PHASE I — PLANNING SMS IMPLEMENTATION .1

10-2 Safety Management Manual SMM appropriate boxes” might develop, as a result of unreasonably demanding implementation requirements. Should such be the case, the resulting SMS, although complete and compliant on paper, would be nothing more than an empty shell. By providing a series of small, incremental and, most importantly, measurable steps, cosmetic compliance and “ticking the appropriate boxes” are discouraged. Full SMS implementation will certainly take longer, but the robustness of the resulting SMS will be enhanced as each implementation phase is completed, and simpler safety management processes are started before moving on to successive phases involving safety management processes of greater complexity. 10.2.4 In summary, the proposal for a phased implementation of SMS aims to: a provide a manageable series of steps to follow in implementing an SMS, including allocation of resources; b effectively manage the workload associated with SMS implementation; and c provide a robust SMS and not merely an empty shell i.e. “ticking the appropriate boxes”. 10.2.5 Four implementation phases are proposed for an SMS. Each phase is associated with a component of the ICAO SMS framework introduced in Chapter 8. The implementation of each phase is based on the introduction of specific elements of each component of the ICAO SMS framework during the phase in question. 10.3 PHASE I — PLANNING SMS IMPLEMENTATION 10.3.1 The objective of Phase I of SMS implementation is to provide a blueprint on how the SMS requirements will be met and integrated into the organization’s work activities, as well as an accountability framework for the implementation of the SMS. 10.3.2 During Phase I, basic planning and assignment of responsibilities are established. Central to Phase I is the gap analysis. From the gap analysis, an organization can determine the current status of its safety management processes and can begin detailed planning for the development of further safety management processes. One significant output of Phase I is the SMS implementation plan. 10.3.3 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: a Identify the Accountable Executive and the safety accountabilities of managers. This activity is based on Elements 1.1 and 1.2 of the ICAO SMS framework and is discussed in Chapter 8. b Identify the person or planning group within the organization responsible for implementing the SMS. This activity is based on Element 1.5 of the ICAO SMS framework and is discussed in Chapter 8. c Describe the system approved training organizations that are exposed to safety risks during the provision of their services, aircraft operators, approved maintenance organizations, organizations responsible for type design andor manufacture of aircraft, air traffic service providers and certified aerodromes. This activity is based on Element 1.5 of the ICAO SMS framework and is discussed in Chapter 7. Guidance on a system description is provided in Appendix 1 to Chapter 7. d Conduct a gap analysis of the organization’s existing resources compared with the national and international requirements for establishing an SMS. This activity is based on Element 1.5 of the ICAO SMS framework and is discussed in Chapter 7. Guidance on an SMS gap analysis for a service provider is provided in Appendix 2 to Chapter 7. Chapter 10. Phased Approach to SMS Implementation 10-3 e Develop an SMS implementation plan that explains how the organization will implement the SMS on the basis of national requirements and international SARPs, the system description and the results of the gap analysis. This activity is based on Element 1.5 of the ICAO SMS framework and is discussed in Chapter 8. f Develop documentation relevant to safety policy and objectives. This activity is based on Element 1.5 of the ICAO SMS framework and is discussed in Chapter 8, which also includes an example of a safety policy statement. g Develop and establish means for safety communication. This activity is based on Element 4.2 of the ICAO SMS framework and is discussed in Chapter 9. 10.4 PHASE II — REACTIVE SAFETY MANAGEMENT PROCESSES 10.4.1