Advisory Circular (AC)
No. 107-002

• immunity from disciplinary action for employees that report, hazards, incidents or accidents is provided;
• conditions under which punitive disciplinary action would be considered (e.g. illegal activity, negligence or wilful misconduct) are clearly defined and documented;
• the policy is widely understood within the organization; andq there is evidence that the organization is applying the policy;

          the policy is applied throughout certificated and non-             certificated areas of the organization.

• negligence;
• wilful or intentional disregard;
• criminal intent; and
• use of illicit substances.

            there are documented roles and responsibilities and accountabilities for the accountable executive and evidence that the SMS is established, maintained and adhered to.

• establishing and implementing the SMS
• ensuring the required safety resources are available
• establishing and adhering to the safety policy;
• ensuring that the SMS remains effective
• managing the operation of the SMS;
• collecting and analyzing safety information in a timely manner;
• monitoring and evaluating the results of corrective actions;
• ensuring that risk assessments are conducted when applicable; and
• monitoring the industry for safety concerns that could affect the program.

• there are documented roles and responsibilities and accountabilities for the accountable executive and evidence that the SMS is established, maintained and adhered to;
• the accountable executive demonstrates control of the financial and human resources required for the proper execution of his/her SMS responsibilities;
• a qualified person has been appointed, in accordance with the regulation, and has demonstrated control of the SMS;
• the person managing the operation of the SMS fulfils the required job functions and responsibilities;
• safety authorities, responsibilities and accountabilities are transmitted to all personnel; and
• all personnel understand their authorities, responsibilities and accountabilities in regards to all safety management processes, decision and actions;
• safety authorities, responsibilities and accountabilities are reviewed prior to any significant organizational change
• safety authorities, responsibilities and accountabilities of all personnel and third parties are defined and documented in job descriptions.

• establishing and implementing the SMS;
• ensuring the required safety resources are available;
• establishing and adhering to the corporate safety policy;
• promoting and supporting the SMS; and
• ensuring that the SMS remains effective.

• managing the operation of the SMS;
• collecting and analyzing safety information in a timely manner;
• monitoring and evaluating the results of corrective actions;
• ensuring that risk assessments are conducted when applicable;
• determining the adequacy of training;
• authority to delegate specific SMS tasks/roles to persons within the organization;
• ensuring that periodic reviews are conducted to determine the effectiveness of the system;
• monitoring the industry for safety concerns that could affect the program; and
• ensuring safety-related information, including organization goals and objectives,
  are made available to all personnel through established communication processes.

• following established safe working practices;
• immediately dealing with any unsafe condition, as practical;
• identifying and reporting all occurrences, hazards, operational irregularities, unsafe conditions or practices in a timely manner; and
• being familiar with the organization's SMS.

• there are communication processes in place within the organization that permit the safety management system to function effectively;
• information is established and maintained in a suitable medium, e.g. simple paper records or entries in a readily available “black book” is one method that could be employed when records of safety communications are required; and
• there is a process for the dissemination of safety information (e.g. signage, passenger briefing cards or a bulletin board) throughout the organization and a means of monitoring the effectiveness of this process.

• To facilitate the operation and maintenance of our SMS, we will communicate, share, review and document safety-related information through the following process:
• TCCA:
  • participation in relevant and accessible safety-related forums, etc.
• Industry groups:
  • participation in relevant and accessible safety-related forums;
  • other operators/associations, etc.
• Clients:
  • safety briefings, safety cards and customer feedback, etc.

• there are communication processes in place within the organization that permit the safety management system to function effectively;
• communication processes (written, meetings, electronic, etc.) are commensurate with the size and complexity of the organization;
• information is established and maintained in a suitable medium; and
• there is a process for the dissemination of safety information throughout the organization and a means of monitoring the effectiveness of this process.

• Internal:
  • quarterly (or as required) safety meetings to review reports;
  • face-to-face on an individual or group basis;
  • organization memos;
  • safety bulletin board; and
  • amendments to documentation.
• TCCA:
  • participation in relevant and accessible safety-related forums.
• Industry:
  • participation in relevant and accessible safety-related forums;
  • other organizations and associations; and
  •  manufacturers.
• Clients:
  • safety briefings;
  • safety cards; and
  • customer feedback.

• safety objectives have been established utilizing a safety risk profile that considers hazards and risks;
• objectives and goals are consistent with the safety policy and their attainment is measurable;
• safety objectives and goals are reviewed and updated periodically;
• there is a documented process to develop a set of safety goals to achieve overall safety objectives; and
• safety objectives and goals are documented and publicized.

• Objective A: Reduce hazards and associated risks.
  • Goal 1: Identify a larger percentage of existing hazards annually through increased documentation of identified hazards.
• Objective B: Reduce occurrence-related losses.
  • Goal 1: Ensure documentation of occurrences.
  • Goal 2: Ensure risk management process has been implemented when applicable.
• Objective C: To prevent damage and injury to non-organization personnel and property resulting from our operations.
  • Goal 1: Placement of new passenger information notices and signage in office and on ramp.
  • Goal 2: Standardized passenger briefings.

• safety objectives have been established utilizing a safety risk profile that considers hazards and risks;
• objectives and goals are consistent with the safety policy and their attainment is measurable;
• safety objectives and goals are reviewed and updated periodically;
• there is a documented process to develop a set of safety goals to achieve overall safety objectives; and
• safety objectives and goals are documented and publicized;
• the organization has a process for analyzing and allocating resources for achieving their objectives and goals;
• Safety objectives have been established utilizing a safety risk profile that considers:
  • hazards and risks;
  • financial, operational and business requirements;
  • views of interested parties; and
  • industry-wide safety risk profile.

• business plan;
• results of internal audits; and
• occurrence and hazard reports.

• Objective A: Reduce hazards and associated risks.
  • Goal 1: Receive an increased percentage (5 percent) of existing latent hazards annually through increased reporting.
  • Goal 2: Increase the number of occurrence reports received by 5 percent.
• Objective B: Continue to enhance trend monitoring and the development of effective corrective action plans.
  • Goal 1: Provide additional trend monitoring and root cause analysis training to SMS manager.
  • Goal 2: SMS manager will provide additional SMS training to other personnel.
• Objective C: To reduce losses through a reduction in the number and severity of accidents and incidents.
  • Goal 1: Increase the number of occurrence reports received by 5 percent.
  • Goal 2: Join the local aircraft maintenance engineer (AME) association.
  • Goal 3: Provide St. John's ambulance
    and fire extinguisher training
    to those who do not already have it.

• there is a documented process to develop and maintain a set of performance parameters that are linked to the organization's goals and objectives; and
• procedures have been established and maintained to monitor and measure safety performance on a regular basis.

• there are periodic, planned reviews and reviews for cause of the company's safety management system to ensure its continuing adequacy and effectiveness as well as a review of company safety performance and achievement;
  • internal audit results;
  • safety objective achievement results;
  • hazards and occurrence investigation and analysis results;
  • internal/external feedback analysis and results;
  • status of corrective and preventive action(s);
  • follow-up actions from previous management reviews;
  • changes that could affect the SMS; and
  • recommendations for improvement.
• there is a documented procedure defining responsibilities and requirements for planning and conducting internal audits of :
  • management policies, controls and procedures concerning all safety critical activities; and
  • the implementation and maintenance of SMS requirements established by the organization.
• there is a process to evaluate the effectiveness of corrective actions resulting from the first bullet in this list.

• 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.

• 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.

• there is a documented process to develop and maintain a set of performance parameters that are linked to the organization's goals and objectives; and
• procedures have been established and maintained to monitor and measure safety performance on a regular basis;
• the analysis and allocation of resources are based on outputs from the performance measurement;
• personnel at all levels are aware of the safety performance measures in their areas of responsibility and the results of performance measures are transmitted to them.

• there are periodic, planned reviews and reviews for cause of the company's safety management system to ensure its continuing adequacy and effectiveness as well as a review of company safety performance and achievement;
  • internal audit results;
  • activities to verify that employees understand the SMS and their role and responsibilities in it;
  • safety objective achievement results;
  • hazards and occurrence investigation and analysis results;
  • internal/external feedback analysis and results;
  • status of corrective and preventive action(s);
  • follow-up actions from previous management reviews;
  • changes that could affect the SMS;
  • recommendations for improvement;
  • sharing of best practices across the organization.
• there is a documented procedure defining responsibilities and requirements for planning and conducting internal audits of:
  • management policies, controls and procedures concerning all safety critical activities; and
  • the implementation and maintenance of SMS requirements established by the organization
• there is a process to evaluate the effectiveness of corrective actions resulting from the first bullet in this list;
• The organization has established a structured committee or board, appropriate for the size and complexity of the organization, consisting of a full range of senior management representatives including certificated, non-certificated and third parties that review the management review report.

• identifying trends through data analysis and information sharing;
• evaluating effectiveness of corrective actions;
• updating safety objectives and goals;
• monitoring and updating safety performance measures;
• allowing for risk-based allocation of resources;
• reviewing quality issues; and
• reviewing the Emergency Response Plan.

• number of hazards identified this year vs. previous years;
• number of incident and accident reports received this year vs. previous years;
• provision of SMS training to organization personnel;
• reduction in minor injury and damage to non-organization personnel and/or property this year vs. previous years; and
• reduction in damage to organization property this year vs. previous years.

• a documented procedure has been established and maintained for identifying applicable regulatory requirements; and
• regulations, Standards and exemptions are periodically reviewed to ensure that the most current information is available.

• a documented procedure has been established and maintained for identifying applicable regulatory requirements;
• regulations, Standards and exemptions are periodically reviewed to ensure that the most current information is available; and
• all pertinent technical and regulatory information is readily accessible by personnel.

• Bi-annual review of CARs and Standards (via the summary), including applicable exemptions, and act upon change as appropriate;
• When received, additional safety regulations, such as the Canada Labour Code and Workplace Safety and Insurance Act, 1997, will be reviewed and acted upon as applicable; and
• Pertinent regulatory and technical information is available to all personnel through their applicable departments.

1. the description of the policies, processes, and procedures to
   operate the SMS; and
2. the records or outputs from the SMS processes. The reports
   that are generated will be analyzed and stored as records.

1. occurrences and hazards;
2. risk assessment and root cause analysis;
3. training;
4. corrective and preventative actions;
5. trend monitoring;
6. performance measurement; and
7. goals and objectives.

• there is controlled documentation that describes the SMS and the interrelationship between all of its elements;
• there is a process to periodically review SMS documentation to ensure its continuing suitability, adequacy and effectiveness, and
  that changes to company documentation have been implemented;
  and
• the organization has a process to identify changes within the organization that could affect company documentation.

• the organization has a records system that ensures the generation
  and retention of all records necessary to document and support
  the SMS; and
• the system shall provide the control processes necessary to ensure appropriate identification, legibility, storage, protection, archiving, retrieval, retention time, and disposition of records.

• description of SMS policies, processes, and procedures; and
• records or outputs from these processes.

• SMS manual;
• maintenance control manual; and
• company operations manual.

1. the description of the policies, processes, and procedures to operate the SMS; and
2. the records or outputs from the SMS processes.
   The reports that are generated will be analyzed
   and stored as records.

1. occurrences and hazards;
2. risk assessment and root cause analysis;
3. training;
4. corrective and preventative actions;
5. trend monitoring;
6. performance measurement; and
7. goals and objectives.

• there is controlled documentation that describes the SMS and the interrelationship between all of its elements;
• documentation is readily accessible to all personnel;
• there is a process to periodically review SMS documentation to
  ensure its continuing suitability, adequacy and effectiveness, and
  that changes to company documentation have been implemented;
• there are acceptable means of documentation,
  including but not limited to, organizational charts,
  job descriptions and other descriptive written
  material that defines and clearly delineates the
  system of authority and responsibility within the organization for ensuring safe operation; and
• the organization has a process to identify changes within the organization that could affect company documentation.

• the organization has a records system that ensures
  the generation and retention of all records necessary
  to document and support the SMS;
  and
• the system shall provide the control processes necessary to ensure appropriate identification,
  legibility, storage, protection, archiving,
  retrieval, retention time, and disposition of records.

• description of SMS policies, processes, and procedures; and
• records or outputs from these processes.

• SMS manual;
• maintenance control manual; and
• company operations manual.

• the organization has a process or system that provides for the capture of information including hazards, incidents and accidents and other data relevant to SMS;
• the reactive reporting system is simple, accessible and commensurate with the size and complexity of the organization;
• reactive reports are reviewed;
• there is a process in place to monitor and analyze trends; and
• corrective actions are generated and implemented to respond to event analysis.
  
  Note:
  In an organization of minimal complexity, a simple documentation tool, such as an incident and hazard record book for reactive process management, may be considered.

• Complete Parts A, B and C as soon as practicable.
  • Part A consists of tombstone data, incident/accident narrative and preliminary recommendations.
  • Part B is the incident/accident analysis process.
• When Parts A, B and C have been completed, the incident and hazard record book will be updated with a narrative of the process results.
• Completed forms will be stored in a secure location and retained for two audit cycles.

• the organization has a process or system that provides for the capture of
  information including hazards, incidents and accidents and other data relevant
  to SMS;
• the reactive reporting system is simple, accessible and commensurate with the
  size and complexity of the organization;
• reactive reports are reviewed at the appropriate level of management;
• there is a feedback process to notify contributors that their reports have been
  received and to share the end results of the analysis;
• there is a process in place to monitor and analyze trends; and
• corrective actions are generated and implemented to respond to event analysis;
• the organization has a process in place to ensure confidentiality when requested;
• the range and scope of safety-related occurrences or deficiencies that must be
  reported by employees are explained and defined;
• there is evidence that personnel are encouraged and supported to suggest corrective actions when submitting a report.

• Complete Parts A, B and C as soon as practicable.
  • Reporter completes Part A and submits it to the person responsible for safety. Part A consists of tombstone data, occurrence narrative and preliminary recommendations.
  • The person responsible for safety leads the investigation and completes Part B (occurrence analysis).
  • The person responsible for safety leads the development of corrective actions in accordance with Part C, including follow up and the determination of the requirement to carry out a risk assessment.
  • A risk assessment is required when:
    • trend analysis shows that previous corrective actions have not resolved similar concerns;
    • it is not clear what the root cause is;
    • the issue is complex;
    • the potential loss is severe; or
    • the person responsible for safety or other personnel feel it is necessary.
• When Parts A, B and C have been completed, relevant documentation will be filed and saved for a minimum of two audit cycles.
• This information will be used as part of our
  performance measurement and management review process

• any incident or accident involving injury or damage to personnel, equipment or facilities;
• any incident or accident involving injury or damage to non-organization personnel, equipment or facilities, resulting from organization operations.

• the organization has a proactive process or system that provides for the capture of information identified as hazards and other data relevant to SMS and develops a hazard register;
• the proactive reporting process is simple, accessible and commensurate with the size and complexity of the organization;
• proactive reports are reviewed;
• there is a process in place to monitor and analyze trends;
• corrective actions are generated and implemented in response to hazard analysis;
• the organization has planned self-evaluation processes, such as regularly scheduled reviews, evaluations, surveys, operational audits, assessments, etc;
• the organization conducts hazard analyses and builds a safety case for changes that may impact their operations for example :
  • introduction of new aircraft type; and
  • change in route structures.

• the organization has a clearly defined interval between hazard analyses; and
• the organization will develop a safety risk profile that prioritizes hazards listed on the hazard register. 

• Complete Parts A and C as soon as practicable.
  • Part A consists of tombstone data, hazard narrative and preliminary recommendations.
• When Parts A and C have been completed, the incident and hazard record book will be updated with a narrative of the process results.
• Completed forms will be stored in a secure location and retained for two audit cycles.

• the organization has a proactive process or system that provides for the capture of information identified as hazards and other data relevant to SMS and develops a hazard register;
• the proactive reporting process is simple, accessible and commensurate with the size and complexity of the organization;
• proactive reports are reviewed at the appropriate level of management;
• there is a feedback process to notify contributors that their proactive reports have been received and to share the end result of the analysis;
• there is a process in place to monitor and analyze trends;
• corrective actions are generated and implemented in response to hazard analysis;
• the organization has planned self-evaluation processes, such as regularly scheduled reviews, evaluations, surveys, operational audits, assessments, etc;
• the organization conducts hazard analyses and builds a safety case for changes that may impact their operations for example :
  • introduction of new aircraft type;
  • change in route structures;
  • change in key personnel;
  • mergers; and
  • management/bargaining agent agreements.
  • the organization has a clearly defined interval between hazard analyses; and
  • the organization will develop a safety risk profile that prioritizes hazards listed on the hazard register;

• the organization has a process in place to ensure confidentiality when required;
• the range and scope of safety-related hazards that must be reported are explained and defined;
• all proactive reports are subjected to a risk analysis process to determine their level of priority on the safety risk profile and the extent of further action.

• Complete Parts A and C as soon as practicable.
  • Reporter completes Part A and submits it to the person responsible for safety. Part A consists of tombstone data, hazard narrative and preliminary recommendations.
  • The person responsible for safety will lead the development of preventative actions in accordance with Part C, including follow up and the determination of the requirement to carry out a risk assessment.
  • A risk assessment is required when:
    • trend analysis shows that previous preventative actions have not resolved similar concerns;
    • it is not clear what the root cause is;
    • the issue is complex;
    • the potential loss is severe; and
    • the person responsible for safety or other personnel feel it is necessary.
• When Parts A and C have been completed, relevant documentation will be filed and saved for a minimum of two audit cycles.
• This information will be used as part of our
  performance measurement and management review process.

• any identified hazards that may contribute to an incident or accident involving injury or damage to organization personnel, equipment or facilities; and
• any identified hazards that may contribute to an incident or accident involving injury or damage to non-organization personnel, equipment or facilities resulting from organization operations.

1. Identification of the issue;
2. Documentation of the issue;
3. Determination of the cause;
4. Development and implementation of corrective or preventive actions; and
5. Evaluation of corrective actions to make sure they are effective.

• there are procedures in place for the conduct of investigations;
• measures exist to ensure that all reported hazards, incidents and accidents are reviewed and, where required, investigated;
• there is a process to ensure that hazards, incidents and accidents are analyzed to identify contributing and root causes;
• when identifying contributing and root causes, the organization considers individual human factors and the environment;
• there is a process to capture information from an investigation that can be used to monitor and analyze trends; and
• there is evidence that the organization has made every effort to complete the investigation and analysis process in the established timeframe.
  Note:
  If the investigation and analysis portions of the system are already detailed somewhere else, then a simple reference to those areas should be sufficient.

1. Identification of the issue;
2. Reporting/documentation of the issue;
3. Determination of the cause;
4. Development and implementation of corrective or preventive actions;
   and
5. Evaluation of corrective actions to make sure they are effective

• there are procedures in place for the conduct of investigations;
• measures exist to ensure that all reported hazards, incidents and
  accidents are reviewed and, where required, investigated;
• there is a process to ensure that hazards, incidents and accidents are analyzed
  to identify contributing and root causes;
• when identifying contributing and root causes, the organization considers individual human factors, the environment, supervision and organizational elements;
• the organization has a staff of competent investigators commensurate with its
  size and complexity;
• results of the analysis are communicated to the responsible manager for corrective action and to other relevant managers for their information; and
• there is a process to capture information from an investigation that can be
  used to monitor and analyze trends; and
• there is evidence that the organization has made every effort to complete the investigation and analysis process in the established timeframe.
  
  Note:
  If the investigation and analysis portions of the system are already
  detailed somewhere else, then a simple reference to those areas
  should be sufficient.

• determine the cause;
• develop and implement corrective or preventive actions; and
• evaluate corrective actions to make sure they are effective.

• there are criteria for evaluating the level of risk and the tolerable level of risk the organization is willing to accept;
• the organization has risk control strategies that include risk control, risk acceptance, risk mitigation, risk elimination and where applicable a corrective action plan;
• corrective actions resulting from the risk assessment, including timelines, are documented; and
• the organization has a process for evaluating the effectiveness of the corrective actions.

• the hazard or occurrence is identified;
• the associated risks are determined;
• the probability or severity risk rating is determined;
• risk control strategies, including timelines, are developed and 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 is updated with a narrative of the results; and
• the completed forms are stored in a secure location.

• there are criteria for evaluating the level of risk and the tolerable level of risk the organization is willing to accept;
• the organization has risk control strategies that include risk control, risk acceptance, risk mitigation, risk elimination and where applicable a corrective action plan;
• corrective actions resulting from the risk assessment, including timelines, are documented; and
• the organization has a process for evaluating the effectiveness of the corrective actions.

• the hazard or occurrence is identified;
• the associated risks are determined;
• the probability or severity risk rating is determined;
• risk control strategies, including timelines, are developed and 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 is updated with a narrative of the results; and
• the completed forms are stored in a secure location.

• there is a process to identify SMS training requirements;
• there is a process to measure SMS training effectiveness;
• initial, recurrent and update training as applicable is included;
• human and organizational factors are included; and
• emergency preparedness and response training as applicable are
  included.

• Initial SMS training
  • The accountable executive has developed and implemented
    the organization's SMS, therefore, this meets the intent of
    initial SMS training requirements.
• Update SMS training:
  • When regulatory changes have been identified, such changes will be reviewed and incorporated, if applicable, and SMS documents will be updated as required.
• Additional SMS training:
  • Where it is shown to be necessary by findings identified
    during the internal quality assurance audit, additional
    training will be undertaken; and
  • When any new requirement arises, for example new or
    modified equipment.
• Training validation/performance measurement:
  • Assessment of the overall effectiveness of training shall be determined by any internal audit finding that identifies additional training in the corrective action plan. Subsequent audits will validate the effectiveness of the training provided.
• Emergency preparedness and response training:
  • I have briefed local emergency service providers on its operation, and participate in emergency response exercises.
• Training records:
  • A record of all training completed is kept on file.

• there is a documented process to identify training requirements so
  that personnel are competent to perform their duties within the SMS;
• there is a validation process that measures the effectiveness of the
  SMS training;
• there is emergency preparedness and response training for affected personnel.
• SMS training requirements are documented for each area of activity within the organization, including non-certificated areas where training requirements are not defined by regulations.  The attendance at
  symposia should also be considered;
• a SMS training file is developed for each employee, including management, to assist in identifying and tracking employee training requirements and verifying that personnel have received the planned training; and
• management recognizes and uses informal opportunities to instruct employees on safety management.

• Initial SMS training:
  • The person responsible for safety will receive additional
    trend monitoring and root cause analysis training; and
  • The person responsible for safety will provide all
    organization personnel with an initial training session
    on the SMS.
• Update SMS training:
  • When regulatory changes have been identified, such
    changes will be reviewed and incorporated, if applicable,
    and the SMS program will be updated as required;
  • Once each year, or as required, all personnel will receive update training to include:
    • information on changes to the SMS; and
    • a review of all reported occurrences and hazards, including recommended mitigations and corrective
      or preventative actions.
• SMS training validation/performance measurement:
  • Assessment of the overall effectiveness of training shall be determined by:
    • the person responsible for safety evaluating the
      level of learning through verbal or written quizzes;
    • any internal audit finding that identifies additional training in the corrective action plan.
• Additional SMS training:
  • Where it is shown to be necessary by findings identified during the internal quality assurance audit, additional training will be undertaken; and
  • When any new requirement arises, for example new or modified equipment.
• Emergency preparedness and response training:
  • The person responsible for safety will ensure that all personnel are trained in, and aware of, their duties and responsibilities within the organization's Emergency
    Response Plan; and
  • The organization has briefed local emergency service providers on its operation, and participates in emergency response exercises.
• Training records:
  • A record of all training completed will be kept in
    personnel files.

• a quality assurance program is established and maintained;
• there exists an operationally independent audit function with the authority required to carry out an effective internal evaluation program;
• the organization conducts reviews and audits of its processes, its procedures, analyses, inspections and training;
• the organization has a system to monitor for completeness the internal reporting process and the corrective action completion;
• the quality assurance system covers all functions defined within the certificate(s);
• there are defined audit scope, criteria, frequency and methods;
• a selection/training process to ensure the objectivity and competence of auditors as well as the impartiality of the audit process;
• there is a procedure to record verification of action(s) taken and the reporting of verification results;
• the organization performs a periodic Management review of safety critical functions and relevant safety or quality issues that arise from the internal evaluation program;
• there is a documented procedure for reporting audit results and maintaining records;
• there is a documented procedure outlining requirements for timely corrective and preventive action in response to audit results; and
• there is evidence that the quality assurance program has itself been subjected to internal audits.

• Existing independent audit procedures will continue to be followed;
• The organization has added applicable SMS components to existing annual internal audit checklists, to include:
  • Safety policy;
  • Communications;
  • Safety planning objectives and goals;
  • Performance measurement and management review;
  • Identification and maintenance of applicable regulations;
  • SMS documentation and records management;
  • Reactive and proactive processes, investigation and analysis;
  • Risk management;
  • Training;
  • Emergency preparedness and response; and
  • Review of safety critical functions.
• Additional SMS audit component training will be provided if required.

• a quality assurance program is established and maintained, and the program is under the management of an appropriate person;
• there exists an operationally independent audit function with the authority required to carry out an effective internal evaluation program;
• the organization conducts reviews and audits of its processes, its procedures, analyses, inspections and training;
• the organization has a system to monitor for completeness the internal reporting process and the corrective action completion;
• the quality assurance system covers all functions defined within the certificate(s);
• there are defined audit scope, criteria, frequency and methods;
• a selection/training process to ensure the objectivity and competence of auditors as well as the impartiality of the audit process;
• there is a procedure to record verification of action(s) taken and the reporting of verification results;
• the organization performs a periodic Management review of safety critical functions and relevant safety or quality issues that arise from the internal evaluation program;
• there is a documented procedure for reporting audit results and maintaining records;
• there is a documented procedure outlining requirements for timely corrective and preventive action in response to audit results;
• there is evidence that the quality assurance program has itself been subjected to internal audits; and
• competence to perform duties is evaluated;
• where contracted functions exist, the organization performs a quality assurance review on those functions;
• the audit report recognizes excellence to provide opportunities for recognition by management and motivation of people.

• Existing independent audit procedures will continue to be followed;
• The organization has added applicable SMS components to existing annual internal audit checklists, to include:
  • Safety policy;
  • Non-punitive reporting policy;
  • Roles, responsibilities and employee involvement;
  • Communications;
  • Safety planning objectives and goals;
  • Performance measurement and management review;
  • Identification and maintenance of applicable regulations;
  • SMS documentation and records management;
  • Reactive and proactive processes, investigation and analysis;
  • Risk management;
  • Training;
  • Emergency preparedness and response; and
  • Review of safety critical functions.
• Additional SMS audit component training will be provided as required.

• the organization has an emergency preparedness procedure
  appropriate to the size, nature and complexity of the organization;
• the emergency preparedness procedures have been documented
  and implemented;
• the emergency preparedness procedures have been periodically
  reviewed as a part of the management review;
• the organization has a process to distribute the Emergency Response
  Plan (ERP) procedures and to communicate the content to affected
  organizations/external personnel; and
• the organization has conducted drills and exercises with applicable
  personnel/organizations at intervals defined in the approved control manual.

• periodically examined as part of the management review;
• distributed to all parties who have a role to play in the event of an emergency;
• exercised in co-operation with local authorities on an annual basis;
• updated as required by exercises and reviews; and
• a required training item for all personnel who may be involved in the event of an emergency.

• the organization has an emergency preparedness procedure appropriate
  to the size, nature and complexity of the organization;
• the emergency preparedness procedures have been
  documented, implemented and assigned to a responsible
  manager;
• the emergency preparedness procedures have been
  periodically reviewed as a part of the management review and after key
  personnel or organizational changes;
• the organization has a process to distribute the Emergency Response
  Plan (ERP) procedures and to communicate the content to affected
  personnel; and
• the organization has conducted drills and exercises with all
  key personnel at intervals defined in the approved control
  manual.

• periodically examined as part of the management review;
• communicated and distributed to all organization and flight watch
  personnel and local emergency response authorities;
• exercised in co-operation with local authorities on an annual basis;
• updated as required by exercises and reviews; and
• a required training item for all personnel who may be involved in the
  event of an emergency.

• self
• peers
• organization
• schedule

• No damage or injury or adverse consequences.

• Personnel - first aid injury; no disability or lost time
• Public - minor impact
• Environment - contained release
• Equipment - minor damage; potential organizational slowdown or potential downtime

• Personnel - lost time injury; no disability
• Public - greater than minor impact, loss of confidence; some injury potential
• Environment - small uncontained release
• Equipment - minor damage; leads to organizational slowdown or minor downtime

• Personnel - disability or severe injury
• Public - exposed to a hazard that could or will produce injuries
• Environment - moderate uncontained release
• Equipment - major damage; results in major slowdown or downtime

• Personnel - fatal, life-threatening injury
• Public - exposed to life-threatening hazard
• Environment - large uncontained release
• Equipment - loss of critical equipment, or shutdown of organization