidance material to support safety management implementation;
ICAO training activities; and
additional supporting activities.
6) The delivery of three Regional Symposia
To share the work developed in support of the implementation of Annex 19, ICAO plans to deliver three symposia to provide a forum for participants to exchange ideas and operational experiences and contribute to the future of safety management.
The symposia will provide an important information-sharing opportunity for regulators, service providers, operational personnel and all aviation professionals involved in safety-management activities.
7) A series of Regional Safety Management Seminars
Regional safety management seminars are expected to be delivered shortly after the symposia, with a plan to provide ten over the course of twenty-four months in all of the ICAO regions.
These seminars are expected to provide a means for sharing of best practices at a regional level and an opportunity for the further collection of examples to be posted on the ICAO safety management website for those unable to participate.

14. No SM Audits (Voluntary Assessments using current PQs)
TIME
2016
SARPs
A19 SARPs
A19 Amdt 1
Effective
11 Jul 2016
A19 Amdt 1
Applicable
7 Nov 2019
A19
Today
GUIDANCE & TRAINING
A19
SMM 3rd Ed
SM online course
Today
SM for Practitioners Course
May 2016
A19 Amdt 1
SM online course update–phase 1
SM for Practitioners Course update
Webinar
Jul 2016
SMM 4th Ed + website
SM online course update - phase 2
SSP gap analysis tool update
Jul 2017
SM Symposia + Regional Seminars
early
AUDIT
A19
No SM Audits (Voluntary Assessments using current PQs)
A19 Amdt 1
New SSP PQs
Jul 2017
Audits on selected States using the new SSP PQs Jan 2018
SM Audits using the new SSP PQs for All States Jan 2020+
GASP Objectives
All States > 60% EI to implement SSP by end of 2017
All States implement SSP by end of 2022
Jan 2018 – Dec 2022
GASP NEW TARGETS?
GASP
GASP
A39 Endorsement
GASP
Sep 2016
GASP
A40 Endorsement
GASP
Sep 2019
GASP
Jul 2016
Jul 2017
Jan 2018
Nov 2019

15. Third AFI Safety Symposium, Malabo, Equatorial Guinea
Conclusions
States need additional support in order to meet the objectives outlined in the Doc 10004, Global Aviation Safety Plan.
The Secretariat has developed a strategy that would provide additional guidance material, tools and a mechanism for the sharing of experiences in implementing SSP and SMS in accordance with the outcomes of the HLSC 2015.
Updates to the safety management training are also underway. The commencement of USOAP activities to include SSP-related protocols has also been planned in line with the availability of the guidance and training.
28 June 2016
Third AFI Safety Symposium, Malabo, Equatorial Guinea

16. Third AFI Safety Symposium, Malabo, Equatorial Guinea
Recommendations
States to:
continue the implementation of SSP and report on progress using the SSP GAP Analysis Tool on iSTARS/SPACE and completing the USOAP PQ self-assessments on the OLF;
identify any additional areas of clarification needed or additional subjects that need to be covered in the 4th edition of the SMM;
assist the Secretariat in identifying appropriate examples and tools for inclusion in the update to the ICAO safety management website;
identify potential instructors for the Safety Management for Practitioners Course that meet the established qualifications; and
consider what additional activities could be provided by ICAO to support the implementation of SSP.
28 June 2016
Third AFI Safety Symposium, Malabo, Equatorial Guinea