1. Safety Management System Implementation
Michael Niels Thorsen
Moscow 15 September 2005

2. Why Focus on Implementation?
Safety Management is accepted
Safety culture is created
Management commitment is demonstrated
Efficiency of Safety Management is demonstrated
Safety knowledge base is built
Safety is integrated in organisation and procedures
INTEGRA CONSULT A/S

3. Important Issues During Implementation
Training
Knowledge transfer
Demonstration of the efficiency of Safety
Development and test of procedures
Plan carefully
Ensure resources
Use the right people
INTEGRA CONSULT A/S

4. Agenda Introductory comments Key tasks to be performed Timeframe
Closing Notes
INTEGRA CONSULT A/S

5. Introductory Comments
Implementation process must correspond to:
Size of organisation
Complexity of operational environment
National Regulatory requirements
Safety Management System is not just a manual and procedures, but also
Senior management commitment
Safety culture throughout the organisation
Maximise re-use of existing procedures, e.g:
Procedures for investigation of ATC incidents
INTEGRA CONSULT A/S

6. Introductory Comments cont.
Arrange a step-by-step introduction
Start with the higher levels such as,
Safety Management Manual
Central Safety organisation
Select areas, where safety management is reasonably simple and the changes to be introduced are controllable
Use feedback to adjust approaches and practices
Allow the organisation to gradually adapt to new procedures
Safety does not happen by accident. Safety needs to be managed and, for the reasons I have just mentioned, safety needs to be managed on an organizational basis. This means that organizations should have a system that provides a systematic, explicit and comprehensive process for managing the safety of its air traffic management activities. The formal, systematic procedures and practices for the management of safety by these organizations are generally referred to collectively as a safety management system.
A safety management system will provide an organization with the capacity to anticipate and address safety issues before they lead to an incident or accident. A safety management system also provides organizations with the ability to deal effectively with accidents and near misses so that valuable lessons are applied to improve safety and efficiency.
INTEGRA CONSULT A/S

7. Introductory Comments cont.
Use expertise available to ensure success first time, e.g.:
Within the organisation itself
From other service providers who have been through the process
External assistance
Important to show experience in practice
It must not be a theoretical approach
Ensure knowledge transfer
INTEGRA CONSULT A/S

8. SMS Implementation – Key Tasks (1)
Development of overall strategy for SMS implementation
Development of Safety Policy
Define organisational structure
Review safety management functions currently available
Develop detailed Safety Management System Implementation Plan
Develop Safety Management Manual
INTEGRA CONSULT A/S

9. SMS Implementation – Key Tasks (2)
Develop and implement
Safety Monitoring Programme
Safety Assessment Programme
Safety Audit Programme
Safety Promotions
Review and define safety responsibility of staff
INTEGRA CONSULT A/S

10. Philosophy of Safety Management
The Concept of SMS
Safety Culture
Safety
Monitoring
Assessment
Auditing
Promotion
Maintenance or
Improvement
of Safety
Performance
Philosophy of Safety Management
Safety
Policy
Supporting
organisational
requirement
Safety Management
INTEGRA CONSULT A/S

11. SMS Implementation Overall Strategy
Must define the organisation’s overall strategy for introducing Safety Management
Must show the full commitment of the senior management
Must establish clear relationships with the Regulator
Must be communicated to all personnel
INTEGRA CONSULT A/S

12. SMS Implementation Safety Policy
Senior Management develops the Safety Policy
Must be approved by the Board or similar authority so its endorsements are not questioned
Must be communicated to all personnel
The Regulator must approve the Safety Policy
INTEGRA CONSULT A/S

13. SMS Implementation Define Organisational Structures
Organisational entities
Safety Department/Safety Management Function
Safety Committees
Safety Experts
Ensure independency of the Safety Function
Not part of the Line Organisation
Direct reporting lines to top management (no filtering)
Staff core organisation
Appoint the Safety Manager(s)
Develop Job Description
INTEGRA CONSULT A/S

14. SMS Implementation Review Available Safety Functions
Try to re-use as much as reasonbly possible
Include existing procedures in the SMS baseline
Visit each department/unit:
Introduce the concepts of safety management
Identify safety management procedures and practices currently used
Review these and identify possiblity to re-use, maybe after some adjustments
INTEGRA CONSULT A/S

15. SMS Implementation SMS Implementation Plan (1)
The implementation of a Safety Management System should be carefully planned and documented
Most Guideline Materials only provide general guidelines
The Safety Management System Implementation Plan must:
Provide the organisation’s strategy for the implementation
Define the organisation responsible for the implementation
INTEGRA CONSULT A/S

16. SMS Implementation SMS Implementation Plan (2)
The Safety Management System Implementation Plan must:
Provide a set of activities to be performed, show the dependencies, input and output
Provide a Scope of Work for the management as well as for the organisation
Define resources required
Provide a set of well defined milestones with clear achievements for monitoring progress
INTEGRA CONSULT A/S

17. SMS Implementation Develop Safety Manual
The Safety Manual must document the structure of the Safety Management System and associated safety procedures and practices
The Safety Manual will be produced as a first draft early in the process and be amended, updated or adjusted as the work progresses
The survey performed re. Safety Functions will provide input to ensure maximum re-use of existing procedures and practices
INTEGRA CONSULT A/S

18. Safety Implementation Safety Manual Structure
Procedures
Practices/
Work
Instruction
INTEGRA CONSULT A/S

19. Safety Implementation Safety Monitoring Programme
Define and document safety performance indicators to be used to measure performance within the safety area
Develop safety occurance & investigation reporting systems
Promote reporting system
Perform training of personnel involved in the safety occurance investigation as well as the safety monitoring
INTEGRA CONSULT A/S

20. Safety Implementation Safety Assessment Programme (1)
Define procedures to be used to carry out Safety Assessments, including
National Risk Classification Scheme (RCS)
ANSP Risk Classification Scheme (ANSP RCS)
Safety Objective Classification Scheme (SOCS) – individual for each project
The work needs close coordination with the Regulators to ensure that the end result will be adequate for their Certification Process
INTEGRA CONSULT A/S

21. Safety Implementation Safety Assessment Programme (2)
Define the Regulators’ involvement as different stages in the development of the Safety Assessments
Extensive training will be required for the staff involved in performing the assessments
INTEGRA CONSULT A/S

22. Safety Implementation Safety Audit Programme
Define when audit programmes are developed (e.g. once a year)
Define how to select areas to be audited
Define the audit process
Define arrangements
Idea to use ISO-standards as an input to design of audit programmes and the performance of audits
Auditors could be trained in a similar way to Quality Auditors
INTEGRA CONSULT A/S

23. Safety Implementation Safety Promotion
Promulgate safety policy
Promulgate revised organisational structure and accountabilities
Arrange training programme for personnel directly involved in safety management
Update other training programmes to reflect safety aspects
Develop the Safety Awareness Programme
INTEGRA CONSULT A/S

24. SMS Implementation Responsibility of Personnel
Review current responsibilities
Amend as necessary and document responsibilities as part of the job descriptions
Perform Safety Awareness – specific and in general
INTEGRA CONSULT A/S

25. SMS Implementation Timeframe
Depending on the size of the organisation and complexity of the service implementing an SMS may take from 1 to 3 years
There may be an additional 1 to 2 years to consolidate processes re-aligning them based on initial experience, etc.
From then on its normal maintenance and adjustments to new developments in the environment
INTEGRA CONSULT A/S

26. Implementation Schedule
1 Quarter
Year 1
2 Quarter
3 Quarter
4 Quarter
Year 2
Year 3
Initiation
Establish organisation
Develop safety policy
Define organisa-tional structure
Review currently available safety management functions
Develop safety management system implementation plan
Develop core safety management activities
Review and define safety responsibilities
Personnel awareness & training
INTEGRA CONSULT A/S

27. Closing Notes Keep a pragmatic approach
Keep it simple – don’t overdo things
Re-use as much as possible
Don’t make things theoretical
Remember where we are coming from
Nothing new – safety has been an integrated part of our work for decades
Ensure feedback from practitioners is used to refine/adjust the system
INTEGRA CONSULT A/S