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CHAPTER 4
SMS Implementation
This chapter addresses the initial implementation of SMS and the implementation and man-
agement of continuous improvement initiatives. A phased approach usually is preferred because
it has less impact on existing airport activities and it delineates more manageable tasks.
The goal is to have a structured SMS implementation plan designed to guide the airport organ-
ization through the initial transition to SMS. This plan of action identifies a step-by-step process
on how to get from where you are now to a fully functioning SMS. The plan should identify who
does what, when, and timelines for completion.
After completing the gap analysis and writing the documentation, as described in Chapter 3,
there are five more steps:
1. Develop an SMS implementation plan
2. Obtain the approval of the airport safety policy and safety objectives
3. Appoint the person who has the responsibility for operating the SMS
4. Implement each SMS process that has been adapted or created
5. Provide SMS training (described as the final step even though some functions, such as the SMS
Manager, will require training throughout--or even before--the implementation process has
started)
Some airports may decide to limit the SMS scope to airside activities and extend the scope to
activities on the landside and terminal areas later. Other airports may define their SMS scope for
all airport activities from the very start. In all cases, a plan and a systematic method for imple-
mentation is critical to the initial success of the SMS.
In addition to the sections describing each of these steps, this chapter also highlights some
proven practices (Section 4.6) and common challenges (Section 4.7) that you may face during
the SMS implementation.
4.1 Develop an Implementation Plan
Once you have identified and documented your gaps, you will have a snapshot of where your
organization is now in comparison to where you need to bring it to have a complete SMS. This
will be your baseline.
You can look at the documented gaps as a set of tasks that need to be completed to achieve a
functioning SMS. Project management principles apply here. As with any other project, you need
to assign responsible persons for each task, provide the necessary resources to carry out the task,
and define a timeline to complete each task.
The typical contents of an SMS implementation plan are depicted in Table 5 and an example
schedule is shown in Figure 4.
45
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46 Safety Management Systems for Airports
Table 5. SMS implementation plan.
Item Task Description
1 EXECUTIVE SUMMARY Brief background and objectives of the project
2 IMPLEMENTATION SUMMARY Summary table with tasks, subtasks, phase,
person responsible, duration, and estimated
costs for implementation
3 PHASE 1
3.1 Appoint and train List of appointed members of the
Implementation Team implementation team along with their
associated responsibilities. The team should
receive SMS training before starting upcoming
tasks
3.2 Develop and Document The safety policy is to be written, approved, and
Safety Policy signed by the Accountable Executive and
communicated to all airport workers
3.3 Develop and Document The safety objectives are written, approved, and
Safety Objectives signed by the Accountable Executive and
communicated to all airport workers
3.4 Define and Document Safety Document responsibilities for airport safety and
Accountabilities use them on job descriptions as they relate to
SMS(25)
3.5 Develop and Document SMS The SMS organizational chart is prepared and
Organization Chart approved by the Accountable Executive
4 PHASE 2
4.1 Develop Process to Track Define and approve the process to identify,
Changes in Legal access, and evaluate current laws, regulations,
Requirements and Standards and internal organizational requirements that are
applicable to the safety aspects of airport
activities
4.2 Establish SMS Documents and Define the process for the approval, review,
Records Management distribution, and disposition of SMS-related
Process documents and records
4.3 Establish Process to Maintain Define the process for the identification,
SMS Data management, and disposition of safety data
4.4 Establish Non-Punitive Develop, maintain, and document a non-
Reporting System punitive reporting process
5 PHASE 3
5.1 Internal Safety Investigations Develop and implement the process to conduct
accident and incident investigations to
determine root causes
5.2 Proactive Processes for Describe and implement the processes for
Hazard Identification and hazard identification and reporting
Reporting
5.3 Process for Risk Assessment Document and implement the process for safety
risk management
5.4 Process for Establishing Risk Define, document, and implement the process
Control Action Plans to develop risk control action plans, assign
responsibilities, and obtain approval
5.5 Create Safety Committee(s) Define, document, and approve the terms of
reference for safety committee(s)
5.6 Process to Use Results of SRM Document and implement a process that will
to Improve Operating trigger the review or creation of SOPs for
Guidelines continuous safety improvement of airport
activities
5.7 Process for Evaluating Impact Introduce a process to trigger risk assessments for
of Changes significant changes at/on the airport
