| PHASE I – PLANNING SMS IMPLEMENTATION |
| The objectives of Phase I of SMS implementation are to provide a blueprint on how the SMS requirements will be met and integrated to the organization’s work activities, as well as an accountability framework for the implementation of the SMS. |
| During Phase I, basic planning and assignment of responsibilities are established. Central to the Phase I is the GAP analysis. From this GAP analysis, an organization determines the current status of its safety management processes. From here, detailed planning for the development of further safety management processes can be done. One significant output of Phase I is the SMS implementation plan. |
| At the completion of Phase I, the following activities should be finalized in such a manner that meets the expectations of the civil aviation oversight authority, as set forth in relevant requirements and guidance material: |
| SMS Activity |
Documentation Source |
How Facilitated by SMS Pro |
| Identify the Accountable Executive and the safety accountabilities of managers. |
This activity is based upon Elements 1.1 and 1.2 of the ICAO SMS framework, and discussed in Chapter 8 of the ICAO Safety Management Manual |
SMS Policy Module |
| Identify the person (or planning group) within the organization responsible for implementing the SMS. |
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter 8 of the ICAO Safety Management Manual |
SMS Policy Module |
| Describe the system |
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter 7 of this Manual. Guidance on a system description is also included as in Appendix 1 to Chapter 7 of the ICAO Safety Management Manual |
|
| Conduct a GAP analysis |
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter 7 of this Manual. Guidance on an SMS gap analysis for a service provider is also included as in Appendix 2 to Chapter 7of the ICAO Safety Management Manual |
GAP Analysis Module, Safety Survey |
| Develop an SMS implementation plan |
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter 8 of the ICAO Safety Management Manual |
SMS Implementation Module, Safety Goals and Objectives Module |
| Develop documentation relevant to safety policy and objectives. |
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter 8 of the ICAO Safety Management Manual, including an example of a safety policy statement. |
SMS Policy Module, Document Manager |
| Develop and establish means for safety communication. |
This activity is based upon Element 4.2 of the ICAO SMS framework, and discussed in Chapter 9 of the ICAO Safety Management Manual |
Read File, Lessons Learned, SMS FAQs, and Newsletter Modules |
| PHASE II – REACTIVE SAFETY MANAGEMENT PROCESSES |
| The objective of Phase II is to implement essential safety management processes, while at the same time correcting potential deficiencies in existing safety management processes. Most organizations will have some basic safety management activities in place, at different levels of implementation and with different degrees of effectiveness. These activities may include inspections and audits reports, analysis of information from accident reports and incident investigations, and employee reports. This phase aims at solidifying existing activities, and developing those which do not exist yet. However, because forward looking systems have yet to be developed and implemented, this phase is considered reactive. Towards the end of Phase I, the organization will be ready to perform coordinated safety analyses based on information obtained through reactive methods of safety data collection. |
| At the completion of Phase II, the following activities should be finalised in such a manner that meets the expectations of the civil aviation oversight authority as set forth in relevant requirements and guidance material: |
| SMS Activity |
Documentation Source |
How Facilitated by SMS Pro |
| Implement reactive risk management processes |
This activity is based upon Elements 2.1 and 2.2 of the ICAO SMS framework, and discussed in Chapters 3 and 8 of the ICAO Safety Management Manual |
Issue Manager Module, Meeting Manager |
| Deliver training relevent to reactive risk management processes |
This activity is based upon Element 4.1 of the ICAO SMS framework, and discussed in Chapters 3, 8 and 9 of the ICAO Safety Management Manual |
SMS Training and Qualifications Module, |
| Maintain documentation relevent to reactive risk management |
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapters 3, 8 and 9 of the ICAO Safety Management Manual |
Issue Manager Module |
| Maintain means for safety communication. |
This activity is based upon Element 4.2 of the ICAO SMS framework, and discussed in Chapter 9 of the ICAO Safety Management Manual |
Read File, Lessons Learned, SMS FAQs, and Newsletter Modules |
| PHASE III – PROACTIVE AND PREDICTIVE SAFETY MANAGEMENT PROCESSES |
| The objective of Phase III is to structure forward looking safety management processes. Safety information management and analytical processes are refined. Towards the end of Phase II, the organization will be ready to perform coordinated safety analyses based on information obtained through reactive, proactive and predictive methods of safety data collection. |
| At the completion of Phase III, the following activities should be finalised in such a manner that meets the expectations of the civil aviation oversight authority as set forth in relevant requirements and guidance material: |
| SMS Activity |
Documentation Source |
How Facilitated by SMS Pro |
| Implement proactive and predictive risk management processes |
This activity is based upon Elements 2.1 and 2.2 of the ICAO SMS framework, and discussed in Chapters 3 and 8 of the ICAO Safety Management Manual. |
Safety Risk Manager Module, SRM Audit Module, Customized Audits, Flight Risk Assessment Tool™ |
| Deliver training relevent to proactive and predictive risk management processes |
This activity is based upon Element 4.1 of the ICAO SMS framework, and discussed in Chapters 3, 8 and 9 of the ICAO Safety Management Manual |
SMS Training and Qualifications Module |
| Maintain documentation relevent to proactive and predictive risk management processes |
This activity is based upon Element 1.5 of the ICAO SMS framework, and
discussed in Chapters 3, 8 and 9 of the ICAO Safety Management Manual |
Safety Risk Manager Module |
| Maintain means for safety communication. |
This activity is based upon Element 4.2 of the ICAO SMS framework, and discussed in Chapter 9 of the ICAO Safety Management Manual |
Read File, Lessons Learned, SMS FAQs, and Newsletter Modules |
| PHASE IV– OPERATIONAL SAFETY ASSURANCE |
| The objective of Phase III is to structure forward looking safety management processes. Safety information management and analytical processes are refined. Towards the end of Phase II, the organization will be ready to perform coordinated safety analyses based on information obtained through reactive, proactive and predictive methods of safety data collection. |
| At the completion of Phase IV, the following activities should be finalised in such a manner that meets the expectations of the civil aviation oversight authority as set forth in relevant requirements and guidance material: |
| SMS Activity |
Documentation Source |
How Facilitated by SMS Pro |
| Development safety performance indicators, performance targets, and SMS continuous improvement. |
This activity is based upon Elements 1.1, 3.1, 3.2 and 3.3 of the ICAO SMS framework, and discussed in Chapters 6 and 9 of the ICAO Safety Management Manual |
Safety Performance Module, SMS Internal Evaluation Module |
| Develop training relevant to operational safety assurance. |
This activity is based upon Element 4.1 of the ICAO SMS framework, and discussed in Chapter 9 of the ICAO Safety Management Manual |
SMS Training and Qualifications Module |
| Develop documentation relevant to operational safety assurance. |
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter 9 of the ICAO Safety Management Manual |
Safety Performance Module |
| Maintain means for safety communication. |
This activity is based upon Element 4.2 of the ICAO SMS framework, and discussed in Chapter 9 of the ICAO Safety Management Manual |
Read File, Lessons Learned, SMS FAQs, and Newsletter Modules |