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.
Many aspects you created in Phase 3 are fulfilled in Phase 4 by assuring that they function in actual operations. Thus, Phase 4 is largely concerned with:
Phase 4, like Phase 3, is a major hurdle in implementing your SMS. Oftentimes, it will take 1-2 years to fully implement it.
The main takeaway is that proving you are complete with Phase 4 of aviation SMS is that you have paper trails and other evidence that prove you are completing Phase 4 requirements.
How do you know if you are monitoring key performance indicators (KPIs)? Several pieces of evidence are key for showing this:
Goals, alerts, and collected data are, taken together, an excellent indication that you are actively monitoring your KPIs. One great way to achieve this is automated KPI monitoring.
Safety performance metrics are things like:
These performance metrics should help:
Having good evidence for performance monitoring is:
Proving this simply means having a written record or log of which metrics influenced which safety actions were taken.
Being able to conclude that your SMS is regularly communicating important safety information actually involves two things:
The second bullet point is key. You can’t just send out regular emails and expect this to count as completing this part of Phase 4 of aviation SMS implementation. Hence, you should be able to prove, such as via a report, that employees are receiving the information you are communicating.
Having a process to inspect and audit your safety management system is something you designed in Phase 3. In Phase 4 you need to show that you are following through and using this process.
You demonstrate this by showing evidence that:
Showing evidence for this is easy so long as you are actually carrying out required inspections/audits.
As your Safety Assurance process processes data and information, you will need to update your SMS design to account for:
We commonly call this SMS design process the “bridge” between Safety Risk Management and Safety Assurance. Types of useful documentation to have that proves your design is regularly updated are:
The point is, when you make changes or include new information in your design, make sure you document it.
Hazard reporting system use easy to prove. Either:
What your program should really be looking for is:
It’s not enough that employees use your hazard reporting system process sometimes, but that they use it when they should use it. Having historical data in the following way is a good indication that requisite issues are being reported:
This is the expected development of a hazard-reporting culture.
Finally, you need to show that your issue management process is being actively used. What does this look like?
If you have good issue management documentation built into your issue management process, such as in the form of automatic alerts and automatic documentation.
Last updated May 2024.