SMP03. Safety Planning

System Revision ID ASEMS Document Version Effective From State
3699 3.1 26/06/2017 - 00:15 Extant

3.1. Overview

3.1.0.1.

The objectives of a Project Safety Management Plan (SMP) are twofold:

  1. To ensure that the safety performance of the system is acceptable throughout its life;
  2. To provide and maintain adequate assurance information that this is being achieved.

3.1.0.2.

These objectives can only be realised by following a co-ordinated and structured approach to Safety throughout the system lifecycle. This encompasses setting appropriate requirements as well as conducting Risk Management as an integral part of system development.

3.1.0.3.

Separate project SMP's are to be produced both by the MOD Project and by the contractor. Each SMP defines the safety activities to be conducted by that organisation, so they are closely related to each other. The programmes that they contain will also be linked to activities of system development, trials and any Safety approvals required. Similarly, the Independent Safety Auditor’s Audit Plan will also be linked to these activities.

3.1.0.4.

This procedure is concerned with the SMP for the MOD Project rather than plans produced by the contractor or Independent Safety Auditor.

3.1.0.5.

A Safety Management Plan is defined in Def Stan 00-056 as:

“A document that defines the strategy for addressing safety and documents the Safety Management System for a specific project.”

3.2. Procedure

3.2.1. Objectives

3.2.1.1.

The SMP details the MOD’s Safety Management Activities for the Project and therefore:

  1. Ensures that safety responsibilities are recognised and properly allocated;
  2. Defines the Safety Programme timescales and so supports the timely completion of tasks and identification of any slippage.

3.2.1.2.

The MOD Project SMP forms an essential element of the Through Life Management Plan. Each project requires a SMP explaining how the Team Leader will demonstrate that the system will be tolerably safe throughout its life.

3.2.1.3.

The publication and agreement of the arrangements detailed in the SMP should be the mechanism through which the MOD through-life safety management of the equipment is established. The SMP is the formal record of the way the MOD manages safety for a project.

3.2.2. Scope

3.2.2.1.

The SMP must consider all aspects of equipment safety including, but not restricted to;

  1. General Equipment Safety;
  2. System specific requirements i.e. Airworthiness, Ship Key Hazards etc.;
  3. Occupational Safety i.e. Manual Handling, Packaging, Transport and Storage, Control of Substances Hazardous to Health etc.;
  4. Safety of operation;
  5. Infrastructure interfaces;
  6. Maintenance;
  7. Training;
  8. Disposal.

3.2.2.2.

The SMP must be detailed for the current stage of the acquisition cycle but must also define a workable safety strategy for all the remaining stages, including Disposal. This safety strategy covers both the MOD’s input to Safety engineering and Safety Assurance aspects, including Safety Case development and Safety Approvals.

3.2.3. Content

3.2.3.1.

The Project SMP should contain the following information:-

  1. Outline Description. Description of the equipment, clearly defining the purpose and capability expected (and eventually achieved) of the project. Clearly identify the range, or variants, of the equipment covered, its purpose, operating cycle and environment and defining interfaces with other equipment and levels of competence expected of the operator(s);
  2. Safety Management System. Details of the Safety Management System including its aims and objectives, the managerial and technical tasks to be undertaken and the organisation responsible for implementing them;
  3. Responsibilities and Resources. The management structure, responsibilities, resources and interfaces with contractors necessary for the implementation of the safety programme. This should include the roles and details of all personnel involved throughout the life of the project. It should include the Team Leader, Project Safety Officer, Equipment Capability Customer, Maintainers, Users and the Project Safety Committee. The reporting chain should be identified within the plan. A RACI (Responsible, Accountable, Consulted, Informed) Chart should be used to define the responsibilities and accountabilities of the authorities involved in the implementation of the MOD Project Safety Programme;
  4. Audit. Details of the audit arrangements for the project, including internal and independent audits;
  5. Requirements, Objectives, Targets and Acceptance. A definition of the safety requirements, objectives, targets, regulation, licensing and certification requirements and acceptance criteria for the project. Details of statutory safety standards, legislation and regulations, and any restrictions or exemptions that may apply. The means and criteria by which the requirements are to be demonstrated and accepted are to be clearly defined (these elements will form part of the technical requirement for the project and will become deliverables under the contract);
  6. Scope of the Safety Case. Clearly identify the range and variants, of the equipment covered, its purpose, operating cycle and environment to be covered e.g. the operating envelope;
  7. Safety Case Strategy. The definition of the strategy to be followed for the Safety Assessment. This should give a full breakdown of all the techniques to be used to identify, analyse, assess and control hazards;
  8. Safety Programme. The programme of work that identifies and schedules the tasks contained in the previous paragraphs. This programme should be linked to key stages in the Through Life Management Plan.

3.2.3.2.

An outline Project SMP has been provided in Further Guidance - Template for Project SMP. Additional advice is available from the Defence Safety Regulators.

3.3. Responsibilities

3.3.1. Accountability

3.3.1.1.

The Team Leader is accountable for the completion of this procedure. 

3.3.2. Procedure Management

3.3.2.1.

The Team Leader may delegate the management of this procedure to a member (Safety Manager) or members of the Delivery Team.

3.3.3. Procedure Completion

3.3.3.1.

The Project Committee (PSC) is responsible for drafting and endorsing the SMP and agreeing the safety targets, requirements and acceptance criteria.  It is important that all organisations with Safety responsibilities described in the SMP should review the SMP described and agree that it is accurate.

3.3.3.2.

The SMP endorsed by the PSC shall be accepted formally by the MOD delegated Authorities for Procurement, Support and Operation. 

3.4. When

3.4.1. Initial Production

3.4.1.1.

The SMP should be produced on behalf of the Team Leader at the earliest stage of the project, e.g. at the beginning of the Concept stage and be updated as the project progresses through the acquisition stages.

3.4.2. Review, Development and Acceptance

3.4.2.1.

It is recommended that the SMP should be reviewed to a predetermined project programme particularly if there are major changes to the programme.  It must accurately record arrangements and should be reviewed at each meeting of the PSC, or at least annually.

3.4.2.2.

The SMP endorsed by the PSC shall be accepted formally by the MOD delegated Authorities for Procurement, Support and Operation.  When any of the signatories change, the SMP shall be re-issued and formally accepted again by the delegated authorities.

3.4.2.3.

The SMP evolves as the project matures and additional information becomes available or decisions are made.  Early iterations will only outline broad strategies and goals; later iterations will become more definitive.  This will enable important safety management tasks to be carried out during the subsequent acquisition stages.

3.5. Required Inputs

3.5.0.1.

This procedure for Safety Planning requires inputs from:

  1. Outputs from procedure SMP01 – Safety Initiation;
  2. Outputs from procedure SMP02 – Safety Committee.

3.5.0.2.

The SMP must be integrated with other management plans produced by the Team Leader throughout the acquisition cycle to ensure its effectiveness. It shall also be of sufficient detail to stand alone for all safety planning activities.

3.5.0.3.

The development of the SMP will be based on the following:

  1. Overall Project Programme;
  2. User Requirements Document and System Requirements Document;
  3. Through Life management Plan;
  4. Existing descriptions of the Safety Management Arrangements for organisations involved in the Project (e.g. Project Team Safety Management System descriptions).

3.6. Required Outputs

3.6.1. Safety Plan

3.6.1.1.

The SMP defines the strategy for addressing safety and interprets the Safety Management System for a specific project. It also contains the Safety programme which documents safety timescales, milestones and other date-related information.

3.6.1.2.

The SMP may be based on template for Project SMP in the Further Guidance section. It should not be confused with the requirement of Defence Standard 00-056 for the contractor to produce a Safety Plan.

3.6.1.3.

Devising a general plan is not practical: each plan must be tailored to its project and goals.

3.6.1.4.

See Further Guidance - RACI Chart for an example of a RACI (Responsible, Accountable, Consulted, Informed) Chart which might be used as part of a Project SMP to define the responsibilities and accountabilities of the authorities involved in the implementation of the MOD Project Safety Programme.

3.6.2. Records and Project Documentation

3.6.2.1.

Where relevant, the outputs from this procedure should feed into the following:

  1. System Requirements Document – for any specific Safety requirements;
  2. Customer Supplier Agreement – to document agreements on Safety information to be delivered by the Delivery Team;
  3. Through Life Management Plan;
  4. Safety elements of Initial Gate and Main Gate submissions.

3.6.2.2.

Project Safety Committee meeting minutes should record the review of the SMP and any decisions made regarding its amendment and up-issue.

3.7. Further Guidance

3.7.1. General Guidance

3.7.1.1.

Where it is considered beneficial, a combined committee should be established for the safety and environmental management activities. It will ensure that the programmes are aligned as far as possible and that data is shared where relevant.

3.7.1.2.

Where there are separate safety and environmental committees, these should meet consecutively over a morning and afternoon – with membership and specialists attending as appropriate to each.

3.7.1.3.

The SMP may cover groups of similar projects within a Delivery Team where common activities are required, although separate committees are envisaged for very large, high risk or diverse projects within a Delivery Team.

3.7.1.4.

The Project Safety Committee should meet regularly as a body, or its work should be included as a permanent item in another forum (in this instance care should be taken that all relevant parties are included), or simply through written communications. This last option is less desirable because there is no opportunity for direct interaction.

3.7.1.5.

The Project Safety Committee is different from the Ordnance, Munitions and Explosives Safety Review Panel who are independent of the Ordnance, Munitions and Explosives System Delivery Team and will have delegated authority to endorse the Ordnance, Munitions and Explosives Safety Case Report. The Ordnance, Munitions and Explosives Safety Review Panel are thus part of the Regulatory/Assurance function rather than having responsibility for the active management of Safety through the acquisition life cycle.

3.7.2. Project Safety Committee Authority and Competence

3.7.2.1.

The Chairman of the Project Safety Committee should hold a Letter of Delegation detailing the authority for carrying out the safety management tasks on that programme.

3.7.2.2.

The Project Safety Committee will provide information and specialist advice to those who have specific responsibility for Safety Management on an Acquisition Project, so that they can reach informed decisions. The Team Leader with safety delegation from the Chief Executiive Officer will seek and consider relevant advice through the Project Safety Committee, but remains the decision maker.

3.7.2.3.

Whilst not all members of the Project Safety Committee need specific competence and experience in safety management, some committee members should have this competence and their advice listened to. Those with safety management competence would typically include the Project Safety Manager, the Independent Safety Auditor (if appointed) and the Team Leader.

3.7.2.4.

The Project Safety Manager should have attained Functional Competence SysSaf 1 level 3 as a minimum and the Team Leader, level 1.

3.7.3. Review and Agreement of Safety Documents

3.7.3.1.

The role of the Safety Committee should include reviewing safety documents and advising the Team Leader on their suitability. Agreement that the document is suitable can be signified in various ways and the Team Leader should define which is required. Methods for recording the review and its findings should include:

  1. Formal sign off of the document by all members of the Project Safety Committee;
  2. A recommendation, recorded in Project Safety Committee minutes, that the document is satisfactory and can be authorised for release by the agreed signatory.
3.7.4. Guidance for Different Acquisition Strategies

3.7.4.1.

The requirements for Project Safety Committee do not change for Acquisition conducted through intergovernmental agreements, OCCAR, multilateral or collaborative programmes.  The Terms of Reference and membership of the Safety Committee may be affected by the different authorities involved and the scope of the Team Leader’s delegated authority.

3.7.5. Warnings and Potential Project Risks

3.7.5.1.

The SMP is the principal mechanism for managing Project Risks associated with the safety activities. If the plan is not accurate or is not kept up to date, then the effects of delays in the safety activities or changing project timescales may not be recognised and managed.

3.7.5.2.

If the SMP is not sufficiently detailed, then required safety activities may not be identified and planned into the programme. This may have adverse effects on the project time and cost once the missing activities are recognised and performed. If the requisite activities are not undertaken at all, then either the safety performance may not be adequate, or the necessary safety assurance evidence may not be generated. The former would lead to avoidable accidents and the latter to an inadequate Safety Case that might prevent the system being accepted into service.

3.7.5.3.

If the SMP is not reviewed and endorsed by the PSC, then it is possible that the Project SMS described in the plan may not be an accurate reflection of the Safety responsibilities as understood by other parties. The programme of activities contained in the SMP might not be achievable if resources required are not available at the times assumed.

3.7.6. Template for Project Safety Management Plan

3.7.6.1.

TITLE

Title of equipment or system to be procured with Requirement reference number.

3.7.6.2.

DESCRIPTION

A brief description of the project including its purpose and the environment it is to operate in. The scope of the project and interfaces with other equipment are also to be identified.

3.7.6.3.

INVOLVEMENT OF SPECIALIST SAFETY ADVISORS

List any specialist advisors who need to be involved in the programme and send them a copy of this plan where required. Such advisers should include the Ship Safety Management Office (SSMO), Ammunition Support Group (ASG) or the Defence Ordnance Support Group (DOSG).  In cases where there is no natural alignment with a particular domain advisor, then consult QSEP for advice.

3.7.6.4.

PROJECT SAFETY MANAGEMENT SYSTEM

A description of the Safety Management System within the MOD delivery team to include:

  1. The aims and objectives of the safety management system;
  2. Technical tasks to be undertaken and organisation responsible for implementing them;
  3. Identification of project staff with responsibility for carrying out safety tasks. Include those who are to be issued with letters of delegation;
  4. Cross refer to any relevant project safety documents or reports;
  5. A regime for internal or independent audits of the safety management system;
  6. Details of the project safety panel;
  7. Responsibilities, resources and interfaces with MOD, contractor and specialist advisors;
  8. Safety reviews, feedback and reporting procedures;
  9. Transfer arrangements;
  10. Design changes;
  11. Contractor’s trials.

3.7.6.5.

SAFETY REQUIREMENTS

  1. Safety requirements arising from legislation;
  2. MOD Certification requirements;
  3. Acceptance criteria;
  4. Safety requirements from the Requirement or ;
  5. Safety targets;
  6. Safety related standards to be applied e.g. British Standards, Defence Standards, International Standards or overseas standards.

3.7.6.6.

PROGRAMME OF WORK

Identify the tasks that will enable the safety requirements to be met and develop this into a schedule of work on a Gantt or PERT chart, link to key stages in the Through Life Management Plan.

3.7.6.7.

SAFETY CASE STRATEGY

This strategy should support the programme of work above. It will give consideration to the types of analyses and testing to be carried out. It will define the scope of work of the safety case and interfaces with associated equipment safety cases.

3.7.6.8.

APPROVAL

This plan will be approved by person with delegated authority.

3.7.6.9.

DISTRIBUTION

Plan to be distributed to the management area with responsibility for in-service support. The plan will also be distributed to Team Leaders procuring equipment with which the project interfaces and or interacts.

3.7.7. RACI Chart

3.7.7.1.

The SMP should contain a RACI Chart to define which authority is Responsible, Accountable, Consulted or Informed for each of the activities in the Safety Programme. A simple example is given below:

Activity

Team Leader

Project Safety Manager

Independent Safety Auditor

Contractor Project Safety Engineer

Equipment User

Safety Case Preparation

A

R

I

R

I

Safety Case Endorsement

A

I

R

I

I

Hazard Log Administration

A

I

-

R

-

Safety Requirements Preparation

A

R

-

R

C

Key:

R - Responsible

A - Accountable

C - Consulted

I - Informed

 

3.8. Version Control

3.8.1. Version 2.3 to 3.0 Uplift

3.8.1.1.

Major uplift from the Acquisition System Guidance (ASG) to online version. POEMS has undergone major revision. Refer to the POEMS Transition Document for details.

3.9. Version 3.0 to 3.1 Uplift

3.9.0.1.

A minor uplift to correct spelling, grammar, and to remove some duplication of text.

Subject to Policy Clauses

3.2

Safety and Environmental Management Plan

Operating Centres or equivalent shall ensure that all Products, Systems or Services have a suitable and sufficient through life safety and environmental management plan.

3.3

Stakeholder Agreements

Agreements between Stakeholders shall define and document system safety and environmental protection responsibilities.

3.4

Availability of Resources

Operating Centres, Project Teams or equivalents shall ensure the availability of resources necessary to establish, implement and maintain the safety and environmental management system and detail these in a through life safety and environmental management plan.

3.5

Core Element Documentation

Operating Centres, Project Teams or equivalents shall establish, maintain and retain suitable and sufficient information that describes the core elements of the safety and environmental management system(s), their interaction and any related documentation.

3.6

Accountability

Within Operating Centres, Project Teams or their equivalents, named individuals shall be appointed who shall have defined roles, responsibilities, accountabilities and authority for ensuring safety and environmental management systems are established, implemented and maintained in accordance with the requirements of ASEMS.

3.7

Monitoring

Operating Centres, Project Teams or equivalents shall establish, implement and maintain a suitable and sufficient procedure to monitor and measure safety and environmental performance of their safety and environmental management system on a regular basis.

3.9

Internal Audit

At planned intervals commensurate with the risk: i) Operating Centres shall audit their Project Teams' or equivalents' safety and environmental management systems. ii) Project Teams or equivalents shall audit the safety and environmental management systems of their projects. iii) The DE&S Quality, Safety and Environmental Protection Team shall audit the safety and environmental management systems of Operating Centres and Project Teams.

3.10

Review

Operating Centres, Project Teams or equivalents shall review their safety and environmental management systems, at planned intervals commensurate with the risk, to ensure their continuing suitability, adequacy and effectiveness.

4.1

Safety Cases

Project Teams or equivalents shall establish and maintain through-life safety cases that provide a compelling, comprehensible and valid argument that a Product, System or Service is safe for a given application in a given operating environment.

4.3

Identification of Legislation and other Requirements

Operating Centres or equivalent shall establish and maintain a procedure for identifying and accessing the relevant safety and environmental legislative and other requirements that are applicable to their projects.

4.4

Compliance with Legislation and other Requirements

Project Teams or equivalents shall establish, and demonstrate compliance with, relevant legislation and other requirements.

4.7

Safety and Environmental Objectives and Targets

Operating Centres, Project Teams or equivalents shall establish and maintain relevant safety and environmental objectives with a resourced programme to achieve targets.

4.8

Accident and Incident Records

Operating Centres, Project Teams or equivalent shall monitor and record incidents where the performance of their Product, Systems or Services either caused or had the potential to cause harm to individuals or damage to the environment and use this information to keep their risk assessments valid.

6.1

Roles and Responsibilities

Operating Centres, Project Teams or equivalents shall demonstrate that competence requirements have been established for all roles in accordance with the DE&S System Safety & Environmental Protection Role Profiles.

Process Maps

SMP A1
Assessment Phase Activities

Process map 1 for the Assessment phase of a POSMS

SMP C1
Concept Phase Activities

Click here to view

SMP DM13
Safety during Manufacture

Click here to view

SMP I1
In Service Phase Activities

Click here to view

SMP I5
Update Safety Case Report - Review / Reissue

Click here to view

Covered by Audit Question Sets

3.2

Audit Question Set Section 3.2 Safety and Environmental Management Plan

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 3.2.

3.3

Audit Question Set Section 3.3 Stakeholder Agreements

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 3.3.

3.4

Audit Question Set Section 3.4 Availability of Resources

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 3.4.

3.5

Audit Question Set Section 3.5 Core Element Documentation

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 3.5.

3.6

Audit Question Set Section 3.6 Accountability

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 3.6.

3.7

Audit Question Set Section 3.7 Monitoring

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 3.7.

3.9

Audit Question Set Section 3.9 Internal Audit

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 3.9.

3.10

Audit Question Set Section 3.10 Review

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 3.10.

4.1

Audit Question Set Section 4.1 Safety Cases

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 4.1.

4.3

Audit Question Set Section 4.3 Legislation Identification and Other Requirements

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 4.3.

4.4

Audit Question Set Section 4.4 Legislation Compliance and Other Requirements

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 4.4.

4.7

Audit Question Set Section 4.7 Safety and Environmental Objectives and Targets

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 4.7.

4.8

Audit Question Set Section 4.8 Accident and Incident Records

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 4.8.

6.1

Audit Question Set Section 6.1 Competence

The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 6.3.