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Or How to Create an Aviation SMS in 7 Simple Steps

You’re probably familiar with the 4 Phases of SMS implementation outlined by ICAO 9859. Here, I’ll break them down another way, into 7 steps.

For a deep dive into how to use the 4 Phases of SMS implementation, start with How to Complete Phase 1 of Aviation SMS Implementation.

If, for whatever reason, the four phases don’t resonate with you, here is another way to look at building an SMS for aviation service providers. Much like the 4 phases, these are not steps that must be taken in order.

It’s more like learning the seven steps of a line dance. Sometimes you’ll go forward, and sometimes you’ll go back.

What Is an SMS Implementation Plan?

As a safety manager, the implementation plan is your road-map to success, but finding guidance on how to create one is difficult at best.

The FAA doesn't provide an implementation plan for the latest Part 5 regulations, but there is an implementation plan suggested by ICAO 9859.

ICAO recommends a 5-year plan with 4 phases of implementation, but this plan may not work well for small organizations, or those with many elements already in place.

RELATED: How to Implement SMS in Small Organizations

The 4 phase plan can be pretty overwhelming at first. Remind yourself that a complete SMS implementation may take years; you're planning a long-term project. Your implementation plan is the document that guides your organization through this process.

The Importance of an Aviation SMS Manual

ICAO requires an SMS manual for many aviation organizations required to abide by their SMS mandate. It is very tempting to gloss over your manual...to get it out of the way and never look at it again.

Manuals aren't sexy, and most of the time, they're boring at best. I've read a lot of manuals that were downright painful.

So, how do you make your SMS manual a tool that supports your SMS? Here are three best practices to put your manual to work today.

RELATED: How to Create Your Aviation SMS Manual

What Is A Hazard Reporting System

A hazard reporting system encompasses the processes and resources your employees will use to reporting concerns.

The implication here is that your hazard reporting system is the primary means by which you will acquire feedback from operations (acquire data) and improve your SMS.

What Is a Gap Analysis?

As I researched SMS and what it means and how to implement one, the gap analysis kept coming up as something I needed more information on.

As first it seemed intimidating, but it's exactly what it sounds like; a tool to identify:

• What already exists
• What’s missing
• What steps need to be taken

In other words, it identifies the gap between existing processes and a functional SMS. Identifying these gaps allows us to create a road map to implementation.

What is it Like to Lose Control of your Aviation SMS

Losing control of your aviation SMS is largely a product of feeling overwhelmed by all of the actions, documentation, and tasks required to implement and monitor safety.

What is Too Much to Handle

We talk with aviation safety professionals and business executives every day about their struggles with implementing and managing an SMS.

Inevitably, all aviation safety programs will reach a point of growth where it is getting too much to handle.

What Is Phase 4 Of Aviation SMS Implementation

Phase 4 of SMS implementation is all about following through on designing your SMS, and moving forward with actually using the created resources and monitoring your SMS. For example, in Phase 3 of SMS implementation you are required to create KPIs, and in Phase 4 you are required to monitor them.

What Is Phase 3 Of Aviation SMS Implementation

Phase 3 of Aviation SMS implementation is largely about implementing your Safety Risk Management process. Your SRM process is where you document and design your safety management system. Designing your SMS is a two-step process:

What Is Phase 2 Of Aviation SMS Implementation?

 Phase 2 of SMS Implementation is largely dedicated to document foundational, core, elements of your safety management system.

The result of implementing Phase 2 is an SMS Safety Policy that all employees can reference to understand: