Phase

PHASE I – PLANNING SMS IMPLEMENTATION

PHASE II – REACTIVE SAFETY MANAGEMENT PROCESSES

PHASE III – PROACTIVE AND PREDICTIVE SAFETY MANAGEMENT PROCESSES

PHASE IV– OPERATIONAL SAFETY ASSURANCE

 Activity
Identify the Accountable Executive and the safety accountabilities of managers.
Identify the person (or planning group) within the organization responsible for implementing the SMS.
Describe the system
Conduct a gap analysis
Develop an SMS implementation plan
Develop documentation relevant to safety policy and objectives.
Develop and establish means for safety communication.

Implement reactive risk management processes

Deliver training relevent to reactive risk management processes
Maintain documentation relevent to reactive risk management
Maintain means for safety communication.
ETY MANAGEMENT PROCESSES
Implement proactive and predictive risk management processes
Deliver training relevent to proactive and predictive risk management processes
Maintain documentation relevent to proactive and predictive risk management processes
Maintain means for safety communication.

Development safety performance indicators, performance targets, and SMS continuous improvement.
Develop training relevant to operational safety assurance.
Develop documentation relevant to operational safety assurance.
Maintain means for safety communication.
Phase Comments Activity Comments
The objectives of Phase I of SMS implementation are to provide a blueprint on how the SMS requirements will be met and inte
This activity is based upon Elements 1.1 and 1.2 of the ICAO SMS framework, and discussed in
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter
This activity is based upon Element 4.2 of the ICAO SMS framework, and discussed in Chapter
The objective of Phase II is to implement essential safety management processes, while at the same time correcting potential
This activity is based upon Elements 2.1 and 2.2 of the ICAO SMS framework, and discussed in
This activity is based upon Element 4.1 of the ICAO SMS framework, and discussed in Chapter
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter
This activity is based upon Element 4.2 of the ICAO SMS framework, and discussed in Chapter
The objective of Phase III is to structure forward looking safety management processes. Safety information management and a
This activity is based upon Elements 2.1 and 2.2 of the ICAO SMS framework, and discussed in
This activity is based upon Element 4.1 of the ICAO SMS framework, and discussed in Chapter
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter
This activity is based upon Element 4.2 of the ICAO SMS framework, and discussed in Chapter
The objective of Phase III is to structure forward looking safety management processes. Safety information management and a
This activity is based upon Elements 1.1, 3.1, 3.2 and 3.3 of the ICAO SMS framework, and dis
This activity is based upon Element 4.1 of the ICAO SMS framework, and discussed in Chapter
This activity is based upon Element 1.5 of the ICAO SMS framework, and discussed in Chapter
This activity is based upon Element 4.2 of the ICAO SMS framework, and discussed in Chapter
ments will be met and integrated to the organization’s work activities, as well as an accountability framework for the implementation of the
mework, and discussed in Chapter 8 of the ICAO Safety Management Manual
and discussed in Chapter 8 of the ICAO Safety Management Manual
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 Saf
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 Cha
and discussed in Chapter 8 of the ICAO Safety Management Manual
and discussed in Chapter 8 of the ICAO Safety Management Manual, including an example of a safety policy statement.
and discussed in Chapter 9 of the ICAO Safety Management Manual
me correcting potential deficiencies in existing safety management processes. Most organizations will have some basic safety manageme
mework, and discussed in Chapters 3 and 8 of the ICAO Safety Management Manual
and discussed in Chapters 3, 8 and 9 of the ICAO Safety Management Manual
and discussed in Chapters 3, 8 and 9 of the ICAO Safety Management Manual
and discussed in Chapter 9 of the ICAO Safety Management Manual
ation management and analytical processes are refined. Towards the end of Phase II, the organization will be ready to perform coordinate
mework, and discussed in Chapters 3 and 8 of the ICAO Safety Management Manual.
and discussed in Chapters 3, 8 and 9 of the ICAO Safety Management Manual
and discussed in Chapters 3, 8 and 9 of the ICAO Safety Management Manual
and discussed in Chapter 9 of the ICAO Safety Management Manual
ation management and analytical processes are refined. Towards the end of Phase II, the organization will be ready to perform coordinate
SMS framework, and discussed in Chapters 6 and 9 of the ICAO Safety Management Manual
and discussed in Chapter 9 of the ICAO Safety Management Manual
and discussed in Chapter 9 of the ICAO Safety Management Manual
and discussed in Chapter 9 of the ICAO Safety Management Manual
for the implementation of the SMS. During Phase I, basic planning and assignment of responsibilities are established. Central to the Phas

1 to Chapter 7 of the ICAO Safety Management Manual

luded as in Appendix 2 to Chapter 7of the ICAO Safety Management Manual

statement.

some basic safety management activities in place, at different levels of implementation and with different degrees of effectiveness. These

e ready to perform coordinated safety analyses based on information obtained through reactive, proactive and predictive methods of safe

e ready to perform coordinated safety analyses based on information obtained through reactive, proactive and predictive methods of safe
tablished. Central to the Phase I is the gap analysis. From this gap analysis, an organization can determine the current status of its safety m

egrees of effectiveness. These activities may include inspections and audits reports, analysis of information from accident reports and inci

and predictive methods of safety data collection. At the completion of Phase III, the following activities should be finalised in such a mann

and predictive methods of safety data collection. At the completion of Phase IV, the following activities should be finalised in such a mann
he current status of its safety management processes. From here, detailed planning for the development of further safety management pr

from accident reports and incident investigations, and employee reports. This phase aims at solidifying existing activities, and developing t

uld be finalised in such a manner that meets the expectations of the civil aviation oversight authority as set forth in relevant requirements

uld be finalised in such a manner that meets the expectations of the civil aviation oversight authority as set forth in relevant requirements
further safety management processes can be done. One significant output of Phase I is the SMS implementation plan. At the completion o

ng activities, and developing those which do not exist yet. However, because forward looking systems have yet to be developed and imple

orth in relevant requirements and guidance material:

orth in relevant requirements and guidance material:

tion plan. At the completion of Phase I, the following activities should be finalised in such a manner that meets the expectations of the civ

yet to be developed and implemented, this phase is considered reactive. Towards the end of Phase I, the organization will be ready to per
ets the expectations of the civil aviation oversight authority, as set forth in relevant requirements and guidance material:

ganization will be ready to perform coordinated safety analyses based on information obtained through reactive methods of safety data c
nce material:

ctive methods of safety data collection. At the completion of Phase II, the following activities should be finalised in such a manner that me
lised in such a manner that meets the expectations of the civil aviation oversight authority as set forth in relevant requirements and guida
evant requirements and guidance material: