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SAFETY MANAGEMENT IMPLEMENTATION PLAN

Version 0.01

Integra Consult A/S16 December 2004

Integra Consult A/S Safety Management System Implementation Plan (18)

DOCUMENT CHANGE RECORD

The following table records the complete history of the successive editions of the high level document.

EDITION DATE REASON FOR CHANGE SECTIONS / PAGES AFFECTED

Draft 0.01 16 Dec 2004 Initial draft – guidelines All


DOCUMENT APPROVAL

AUTHORITY NAME DATE SIGNATURE


LIST OF CONTENTS Page

1 INTRODUCTION.........................................................................................................51.1 Purpose...........................................................................................................................51.2 Scope...............................................................................................................................51.3 Definitions and Abbreviations..........................................................................................51.4 Updates...........................................................................................................................6

2 OVERVIEW OF THE IMPLEMENTATION PROJECT................................................72.1 Safety Policy....................................................................................................................72.2 Objective..........................................................................................................................72.3 List of References............................................................................................................72.4 Baseline...........................................................................................................................7

3 WORK PLAN...............................................................................................................83.1 Project Phases.................................................................................................................83.2 Milestones........................................................................................................................93.3 Work Breakdown Structure..............................................................................................9

4 DELIVERABLES.......................................................................................................13

5 SCHEDULE...............................................................................................................145.1 Schedule, Phase, Milestones and Activities..................................................................145.2 Schedule, Deliverables..................................................................................................14

6 ORGANIZATION.......................................................................................................166.1 Project Organization......................................................................................................166.2 Relationship with Other Organizational Units................................................................176.3 Relationship with the Regulator.....................................................................................17

7 SPECIAL PROCEDURES.........................................................................................18

8 Project Resources......................................................................................................19


1 INTRODUCTION

1.1 Purpose

The purpose of the present Generic Safety Management System Implementation Plan is to serve as a baseline for the actual implementation of the Safety Management System including the development of a Safety Culture and the enhancement of the Safety Awareness in the organization the Safety Management System shall be implemented into.

The plan can be used in connection with the implementation of a new Safety Management System as well as in connection with a major update of an existing Safety Management System.

The Implementation Plan is generic which means that considerable tailoring needs to be made before it can support an actual implementation of a Safety Management System. This tailoring should be made in very close co-ordination with the customer in order to ensure that it is in line with the other activities of the organization.

The plan shall support the detail planning, management and monitoring of the implementation of the Safety Management System and shall act as a Terms of Reference for the team to implement the Safety Management System.

1.2 Scope

The Implementation Plan includes a total description of the activities to be performed in connection with the development and implementation of a Safety Management System. The Plan does not include any activities related to the maintenance of a Safety Management System, as this will have to be procedures implemented as an integrated part of the Safety Management System.

In this section, the following shall be defined: The scope of the implementation i.e. which organizational units or services the Safety

Management System is to be implemented. The scope of the implementation project, as the implementation project has to be terminated

when the Safety Management System becomes operational. The scope of the activities covered by the implementation plan, as other plans might cover

related activities such as the Safety Management Training Plan.

Concerning the last bullet, a section might be added to the implementation plan describing the relationship to other plans and projects. This is especially relevant in case the implementation of the Safety Management System is related to the implementation of a new ATM system.

1.3Definitions and Abbreviations

A total list of abbreviations and definitions should be included in the implementation plan.

ATM Air Traffic ManagementEATMP Eurocontrol ATM ProgrammeESARR Eurocontrol Safety Regulatory RequirementICAO International Civil Aviation OrganizationOPS OperationsPC Personal ComputerSMM Safety Management ManualSMS Safety Management SystemTECH TechniciansWP Work PackageWBS Work Breakdown Structure


1.4 Updates

This Implementation Plan shall be developed in its first version when the implementation of the Safety Management Systems is initiated. The plan shall be reviewed on at least half yearly basis and whenever a major event occurs in connection with the implementation.

Each update of the original version shall be agreed and signed by duly authorities which means the management of the organization. Only through this, the management commitment to the implementation of the Safety Management System can be ensured. A track record of the changes to the Implementation Plan should be developed in order to ensure traceability.


2 OVERVIEW OF THE IMPLEMENTATION PROJECT

2.1 Safety Policy

If a Safety Policy for the total organization is available this should be included in this section. Otherwise, the section can be omitted, but as soon as the Safety Policy has been developed, the implementation plan must be updated with the Safety Policy.

2.2 Objective

In this section the objective of the implementation plan shall be described. It is of vital importance to have an objective statement in the plan in order to have common goals for the implementation. The Safety Policy – if developed – shall be used as a baseline for the objective.

An example of an objective is shown in the box below.

The objective of this Safety Management System Implementation Plan is to finalize and implement the Safety Management System in the Organization based on the available baseline developed as a part of the Safety Project and as defined

in section 3.

Furthermore it is the objective of the plan to develop and strengthen the Safety Culture, to define the overall Safety Performance Targets and finally to ensure

the lesson dissemination and the Safety Awareness.

The above objective is very broad and has to be refined in connection with the implementation of the Plan in an actual project.

2.3 List of References

During the development of this Generic Safety Management System Implementation Plan the following documents have been used.

01 EATMP Safety Management, Safety Management Implementation Plan, developed by EUROCONTROL

02 Generic Safety Management Training Manual, developed by Integra Consult A/S

03 ESARR 3: Use of Safety Management Systems by ATM Service Providers, issued by EUROCONTROL

2.4 Baseline

In this section the precise assumptions or baseline for the implementation of a Safety Management System shall be described. This includes: The available Safety Management documentation, as the implementation plan often is

developed as a part of the initial Safety Management documentation. Usually a first draft of the Safety Management Manual is available.


3 WORK PLANA total work plan for the implementation project shall be developed and described making it uncomplicated to follow and monitor the implementation of the Safety Management System and, further, enabling the project organization or the management to perform the necessary remedial actions in case the project does not show the expected results.

The work plan is a dynamic section where activities (or work packages) might be added or removed during the implementation of the Safety Management System. In this section, the already performed activities should be noted creating a full overview of the work performed in connection with the implementation.

The work plan can be described in several ways. It is suggested, however, that the work plan includes the following three elements:

Phases of the implementation project

Milestones normally related to the termination of a phase or activity

Work Breakdown Structure comprising all the activities or work packages to be performed as part of the implementation project.

The three items are interrelated and the relationship should be indicated in the sections. For example, the phases would normally comprise one or more activities and as mentioned a milestone relates always to the termination of a phase or activity.

3.1 Project Phases

In order to control the total implementation project, the project should be divided into a limited number of phases. It is not recommendable to have too many phases, as the rationale having the project divided into phases disappears.

Normally, the following phases are applied:

Initialization Phase, where the baseline documentation is developed. The baseline documentation would normally comprise a draft Safety Organization and a draft Safety Management Manual. The Initialization Phase shall be used to get an understanding of the content and structure of the Safety Management System.

Experience Phase, where the first experience with the Safety Management System and its related activities are gained. This also includes the first activities related to the performance of certain Safety Management activities like Safety Assessments and Safety Audits. This phase should include a larger number of employees in the organization including staff not necessarily having a responsibility in the Safety Organization.

Implementation Phase, where the key Safety Elements are finally developed and implemented in the organization and the Safety Performance Targets and Indicators are defined. It is important in this phase to include the implementation of structured reporting and investigation systems and lesson dissemination, as these are important for the enhancement of the Safety Levels.

Maturity Phase, where a total overhaul of the Safety Management System is performed based on the experience from previous phases. During the development and implementation of the Safety Management System, errors may be done in the development or in the definition of a Safety Policy or Safety Performance Targets etc. This phase shall review the work done and make the necessary remedial actions.

Transfer Phase, where the Safety Management System is transferred into the operation meaning that the Safety Management System is a management system at the same level as i.e. the Financial Management System, Human Resource System and/or the Quality Management System. After the completion of this phase, the implementation of the Safety Management System can be considered to be completed.


Training Phase, where all the necessary training activities are performed. It is recommended that the training is performed in a separate phase or individually in order to ensure that the Safety knowledge of the organization is sufficient to handle Safety related issues. A separate plan is developed concerning the training (Safety Management Training Plan, reference 02) which will ease the control and monitoring of the performance of the training.

The list above constitutes an example (based on experience). Phases can be removed; renamed or new phases might be added. In the development of the different phases, it is important that:

each phase comprises a number of well defined activities or work packages

the objective and deliverables of each phase is well defined making it clear when the phase can be terminated with a satisfactory result

each phase has a definite schedule.

Parallel phases may exist. For example, the Experience and Training Phase will overlap with other phases.

3.2 Milestones

The use of milestones in the work plan shall ensure that the project is on time and is reaching the expected results. Milestones are a kind of points in the implementation project, where it is measured what the project has accomplished.

A number of milestones need to be defined - minimum one milestone per phase - where the milestone relates to the termination of the phase. Additional milestones can be defined, but it is important that a milestone can:

be measured - when completed a milestone has to relate to a certain number of activities to be performed with a well defined result and not just to a time in the implementation.

be scheduled so the project organization and the management can measure whether or not the milestone has been reached.

All milestones need to be significant events in the project and only a limited number of milestones should be defined. Too many milestones will jeopardize the objective of the milestone, which is to give certain points in the implementation where it is possible to measure whether or not the project produces the quality results anticipated and whether or not the implementation project is on schedule.

In this section, the milestones should be precisely defined (minimum one per completion of a phase). Furthermore, the work (activities) to be performed before reaching the milestone and the accepted results (deliverables) to be available at the time of the completion of the milestone should be defined. The date for the milestone should be defined in section 5.

Finally, it is important when defining the milestones to ensure that compliance with all international requirements is declared during the milestone. These requirements cover e.g. ICAO requirements or local requirements.

3.3 Work Breakdown Structure

The development of this section is normally the most difficult and time-consuming exercise in the development of the Implementation Plan. A lot of effort has to put into the development of the work packages (WP) or activities ensuring that the implementation is performed efficiently.

One way to structure the development of the work packages is to follow the subsequent groups of activities1:

Safety Management Responsibly or Safety Management Organization Implementation.

1 Ref.: ESARR 3 [ref. 03]: Use of Safety Management Systems by ATM Service Providers. Issued by Eurocontrol.


Safety Management Documentation comprising the Safety Management Manual and relating procedures. In case the regulation is developed in parallel to the Safety Management System, this could be included.

Competency or Safety Training and hands-on experience developing the knowledge base of the organization within Safety Management.

Safety Performance Targets covering special activities to define the Performance Targets and Indicators. This might be very difficult as setting targets requires information or a database containing data on experience of the operations. It is not recommendable to set any unrealistic Performance Targets. Preferably, less ambitious targets should be defined from the beginning and be improved when data is collected.

Safety Assessment where two types of activities are relevant: the development of the Safety Assessment elements and principles in the organization and the actual performance of the Safety Assessments.

External Services introducing safety requirements to any external organization delivering services. This includes internal organizations not covered by the Safety Management System. In connection with the external services, it should be noted that the organization in the beginning might support the services in performing Safety Management activities in order to avoid low quality safety work from the supplier and to avoid a drastic increase in the price level.

Safety Occurrence Reporting concentrating on the development and implementation of a Safety Occurrence Reporting and Investigation System, which is one of the cornerstones in the Lesson Dissemination and in the Safety Awareness/Culture.

Internal Safety Audit where procedures shall be developed and a number of internal Safety Audits shall be performed.

Safety Performance Monitoring covering the implementation of processes and elements which constantly monitor the safety of the organization including Performance Targets are and Indicators.

Safety Records which is the documentation structure of any event which might have an impact on the Safety Level or which could lead to the improvement of the overall system safety wise.

Lesson Dissemination comprising the elements and activities ensuring that all are aware of safety issues. Lesson Dissemination is an important element in the development and maintenance of the Safety Culture.

Safety Improvement covers activities which from the very beginning shall improve identified safety deficiencies.

The above-listed items focus on the content of a Safety Management System and thereby the Safety Management Manual.

Another approach could be to apply a more logical structure of the work packages. As the definition of the Safety Management Organization is one of the most important activities to be performed, the optimal (but seldom followed) approach in the implementation of a Safety Management System is shown at the figure below.

Figure 3-1: implementation steps

The procedure illustrated above highlights that the development and implementation of a well functioning Safety Management Organization is essential. The implementation covers not only the organizational structure, but also job descriptions (Terms of Reference), accountabilities, responsibilities, reporting lines and all other topics/issues related to the development of any type of organization.

Safety Regulation

Safety Organization

Safety Mgt System

First step

Second step

Third step


Safety Procedures. This is the activity covering the implementation of the procedures developed in connection with the Safety Management Documentation. The different Safety Procedures shall be implemented in different ways and the activities how to ensure the correct implementation should be included in this work package.

Safety Documentation covers the development of the different types of documentation such as the manual, procedures, guidelines and instructions, and could also cover an issue as Safety Records etc. By gathering all activities related to the documentation in one activity, better possibility to create a coherent and complete set of documentation is provided. One of the activities in connection with this set of activities is to set standards for the documentation and to create a documentation structure.

Hands-on Experience covers all the different safety activities to be performed as part of the implementation with two objectives: to demonstrate the efficiency of the Safety Management and to verify the procedures/performance parameters developed in connection with the implementation of the Safety Management System. Acceptance of a Safety Management System is best ensured through practical examples.

Safety Culture/Marketing. The terminology marketing is used as building a Safety Culture can be considered as a marketing activity where the concept of Safety Management shall be introduced and accepted in the organization. Note that it is the concept of Safety Management and not the concept of Safety which has to be introduced.

Training covers the specific training activities as defined in the Safety Management Training Plan.

Management Commitment. One of the critical success factors when implementing a Safety Management Systems is the management commitment. Not only the commitment through nice declaration and words, but through actions taken by the management. It is recommended that a number of activities are defined with the aim of showing management commitment to Safety Management through actions visible to the staff.

Key Performance Parameter, which covers all the different parameters used in connection with the Safety Management System including Safety Performance Targets and Indicators. These parameters have to be confirmed by the management and a data collection procedure has to be put in place ensuring that compliance with the parameters is ensured.

A cross-reference matrix should be developed showing the compliance of the chosen implementation steps / activities with relevant requirements (e.g. ICAO).

Note that additional activities will be needed in case it is not only the Safety Management System, which is going to be implemented, but also the regulatory framework for the system.


4 DELIVERABLESIt is essential for the implementation of the Safety Management System and for the control and monitoring of the implementation project that the project has a number of deliverables with a specific defined content.

In this section all the deliverables have to be defined (note: delivery-date is addressed in section 5). The following issues need to be defined:

Relationship between work package and deliverable, i.e. for which work package is the deliverable applicable.

Expected number of versions of the particular deliverable.

The content of the deliverable in headlines.

Relationship between the different deliverables and if there is any dependency in the development (i.e. the Safety Management Manual has to be developed before the procedures).

All deliverables have to include the criteria for approval.

A cross-reference list illustrating that all deliverables necessary for the compliance with relevant requirements should be developed.


5 SCHEDULEThis section will contain all the schedule requirements and detail the timing of any activity, milestone, phase etc. ensuring that the project is being implemented as planned and scheduled.

The schedules can have different levels of details. Normally, two levels of details are applied: a one-year plan with reasonable details (showing the schedule on a weekly basis) and a three-year plan where the overall milestones and activities are shown, but not detailed. The schedule will then be updated on a half yearly basis.

Furthermore, it is highly recommended to make use of a 'three month ahead' day-to-day planning, where all activities in the forthcoming three months are planned. This day-to-day plan would normally not be a part of the implementation plan, but be a document for the management to use for the monitoring of the project.

This is a general concept which should be applied. Whilst the Implementation Plan includes all the necessary planning information, the management for the implementation project may require additional project management documentation containing precise details.

5.1 Schedule, Phase, Milestones and Activities

The detailed schedule shall include a number of details including the duration of each phase and - within each phase - the activities that need to be performed.

Furthermore the relationship between the activities/phases and the milestones needs to be stated, so it is clear when each milestone will be achieved and which activities shall be performed before the milestone can be declared met.

During the planning and development of this section is shall be ensured that: The schedule is consistent meaning that an activity which requires the performance of another

activity is planned after (i.e. training is performed before the actual performance of the activity).

The dependencies are verified ensuring that all dependencies are identified and all dependencies are relevant.

The duration of all activities has been verified and is likely. The critical path shall be identified and the schedule must have some free space for delays.

The planning of the implementation process is not different from traditional project planning. The same tools and methods shall be used. Even though it should be the safety staff leading the implementation project, additional staff with project management and planning knowledge can be assigned to the project with great benefit. This will de-risk the implementation of the Safety Management System.

5.2 Schedule, Deliverables

Similar to the milestones, activities etc., the different deliverables need to be planned and scheduled. In this connection it is important to emphasize that the deliverables shall refer to an activity and a milestone enabling verification that the delivery from the project has taken place.

The present plan presents two sections: one for the phases, activities and milestones and one for the deliverables. However, this is not a key issue and a different arrangement can be applied. Thus, the Implementation Plan may include one section, two sections or maybe four sections as applicable and dependent on the complexity of the planning.

Another approach could be to present the milestones and the deliverables in headlines in the plan, and keep the details in an annex. No optimal way or best practice exists in this area. It depends on the internal standards and what is found most appropriate.


Note that the schedule planning and the management of the schedule should be supported by a traditional and not too complex project planning tool on a PC. This will give a quick access to the monitoring and follow-up on the schedule.


6 ORGANIZATIONThis section shall address all the organizational issues related to the implementation of the Safety Management System2. Presently the section only shows examples on how the description of the organization can be performed. However other alternatives might be equally applicable and additional issues, which should be addressed in connection with the project organization, might require additional sub-sections.

The project organization described here should be supported with the detailed Terms of Reference for the project organization and it is important that names are assigned to the different roles in the organization.

It must also be stressed that it is important that the present/future Safety Managers and the Safety Specialist to some extent is involved in the organization responsible for the implementation.

6.1 Project Organization

A detailed diagram of the organization must be included in the implementation plan showing the project manager, supporting functions, teams, etc. Several ways to organize an implementation of a Safety Management System exist and no optimal organizational form exists. It depends on culture and tradition of the relevant organization.

Basically there are two different forms: either through a well-established project organization or through a team organization. The two alternatives are shown in the figure below:

Figure 6-1: project organization

The figure above illustrates a traditional project organization. In some cases it might be a more optimal solution to implement the Safety Management System by using teams instead which will result in more staff to be involved in the implementation of the system. This structure will also require additional project management effort as it is more difficult to control.

No matter which alternative is chose, Terms of Reference must be developed together with the names on the individuals participating in the organization.

6.2 Relationship with Other Organizational Units

An implemented Safety Management System will interface with all departments of the provider, and it is strongly recommended that the interfaces to the departments are clarified. Each department should have its own Safety Specialist providing a natural interface to the department.

However not only the Safety Specialist should be involved in the implementation. Since the implementation of the Safety Management System is an organizational task and includes the development of a Safety Culture, the whole department should sooner or later be involved in the implementation process.

How to interface with the other departments should be described in this section.

2 The organization for the operation of the Safety Management System is described in the Safety Management Manual.

Project Manager

Administrative Support

Safety SpecialistTECH Responsible

OPS Responsible

Implementation Management

Safety Assessment team

Safety Culture Development team

Safety Reporting team


6.3 Relationship with the Regulator

Many external parties will be involved in the implementation of the Safety Management System. A special section should describe the organizational interfaces to these units including the regulator, ICAO and any other external party, who is a major stakeholder in the implementation of the Safety Management System. It is of vital importance to get these interfaces clarified and described in the implementation plan.


7 SPECIAL PROCEDURESThis section is only needed if any special procedure is put in place in connection with the development and implementation of the Safety Management System. This could be procedures such as:

Review procedures to be applied before a deliverable is issued.

Procedures related to the regulatory approval of the deliverables.

Special configuration management procedures of the documentation

Versioning of the documentation.

Many different types of procedures might be applied as appropriate.


8 PROJECT RESOURCESHaving the sufficient resources available for the implementation of the Safety Management System is fundamental. Hence, already from the very beginning of the planning, commitment from the management concerning availability of sufficient resources shall be visible.

During the implementation process, it is important that the right profiles of resources are available including the following profiles:

The present and/or future Safety Manager(s).

Safety Specialists from the different units.

Project Planning staff who can support the timely implementation of the project.

For each of these categories, it should be stated how many resources are required.

Furthermore, it should be decided whether or not external experts will be used in the development and implementation of the Safety Management System. If chosen, this should also be described in the present section.

Additional to the human resources, statements shall be provided concerning other types of needed resources such as:

Traveling

External training

Literature and other similar external costs.

It is important that the resource requirements refer to the schedule, as the requirements might differ during the different phases of the project.

Finally the management should be committed to release the resources requested. In case the resources cannot be released, the schedule and level of ambition in connection with the implementation should be adjusted accordingly.

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