Sms Small Operator 107 002 e

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Advisory Circular

Subject:Safety Management Systems Development Guide for SmallOperators/Organizations

Issuing Office: Civil AviationActivity Area: Oversight AC No.: 107-002

File No.: Z 5015-11-2 Issue No.: 01

RDIMS No.: 2382587 Effective Date: 2008-06-15

TABLE OF CONTENTS

1.0 INTRODUCTION.............................................................................................................................. 21.1 Purpose...........................................................................................................................................2 1.2 Applicability....................................................................................................................................2 1.3 Description of Changes................................................................................................................. 22.0 REFERENCES AND REQUIREMENTS .........................................................................................22.1 Reference Documents...................................................................................................................22.2 Cancelled Documents.................................................................................................................... 22.3 Definitions and Abbreviations ......................................................................................................23.0 BACKGROUND............................................................................................................................... 33.1 What is this guide for and who should use it? ...........................................................................33.2 What is a SMS? ..............................................................................................................................33.3 Key Generic Features of the SMS Approach ..............................................................................44.0 SMALL OPERATORS/ORGANIZATIONS GUIDE......................................................................... 54.1 Determining Complexity................................................................................................................ 54.2 Appendix A: Safety Management Plan ........................................................................................54.3 Appendices B to E .........................................................................................................................75.0 CONTACT OFFICE ......................................................................................................................... 7APPENDIX ASAFETY MANAGEMENT PLAN .................................................................................................8 APPENDIX BOCCURRENCE REPORT AND HAZARD IDENTIFICATION FORM .................................................49APPENDIX CINCIDENT/ACCIDENT ANALYSIS ............................................................................................50 APPENDIX DCORRECTIVE/PREVENTATIVE ACTION PLAN.......................................................................... 51APPENDIX ERISK MANAGEMENT WORKSHEET.........................................................................................52 APPENDIX FRISK MATRIX .......................................................................................................................54


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Safety Management Systems Development Guide for Small Operators/Organizations

2008-06-15 2 of54 AC 107-002 Issue 01

1.0 INTRODUCTION

This Advisory Circular (AC) is provided for information and guidance purposes only. It may

describe an example of an acceptable means, but not the only means, of demonstrating

compliance with regulations and standards. On its own, this AC does not change, create, amend

or permit deviations from regulatory requirements, nor does it establish minimum standards.

1.1 PurposeThe purpose of this document is to provide additional guidance on the practical application of the

regulations pertaining to Safety Management Systems (SMS). This guide provides examples of

SMS processes suitable for small operators/organizations operating under the Canadian AviationRegulations(CARs) Parts IV, V and VII.

1.2 Applicability

This document is applicable to the aviation industry, delegates, individuals and organizations and

all Transport Canada Civil Aviation (TCCA) employees when they are exercising privileges

granted to them under an External Ministerial Delegation of Authority.

1.3 Description of Changes

Not applicable.2.0 REFERENCES AND REQUIREMENTS

2.1 Reference Documents

It is intended that the following reference materials be used in conjunction with this document:

(a) Part I, Subpart 7 of the Canadian Aviation Regulations(CARs)Safety ManagementSystem Requirements;

(b) Part V, Subpart 73 of the CARApproved Maintenance Organizations;

(c) Part VII, Subpart 5 of the CARAirline Operations;

(d) Staff Instruction (SI) SUR-001, Issue 01, dated 2008-03-07Safety Management System

Assessment and Program Validation Procedures;(e) Transport Publication (TP) 14135, dated 2004-09-01Safety Management Systems for

Small Aviation OperationsA Practical Guide to Implementation; and

(f) TP 14343, Revision 1, dated 2005-06-01Safety Management System ImplementationProcedures Guide for Air Operators and Approved Maintenance Organizations.

2.2 Cancelled Documents

Not applicable.

2.3 Definitions and Abbreviations

The following definitions and abbreviations are used in this document:

(a) AC means Advisory Circular.(b) AMO means Approved Maintenance Organization.

(c) COM means Company Operations Manual.

(d) MCM means Maintenance Control Manual.

(e) MPM means Maintenance Policy Manual.

(f) Policy means a guiding principle used to set direction in an organization. It is a high-leveloverall plan that outlines goals and objectives.


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(g) Procedure means a group of interrelated activities (procedures) that convert inputs tooutputs.

(h) Process means a specified way to carry out an activity (e.g. a series of steps).

(i) SMS means Safety Management System.

(j) System means a group of inter-dependent processes and people that work together toachieve a defined result. Together, the policies, procedures and processes form the

system.

(k) TCCA means Transport Canada Civil Aviation.

3.0 BACKGROUND

3.1 What is this guide for and who should use it?

(1) In anticipation of the regulatory SMS requirements for small operators, this document has been

developed to address organizations of minimum to moderate complexity.

(2) This guidance material provides an interpretation of the intent and application of the SMS

regulatory requirements in small operators. It contains practical examples of how the components

that make up a SMS might be implemented; however, it is not meant to be a list of prescriptive

requirements or a template to be used verbatim. Each organization is required to develop policiesand procedures in accordance with their unique operating requirements.

(3) Depending on the size and complexity of the organization, the tools that make up a SMS will vary.

As such, the material contained herein is not intended as a formula for meeting the regulatory

requirements, but rather is offered as an information source for interpreting the regulatory

requirements, and is intended to pave the way forward for the successful implementation of a

SMS in an organization.

(4) Whether an organization has chosen to develop an overarching SMS manual or has incorporated

their SMS program into their existing manuals, such as the Maintenance Control Manual (MCM),

Maintenance Policy Manual (MPM) or Company Operations Manual (COM), Transport Canada

requires adequate document control in order to avoid any potential discrepancies on policy or

procedures, omissions or conflicts that could result from having multiple manuals. The format

used to document the SMS program must allow end users to promptly locate required informationto enable them to execute their functions.

(5) Amendments to the SMS manual will be treated as an amendment to the actual MCM, MPM or

COM and hence need to follow the established approval process.

(6) Users of this AC should consult the CARs and SI SUR-001, Safety Management SystemAssessment and Program Validation Proceduresto ensure that their SMS meets all regulations,applicable expectations and measurement criteria. Although the expectations outlined in SI SUR-

001 vary, all SMS regulations must be met regardless of the organizations complexity.

(7) The information and examples provided in this document were developed by applying the

applicable CARs, relevant SI SUR-001 expectations and level 3 measurement criteria to models

representing small aviation operations.

3.2 What is a SMS?

(1) In technical terms, a SMS is an explicit, comprehensive and proactive process for managing risks

that integrates operations and technical systems with financial and human resource

management, for all activities related to a Canadian aviation document.

(2) Practically speaking, a SMS is a business-like approach to safety. In keeping with all

management systems, a SMS provides for goal setting, planning, and measuring performance. It

deals with organizational safety rather than the conventional health and safety concerns in the

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workplace. An organizations SMS defines how it intends to manage air safety as an integral part

of its business management activities. A SMS becomes part of the way people do their jobs.

(3) An organizations structure, or set-up, and the activities that make up a SMS are found

throughout the organization. Every employee contributes to the safety health of the organization.

In some areas or sections, safety management activities will be more visible than in others, but

the system must be integrated into the way things are done throughout the organization. This

will be achieved by the implementation and continuing support of a safety program based on a

coherent policy that leads to well-designed procedures.

3.3 Key Generic Features of the SMS Approach

(1) There is no definitive meaning attached to the term SMS. Every organization, and industry, for

that matter, has its own interpretation of what it is. From the Civil Aviation perspective, five

generic features characterize a SMS. These are:

(a) A comprehensive systematic approach to the management of aviation safety within an

organization, including the interfaces between the organization and its suppliers,

subcontractors and business partners;

(b) A principal focus on the hazards of the business and their effects upon those activities

critical to flight safety;

(c) The full integration of safety considerations into the business, through the application ofmanagement controls to all aspects of the business processes critical to safety;

(d) The use of active monitoring and audit processes to validate that the necessary controls

identified through the hazard management process are in place and to ensure continuing

active commitment to safety; and

(e) The use of quality assurance principles, including improvement and feedback

mechanisms.

(2) When considering how to meet CARs requirements with respect to SMS, some organizations

may choose to utilize a commercial off-the-shelf system. Whilst this might be appropriate for

some organizations, the program should be tailored to meet the requirements of the individual

organization rather than assuming that one size fits all. Attention should also be given to the need

to ensure that linkages between the individual components are in place so that the systemfunctions in a cohesive manner.

(3) A SMS includes the following key components:

(a) Safety management plan;

(b) Documentation;

(c) Safety oversight;

(d) Training;

(e) Quality assurance; and

(f) Emergency preparedness.

(4) A SMS can be divided into three principle parts, all interlinked and interdependent. The key point

to remember is that if any one of these parts is missing, the system will be ineffective. The

diagram below shows how each of the regulatory requirements (per the list above) fit into the

SMS as a whole.

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Diagram 1Key Generic Features of an Effective SMS

A robust

system forassuring

safety

An effective

organizationfor delivering

safety

BA

A comprehensive

corporate

approach to

safety

F

E

D

E

D

B

AC

4.0 SMALL OPERATORS/ORGANIZATIONS GUIDE

(1) Due to the size and complexity of the infrastructure required to support large air operations, this

document is not applicable to:

(a) holders of an air operator certificate issued under CAR 705.07; or

(b) holders of an Approved Maintenance Organization (AMO) certificate issued under

CAR 573.02 whose certificate includes ratings for an aircraft of a type that, if operated in

commercial air transport, would be subject to CAR 705Airline Operations.

(2) Guidance for the large complex organizations indicated above can be found in TP 14343Safety

Management Systems Implementation Procedures Guide for Air Operators and ApprovedMaintenance Organizations.

4.1 Determining Complexity

(1) To assist organizations in developing their SMS using the guidance provided in this document, it

is necessary to determine the degree of complexity of the organization. In order to do so, various

factors, such as the number of employees, number of certificates held, number of bases, different

types of equipment operated as well as the operational environment, must be considered.

(2) There is no overall complexity formula that takes all variables into account. Determining where an

organization may fit in this guide is based on many factors and variables, including an

understanding of the operation itself and its environment. Users should consider factors affecting

their organization and then determine whether their operations are of minimal or moderate

complexity, as identified in Appendix A of this document. For example, a small organization thatoperates a heli-ski service will have different challenges than a similarly-sized fixed-wing air taxi

operation.

4.2 Appendix A: Safety Management Plan

(1) This guide and its associated appendices are to be used for guidance purposes in conjunction

with SI SUR-001.

(2) SI SUR-001 separates SMS into distinct component parts. This separation is necessary to allow

for an understanding of the components that make up the system. Organizations are free to keep

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components separate, or to combine them in any way that suits their operations, as long as the

system contains all of the required component parts. To illustrate one way components might be

grouped within the system, this guide combines the following elements:

(a) 1.6 Performance Measurementand 1.7 Management Review; and

(b) 2.2 SMS Documentationand 2.3 Records Management.

(3) The Minimal ComplexityOne-Person Operation column of Appendix A is based on a one-

person, single-certificate type air operator or AMO, as are the examples provided. Organizations

that fall between minimal and moderate complexity must review any additional SMS element

expectations outlined in SI SUR-001 for applicability.

(4) The Moderate Complexity column is based on a five- to ten-person, multiple-certificate type air

operator or AMO, with individuals identified as accountable executive, operations manager,

person responsible for maintenance and SMS manager. When an organizations complexity

increases beyond the moderately complex, SI SUR-001 must be used.

(5) Each section of the SMS element detailed in this guide has three distinct components:

(a) brief description of the SMS element;

(b) SMS element criteria requirements based on:

(i) Minimal ComplexityOne-Person Operation (left-hand column of Appendix A)

Score 3 element criteria (Appendix B of SI SUR-001) are used as the

basis for this component, and are identified by a hollow square bullet in

the attached Appendix A.

(ii) Moderate Complexity (right-hand column of Appendix A)

Score 3 element criteria (Appendix B of SI SUR-001) are used as the

basis for this component, and are identified by a hollow square bullet in

the attached Appendix A. Organizations may incorporate additional

expectations as identified in Appendix B of SI SUR-001, where such

expectations are considered to be relevant to the complexity of the

organizations systems. Examples of additional expectation from SI SUR-

001 Appendix B are identified by arrow-shaped bullets in the attachedAppendix A.

(iii) Bullets

(A) Elements that are common to both minimal and moderate complexity are

represented with the following symbol: (see example below); and

(B) Items found in the Moderate Complexity column that are deemed as

additional requirements to those indicated in the Minimal Complexity

column will be identified with the following symbol: (see example

below).

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(c) SMS manual examples:

3. Safety Oversight 3.4 Risk Management

Minimal ComplexityOne-Person Operation Moderate Complexity

(Item a)When a hazard has been identified, andthe requirement for a risk assessment determined

(Item b)Risk management should: include a process for

include criteria

include a process

(Item c)Example:

(Item a)When a hazard has been identified, andthe requirement for a risk assessment determined

(Item b)Risk management should: include a process for

include criteria

include a process

include a description

(Item c)Example:

4.3 Appendices B to E

Appendices B through E are provided as examples of different recording and reporting methods

in a SMS.

5.0 CONTACT OFFICE

For more information, please contact the:

Chief, Technical & National Programs (AARTT)

Phone: 613-952-7974

Fax: 613-952-3298

E-mail: [email protected]

Suggestions for amendment to this document are invited, and should besubmitted via the Transport Canada Civil Aviation Issues Reporting

System (CAIRS) at the following Internet address:

www.tc.gc.ca/CAIRS

or by e-mail at: [email protected]

Original signed by Don Sherritt on June 17, 2008

D.B. Sherritt

Director, Standards

Civil Aviation

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mailto:[email protected]:[email protected]


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Safety Management Systems Development Guide

1. Safety Management Plan 1.1 Safety Policy

Minimal ComplexityOne-Person Operation Moderate C

All managers and employeesfor their actions and safety peCEO and accountable executhink and work safely at all timperceived pressures to do ot

To prevent accidents and to have implemented and mainsystem (SMS). Our objectiveidentifiable hazards, the redureasonably practicable, and twith our stakeholders.

Signed: _________________

CEO and Accountable Execu

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1. Safety Management Plan 1.2 Non-Punitive Safety Reporting Policy


The non-punitive aspect of a reporting policy in a one-person operation

is unnecessary, as it adds no value to the process.

By removing the threat of disciplinary

reporting policy encourages a healthy

The non-punitive safety reporting pol

immunity from disciplinary ac

hazards, incidents or acciden

conditions under which punit

considered (e.g. illegal activit

are clearly defined and docum

the policy is widely understoo

there is evidence that the org

the policy is applied througho

areas of the organization.

Example:

NON-PUNITIVE SAFETY RE

Our organization fully supporopenness and trust between achieved unless employees fhazards without the fear of uoccurrences or hazards shouemployees.

Only with full awareness can in a timely manner. Employereport unsafe conditions with

organizations primary goal iscondition that exists within, o

Personnel reporting safety-rewill not be subject to punitivethey were personally involve

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1. Safety Management Plan 1.2 Non-Punitive Safety Reporting Policy


the safety concern.

The only cases where discipl

negligence;

wilful or intentional disreg

criminal intent; and

use of illicit substances.

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1. Safety Management Plan 1.3 Roles and Responsibilities


safety authorities, responsibi

personnel and third parties a

descriptions.

Example:

ROLES AND RESPONSIBIL

We ensure that all SMS rolesemployee involvement are iddocumented and periodicallyappropriate and functioning w

In addition to safety responsiday operations, the accountaemployees have additional reoperation and maintenance o

The accountable executive is

establishing and impleme

ensuring the required sa

establishing and adherin

promoting and supporting

ensuring that the SMS re

The SMS manager is respon

managing the operation

collecting and analyzing

manner; monitoring and evaluatin

ensuring that risk assessapplicable;

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1. Safety Management Plan 1.3 Roles and Responsibilities


determining the adequac

authority to delegate spe

within the organization;

ensuring that periodic revthe effectiveness of the s

monitoring the industry fothe program; and

ensuring safety-related ingoals and objectives, arethrough established com

Employees are responsible f

following established saf

immediately dealing with

identifying and reporting operational irregularities,timely manner; and

being familiar with the or

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1. Safety Management Plan 1.4 Communication


Clients:

o safety briefings, safety cards and customer feedback,

etc.

I document communications by keeping simple paper records ormaking entries in the organizations black book. All records arestored in a secure location.

Internal:

o quarterly (or as requ

reports;

o face-to-face on an in

o organization memos

o safety bulletin board;

o amendments to docu

TCCA:

o participation in relevaforums.

Industry:

o participation in relevaforums;

o other organizations a

o manufacturers.

Clients:

o safety briefings;

o safety cards; and

o customer feedback.

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1. Safety Management Plan 1.5 Safety Planning


also confirm that the organization objectives and goals arelinked.

Our current objectives and goals are:

Objective A: Reduce hazards and associated risks.

o Goal 1: Identify a larger percentage of existing hazardsannually through increased documentation of identifiedhazards.

Objective B: Reduce occurrence-related losses.

o Goal 1: Ensure documentation of occurrences.

o Goal 2: Ensure risk management process has beenimplemented when applicable.

Objective C: To prevent damage and injury to non-

organization personnel and property resulting from ouroperations.

o Goal 1: Placement of new passenger informationnotices and signage in office and on ramp.

o Goal 2: Standardized passenger briefings.

hazards and risks;

financial, operational and

views of interested partie

industry-wide safety risk

Example:

SAFETY PLANNING OBJEC

The aim of establishing attainensure the effectiveness andsafety. Annually, objectives aupdated in accordance with omanagement review processthat the organization objectiv

process for establishing goal business plan;

results of internal audits;

occurrence and hazard r

Our current objectives and go

Objective A: Reduce haz

o Goal 1: Receive an iof existing latent hazreporting.

o

Goal 2: Increase the received by 5 percen

Objective B: Continue to development of effective

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1. Safety Management Plan 1.5 Safety Planning


o Goal 1: Provide addicause analysis traini

o Goal 2: SMS managtraining to other pers

Objective C: To reduce lonumber and severity of a

o Goal 1: Increase the received by 5 percen

o Goal 2: Join the locaengineer (AME) asso

o Goal 3: Provide St. Jextinguisher training it.

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1. Safety Management Plan 1.6 Performance Measurement and 1.7 Managemen


Example:

PERFORMANCE MEASUREMENT AND MANAGEMENT

REVIEW

Annually, I utilize aspects of the quality assurance self-audit toconduct my management review, measure safety performance,assess SMS effectiveness and verify continuous improvement inaccordance with the following process:

identifying trends;

evaluating effectiveness of corrective actions;

updating safety objectives and goals;

monitoring and updating safety performance measures;

allowing for risk-based allocation of resources;

reviewing safety-critical functions; and

reviewing the Emergency Response Plan.

The safety performance measures for this year are:

continued absence of serious injury and damage to non-organization personnel and/or property;

50-percent reduction in minor injury and damage to non-organization personnel and/or property; and

25-percent reduction in damage to organization property.

the implementation and m

established by the organ

there is a process to evaluateactions resulting from the firs

The organization has establis

board, appropriate for the siz

organization, consisting of a

representatives including cer

parties that review the manag

Example:

PERFORMANCE MEASUREREVIEW

Annually, management revie

measure safety performanceverify continuous improveme

Components of the process i

identifying trends throughsharing;

evaluating effectiveness

updating safety objective

monitoring and updating

allowing for risk-based al

reviewing quality issues;

reviewing the Emergency

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1. Safety Management Plan 1.6 Performance Measurement and 1.7 Managemen


Our safety performance mea

number of hazards identi

number of incident and avs. previous years;

provision of SMS training

reduction in minor injury personnel and/or propert

reduction in damage to oprevious years.

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2. Documentation 2.1 Identification and Maintenance of Applicable Regulat


Bi-annual review of CARsummary), including appchange as appropriate;

When received, additionaCanada Labour Code anAct, 1997, will be revieweand

Pertinent regulatory and to all personnel through t

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2. Documentation 2.2 SMS Documentation and 2.3 Records Managemen


Records and output (information gathered through the SMS) willbe stored in a secure filing cabinet and kept for a minimum oftwo audit cycles.

The SMS manual will be kept with the other required manualsand updated as required. Information in the SMS manual isreviewed during the annual internal quality assurance audit.Additionally, information in the SMS manual is reviewed on anas-required basis, i.e. to identify issues and trends betweenaudit intervals.

The following policy, processkept in a location easily acceupdated as required:

SMS manual;

maintenance control man

company operations man

Records and output (informawill be stored in a secure filinof two audit cycles.

The SMS manual will be kepand updated as required. Inforeviewed during the annual in

Additionally, information in thas-required basis, i.e. to idenaudit intervals. Information restored for a period of two aud

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3. Safety Oversight 3.1 Reactive Processes-Reporting


o Part B is the incident/accident analysis process.

o Part C is the corrective action plan and includes the

requirement to determine if a risk assessment is to becompleted.

When Parts A, B and C have been completed, the incidentand hazard record book will be updated with a narrative ofthe process results.

Completed forms will be stored in a secure location andretained for two audit cycles.

Example:

REACTIVE PROCESSES

As a component of our continprocess, we maintain an occu(reactive/proactive) to collectinvestigations. All reports wilidentified reporters will receivsubmission within 5 days, anupon process completion. Thbelow.

When an occurrence (incidenbe documented by completinAND HAZARD IDENTIFICAT

The process is as follows: Complete Parts A, B and

o Reporter completes responsible for safetydata, occurrence narrecommendations.

o The person responsiinvestigation and comanalysis).

o The person responsidevelopment of corre

Part C, including follorequirement to carry

o A risk assessment is

trend analysis shactions have not

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3. Safety Oversight 3.1 Reactive Processes-Reporting


it is not clear wha

the issue is comp

the potential loss

the person respopersonnel feel it

When Parts A, B and C hdocumentation will be fileaudit cycles.

This information will be umeasurement and mana

The following must be report

any incident or accident ipersonnel, equipment or

any incident or accident iorganization personnel, efrom organization operat

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3. Safety Oversight 3.2 Proactive Processes-Hazard ID

Minimal ComplexityOne-Person Operation Moderate Co

Note:

In an organization of minimal complexity, a simpledocumentation tool such as an incident and hazard recordbook for proactive process management may beconsidered.

Example:

PROACTIVE PROCESSES

When a hazard is identified, it must be documented bycompleting the OCCURRENCE REPORT AND HAZARDIDENTIFICATION FORM located in Appendix B.

The process is as follows:

Complete Parts A and C as soon as practicable.

o Part A consists of tombstone data, hazard narrative andpreliminary recommendations.

o Part C is the corrective action plan and includes therequirement to determine if a risk assessment is to becompleted.

When Parts A and C have been completed, the incident andhazard record book will be updated with a narrative of theprocess results.

Completed forms will be stored in a secure location andretained for two audit cycles.

mergers; and

management/bargaining

the organization has a clearly

analyses; and

the organization will develop a

hazards listed on the hazard

the organization has a proces

when required;

the range and scope of safety

reported are explained and de

all proactive reports are subje

determine their level of priorit

extent of further action.

Example:

PROACTIVE PROCESSES

When a hazard is identified, icompleting the OCCURRENCIDENTIFICATION FORM loca

The process is as follows:

Complete Parts A and C

o Reporter completes Presponsible for safetydata, hazard narrativ

recommendations.

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o The person responsidevelopment of prevPart C, including follorequirement to carry

o A risk assessment is

trend analysis shactions have not

it is not clear wha

the issue is comp

the potential loss

the person respopersonnel feel it

When Parts A and C havdocumentation will be fileaudit cycles.

This information will be umeasurement and mana

The following must be report

any identified hazards thaccident involving injury personnel, equipment or

any identified hazards th

accident involving injury personnel, equipment or organization operations.

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Reactive and Proactive Pro

Even though the reactive pro

already happened and the prproblems, the methods used

these processes are separate

choose to combine them as m

similarities.

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3. Safety Oversight 3.3 Investigation and Analysis


Example:

INVESTIGATION AND ANALYSIS

The ability to investigate, analyze and identify the cause orprobable cause of hazards and occurrences documentedthrough the SMS is an important component of my continuoussafety improvement process. Investigation and analysis arecomponents of the reactive, proactive and risk-managementprocesses. Details can be found in those sections.

there is evidence that the org

complete the investigation an

established timeframe.

Note:

If the investigation and anaalready detailed somewherethose areas should be suffici

Example:

INVESTIGATION AND ANAL

The ability to investigate, anaprobable cause of hazards a

through the SMS is an imporsafety improvement process.components of the reactive, pprocesses. Details can be fou

The person responsible for sanalysis of occurrences and

determine the cause;

develop and implement cand

evaluate corrective actio

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3. Safety Oversight 3.4 Risk Management


the probability or severity risk rating is determined;

risk control strategies, including timelines, are developedand a revised risk rating is determined;

risk control strategies are implemented;

implemented risk controls are assessed;

when the process has been completed, the SMS file isupdated with a narrative of the results; and

the completed forms are stored in a secure location.

the associated risks are

the probability or severity

risk control strategies, inand a revised risk rating

risk control strategies are

implemented risk control

when the process has beupdated with a narrative

the completed forms are

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4. Training 4.1 Training, Awareness and Competence


information on ch

a review of all re

including recommor preventative a

SMS training validation/p

o Assessment of the obe determined by:

the person respolevel of learning

any internal auditraining in the co

Additional SMS training:

o Where it is shown to during the internal qutraining will be under

When any new rnew or modified

Emergency preparednes

o The person responsipersonnel are trainedresponsibilities withinResponse Plan; and

o

The organization hasproviders on its operemergency response

Training records:

o A record of all traininpersonnel files.

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5. Quality Assurance 5.1 Operational Quality Assurance


o Training;

o Emergency preparedness and response; and

o Review of safety critical functions.

Additional SMS audit component training will be provided ifrequired.

o Safety planning obje

o Safety policy;

o Non-punitive reportin

o Roles, responsibilitie

o Communications;

o Performance measu

o Identification and maregulations;

o SMS documentation

o Reactive and proactianalysis;

o Risk management;

o Training;

o Emergency prepared

o Review of safety criti

Additional SMS audit comas required.

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6. Emergency Preparedness 6.1 Emergency Preparedness and Respons


organization has implemented a documented EmergencyResponse Plan (ERP).

The ERP is:

periodically examined as part of the management review;

distributed to all parties who have a role to play in the eventof an emergency;

exercised in co-operation with local authorities on an annualbasis;

updated as required by exercises and reviews; and

a required training item for all personnel who may beinvolved in the event of an emergency.

Example:

EMERGENCY PREPAREDN

The organization recognizes can suffer loss. In order to reproperty damage after an accoccurred, the organization haResponse Plan (ERP).

The ERP is:

periodically examined as

communicated and distriwatch personnel and loca

exercised in co-operation

annual basis; updated as required by e

a required training item finvolved in the event of a

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APPENDIX BOCCURRENCE REPORT AND HAZARD IDENTIFICATION FORM

PART A

Note:

Part A must be completed as soon as practical after an occurrence is reported or ahazard is identified. Submit completed reports to the person responsible for safety

as soon as practicable.

Name: __________________________

Date: __________________________

Location: __________________________

Report No.: __________________________

Hazard Identification Report: __________________________

Occurrence Report: __________________________

Note:

If reporting an occurrence, Part B must be completed as soon as practicable. In all

cases, Part C must be completed as soon as practicable.

Details of occurrence: __________________________

Preliminary recommendations to prevent a future occurrence or eliminate hazard:

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APPENDIX CINCIDENT/ACCIDENT ANALYSIS

PART BCan the occurrence be attributed to one or more causes listed below? If yes, estimate a percentage for

each cause and state what may have prevented it.

NO YES % Prevention1. Lack of communication

2. Complacency

3. Lack of knowledge

4. Distraction

5. Lack of teamwork

6. Fatigue

7. Lack of resources

8. Pressure from:

self

peers

organization

schedule

9. Lack of assertiveness10. Stress

11. Lack of awareness

12. Norms

13. Additional

14. Additional

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APPENDIX DCORRECTIVE/PREVENTATIVE ACTION PLAN

Is a risk assessment required? Yes______ No_______

Note:

If a risk assessment is required, complete it before determining short- and

long-term corrective action plan.

Short-term corrective/preventative actionto be completed within 30 days:

Long-term corrective/preventative actionincluding due date and follow-up requirements:

Follow-up:

Was the corrective/preventative action effective? Yes ________ No ________

Note:

If no, a revised corrective action plan is to be determined, documentedand its effectiveness is to be determined.

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APPENDIX FRISK MATRIX

This risk matrix is designed to help determine the level of risk for a particular hazard by providing

objective criteria relating to probability and severity.

Low

Medium

High

5 5 10 15 20 25

4 4 8 12 16 20

3 3 6 9 12 15

2 2 4 6 8 10

1 1 2 3 4 5Probability

1 2 3 4 5

Severity

Values Risk Levels Action

15 Low Proceed after considering all elements of risk.

612 Medium Continue after taking appropriate mitigating action.

1325 High STOP: do not proceed until sufficient control measures have been

implemented to reduce risk to an acceptable level.

Severity (S)

Level 1 No damage or injury or adverse consequences.

Level 2 Personnelfirst aid injury; no disability or lost time

Publicminor impact

Environmentcontained release

Equipmentminor damage; potential organizational slowdown or potential downtimeLevel 3 Personnellost time injury; no disability

Publicgreater than minor impact, loss of confidence; some injury potential

Environmentsmall uncontained release

Equipmentminor damage; leads to organizational slowdown or minor downtime

Level 4 Personneldisability or severe injury

Publicexposed to a hazard that could or will produce injuries

Environmentmoderate uncontained release

Equipmentmajor damage; results in major slowdown or downtime

Level 5 Personnelfatal, life-threatening injury

Publicexposed to life-threatening hazard

Environmentlarge uncontained release

Equipmentloss of critical equipment, or shutdown of organization

Probability (P)

Level 1 Mishap almost impossible.

Level 2 Postulated event (may be possible, but not known to have occurred).

Level 3 Has occurred rarely (known to have happened, but a statistically credible frequency