FACILITATION REGIONAL IMPLEMENTATION SEMINAR

Lima, 16 – 19 October 2018

ANNEX 9:
MANDATE, DESCRIPTION & LATEST DEVELOPMENTS:
MANDATE

by Anthony Frederick
TRIP Programme Officer, Facilitation Section

16 October 2018
 OVERVIEW
Part I: FAL Programme: Mandate
→ Chicago Convention
→ Assembly
→ Council

Part II: Facilitation Panel & Annex 9 Amendment Process

 PART I: FAL PROGRAMME MANDATE
A. CHICAGO CONVENTION (1944)
● Convention on International Civil Aviation
● Conference, Chicago, 1944
● International treaty: 192 Member States (latest: Tuvalu, 18 Nov 2017)
Article 44 (Objectives)
The aims and objectives of the Organization are . . . to foster the
planning and development of international air transport so as to: . . .
meet the needs of the peoples of the world for safe, regular, efficient
and economical air transport.
 Convention
MANDATE — FACILITATION PROGRAMME
Article 10: Landing at customs airport
Article 11: Applicability of air regulations
Article 13: Entry and clearance regulations
Article 14: Prevention of spread of disease
Article 22: Facilitation of formalities
Article 23: Customs and immigration procedures
Article 24: Customs duty
Article 29: Documents carried in aircraft
Article 35: Cargo restrictions
Article 37: Adoption of international standards and procedures
[→ FOCUS ON BORDER CONTROLS AT INTERNATIONAL AIRPORTS]
 Convention
Art. 10: Aircraft to land at designated customs airport for customs & other
examination

Art. 13 (Entry and clearance regulations): Laws & regulations of a State as to the
admission into or departure from its territory of passengers, crew, cargo . . . such
as regulations relating to entry, clearance, immigration, passports, customs and
quarantine . . . complied with by or on behalf of pax, crew, cargo upon entrance
into or departure from, or while within the territory of that State.

Art. 14: State to take measures to prevent the spread by means of air navigation of
communicable diseases . . . (cholera, yellow fever, plague, etc.)
 Convention
Art. 22: Each Contracting State agrees to adopt all practicable measures . . .
– to facilitate & expedite navigation by aircraft . . . & to prevent unnecessary
delays to aircraft, crews, passengers and cargo
→ especially in the administration of the laws relating to immigration,
quarantine, customs & clearance.
→“Facilitation of formalities”

Art. 23: State to establish customs & immigration procedures in accordance with
practices recommended (by ICAO) [►Art. 37]
 Convention
Art. 29: Documents carried in aircraft: . . .
(d) journey log book [A/Res: Gen Dec acceptable];
(f) passenger manifest; (g) cargo manifest
Article 37: (Adoption of International Standards and Procedures)
Each State undertakes to collaborate in securing. . . uniformity . . . regulations,
standards . . . facilitate & improve air navigation.
ICAO required to adopt SARPs . . .
̶ (j) Customs & immigration procedures . . .
& such other matters concerned with the . . . regularity & efficiency of air
navigation . . .
. . . . Art. 38 [Compliance]; Art. 90 [Amendment]
 Convention
Summary

Obligations of States: Articles 11, 14, 22, 23, 24, 35, 37, 38
Obligations of Users: Articles 10, 11, 13, 29, 35
Obligation of ICAO: [Adopt] & Amend Annex

http://www.icao.int/publications/Pages/doc7300.aspx
 Question: “What is facilitation”?

Facilitation is the efficient management of border control

processes to expedite clearance (of aircraft, passengers/crew,
baggage, cargo) and prevent unnecessary delays.

→ Immigra on, Customs, Health, Quaran ne

 Assembly
B. RESOLUTIONS OF THE ICAO ASSEMBLY
A39‐20
Consolidated statement of continuing ICAO policies related to facilitation
Appendix A: Development and implementation of facilitation provisions

● States: increase efforts to implement Annex 9 SARPs

● States: give due regard to Doc 9984 (PWD Manual)
● Council: ensure Annex 9 is current and addresses the contemporary
requirements of States
 Assembly
Appendix B. National and international action in ensuring the security and integrity
of traveller identification & border controls
● 5 elements of traveller identification & border management

● States: implement a robust identification management system to safeguard the

security & integrity of the travel document issuance process
● States: ensure that non‐machine readable passports are withdrawn from
circulation
● States: ensure that MRCTDs are machine readable
● States urged to join ICAO PKD
● States to provide input to Interpol’s Stolen & Lost Travel Document Database
 Assembly
Appendix C: National and international action and cooperation on facilitation
matters

● States: establish national facilitation committees

● States: call upon aircraft and airport operators to participate in electronic data
interchange systems: cargo traffic
● States: facilitate assistance to aircraft accident victims and their families
● Handling & clearance of air cargo; security of the international supply chain
 Assembly
Appendix D: Passenger Data Exchange Systems

● States: call upon aircraft operators to provide advance passenger information

● States: to ensure that the passenger data requirements conform to international

standards adopted by relevant United Nations agencies

● States: to assist and share best practices with other Member States in the
establishment of passenger data exchange systems
 Assembly
● A35‐12 (2004): “Protection of the health of passengers and crews and prevention
of the spread of communicable disease through international air travel”
→Increase in worldwide transmission of communicable diseases by means
of air transport
→Council requested to review exis ng SARPs & develop new SARPs
→States urged to implement SARPs
● A36‐21 (2007): “Preventing the introduction of invasive alien species”
→Interna onal civil transporta on represents a poten al pathway for the
introduction of invasive alien species
→States urged to support one another’s efforts to reduce the risk of
introducing potentially IAS to areas outside their natural range
 Assembly
● A37‐13 (2010): “Prevention of spread of communicable disease through air
travel”
→ States urged to develop na onal preparedness plan & join the CAPSCA
project

● A39‐27 (2016): “Assistance to victims of aviation accidents and their families”

→States urged to establish legisla on (etc.) . . . Annex 9
→States urged to inform ICAO, through CC in EFOD, of level of
implementation of Annex 9 [RP 8.46]
 Assembly
● A39‐18: Consolidated statement: ICAO policies related to aviation security
►Appendix C (Implementation of technical security measures):
→(Importance of MRTDs highlighted)
→Use of MRTDs and other passenger information tools can also be
employed for security purposes . . . before aircraft boarding process
→States urged to implement security‐related provisions of Annex 9
→States called upon to use of API to strengthen aviation security & reduce
the risk to passengers
● A37 Declaration on Aviation Security
States . . . promote the use of cooperation mechanisms . . . for early
detection and dissemination of information on security threats . . . . through the
use of API and PNR as an aid to security
 Council/ATC

192 Contracting States

Assembly
Council (36) President
ATC Facilitation
Panel
Secretary
Secretariat
General
5 Bureaux
Air Transport Bureau
Aviation Security & Facilitation
Facilitation Section: Annex 9/TRIP/PKD
 Council
C. COUNCIL
Article 50: The Council shall be a permanent body responsible to the
Assembly.

Article 54 (Mandatory functions of Council):

→ Appoint and define the duties of an Air Transport Committee
→ Adopt . . . international standards and recommended practices;
for convenience, designate them as Annexes to this Convention; and
notify all contracting States of the action taken.
 Council/ATC
● Council, 11 May 2009: Outbreak of the Influenza A(H1N1) (“Swine
flu”)
→ Secretary General to review the provisions of Annex 9
→ FALP/6 (2010)
→April 2011 (Amendment 22 to Annex 9)

● ATC, 1995: Established the Facilitation Panel . . . . . →→→

 FAL PANEL
PART II: FACILITATION PANEL & ANNEX 9 AMENDMENT PROCESS
33 Members of FAL Panel
● 3 ESAF, 3 WACAF, 8 APAC, 4 MID, 9 EUR/NAT
● 3 SAM: Argentina, Brazil, Uruguay
● 3 NACC: Canada, Cuba, United States
● States as Observers
● IATA, ACI: Permanent Observers

→ FALP/10, 10‐13 September 2018, Montreal

 FAL PANEL
Terms of Reference of the FAL Panel

►make recommendations on SARPs

►contribute to guidance material
►develop proposals for FAL Division meetings
►perform other tasks assigned by ATC
 Panel’s Recommendations
Amendment or Notifications:
new Edition EFOD

1
8
7
Modifications by ATC

States’
Disapproval
2

6
States’
3 Comments
4
5
ATC: Final Review
Adoption by Council
22
THANK YOU!