Canadian Aviation Regulations (SOR/96-433)

Regulations are current to 2016-11-21 and last amended on 2015-08-31. Previous Versions

SUBPART 5 — Safety Management System

Requirements

 The safety management system required under section 107.02 in respect of an applicant for, or a holder of, an ATS operations certificate shall

  • (a) meet the requirements of Subpart 7 of Part I and section 805.02; and

  • (b) be under the control of the accountable executive appointed under paragraph 106.02(1)(a).

  • SOR/2007-290, s. 13.

Components of the Safety Management System

  •  (1) The safety management system shall include, among others, the following components:

    • (a) a safety management plan that includes

      • (i) a safety policy that the accountable executive has approved and communicated to all employees,

      • (ii) the roles and responsibilities of personnel assigned duties under the safety management system,

      • (iii) performance goals and a means of measuring attainment of those goals,

      • (iv) a policy for the internal reporting of hazards, incidents and accidents, including the conditions under which immunity from disciplinary action will be granted, and

      • (v) a process for reviewing the safety management system to determine its effectiveness;

    • (b) procedures for reporting hazards, incidents and accidents to the appropriate manager;

    • (c) procedures for the collection of data relating to hazards, incidents and accidents;

    • (d) procedures for the exchange of information in respect of hazards, incidents and accidents among the operators of aircraft and the provider of air traffic services at an airport and the airport operator;

    • (e) procedures for analysing data obtained under paragraph (c) and during an audit conducted under subsection 805.03(3) and for taking corrective actions;

    • (f) training requirements for the accountable executive and for personnel assigned duties under the safety management system;

    • (g) procedures for making progress reports to the accountable executive at intervals determined by the accountable executive and other reports as needed in urgent cases; and

    • (h) procedures for involving employees in the implementation and ongoing development of the safety management system.

  • (2) The components specified in subsection (1) shall be set out in a manual or another document established by the holder of the ATS operations certificate that includes

    • (a) a record of any amendments to the manual or document;

    • (b) a description of the procedures for amending the manual or document; and

    • (c) a statement, signed by the accountable executive, certifying that the manual or document is complete and its content accurate.

  • (3) The Minister shall approve the manual or document if it contains the information and statement required under subsection (2).

  • SOR/2007-290, s. 13.

Quality Assurance Program

  •  (1) The quality assurance program required under paragraph 107.03(g) in respect of an applicant for, or a holder of, an ATS operations certificate shall include a process for quality assurance that includes periodic reviews or audits of the activities authorized under a certificate and reviews or audits, for cause, of those activities.

  • (2) The holder of an ATS operations certificate shall ensure that records relating to the findings resulting from the quality assurance program are distributed to the appropriate manager for corrective action and follow-up in accordance with the policies and procedures specified in the manual or document established under subsection 805.02(2).

  • (3) The holder of an ATS operations certificate shall establish an audit system in respect of the quality assurance program that consists of the following:

    • (a) an initial audit conducted within 12 months after the day on which the ATS operations certificate is issued;

    • (b) an audit of the entire quality assurance program carried out every three years, calculated

      • (i) in the case of an ATS operations certificate issued before January 1, 2008, from that date, and

      • (ii) in the case of an ATS operations certificate issued on or after January 1, 2008, from the date of the initial audit;

    • (c) checklists of all activities carried out under the certificate;

    • (d) a record of each occurrence of compliance or non-compliance with the checklists in respect of the activities carried out under the certificate that is found during an audit referred to in paragraph (a) or (b);

    • (e) procedures for ensuring that each finding of an audit is communicated to the accountable executive;

    • (f) follow-up procedures for ensuring that corrective actions are effective; and

    • (g) a system for recording the findings of an audit referred to in paragraph (a) or (b), corrective actions and follow-ups.

  • (4) The audit referred to in paragraph (3)(b) shall be carried out in one of the following ways:

    • (a) as a complete audit, or

    • (b) as a series of audits conducted at intervals determined by the holder of the ATS operations certificate and set out in the manual or document established under subsection 805.02(2).

  • (5) The records resulting from a system required under paragraph (3)(g) shall be retained for the greater of

    • (a) two audit cycles, and

    • (b) two years.

  • (6) The duties related to the quality assurance program that involve specific tasks or activities among the activities of an ATS operations certificate holder shall be fulfilled by persons who are not responsible for carrying out those tasks or activities unless

    • (a) the size, nature and complexity of the operations and activities authorized under the ATS operations certificate justify the fulfilling of those duties by the person responsible for carrying out those tasks or activities;

    • (b) the holder of the ATS operations certificate demonstrates to the Minister by means of a risk analysis, that the fulfilling of those duties by the person responsible for carrying out those tasks or activities will not result in an unacceptable risk to aviation safety; and

    • (c) the holder of the ATS operations certificate provides the Minister, in writing, with the information required under paragraphs (a) and (b).

  • SOR/2007-290, s. 13.

Duties of the Certificate Holder

 The holder of an ATS operations certificate shall ensure that

  • (a) corrective actions are taken in respect of any findings resulting from the safety management system referred to in section 805.01; and

  • (b) the accountable executive performs the duties prescribed in section 805.05.

  • SOR/2007-290, s. 13.

Management of the Safety Management System

  •  (1) The accountable executive shall

    • (a) establish and maintain a reporting system to ensure the timely collection of information related to hazards, incidents and accidents that may adversely affect safety;

    • (b) identify hazards and carry out risk management analyses of those hazards;

    • (c) investigate, analyze and identify the cause or probable cause of all hazards, incidents and accidents identified under the safety management system;

    • (d) establish and maintain a safety data system, by either electronic or other means, to monitor and analyze trends in hazards, incidents and accidents;

    • (e) monitor and evaluate the results of corrective actions with respect to hazards, incidents and accidents;

    • (f) monitor the concerns of the civil aviation industry in respect of safety and their perceived effect on the holder of the ATS operations certificate; and

    • (g) determine the adequacy of the training required by paragraph 805.02(1)(f).

  • (2) The accountable executive shall, if a finding resulting from a quality assurance program referred to in subsection 805.03(1) or a safety management system referred to in section 805.01 is reported to them,

    • (a) determine what, if any, corrective actions are required and carry out those actions;

    • (b) keep a record of any determination made under paragraph (a) and the reason for it;

    • (c) if management functions have been assigned to another person under subsection (3), communicate any determination regarding a corrective action to that person; and

    • (d) notify the certificate holder of any systemic deficiency and of the corrective action taken.

  • (3) The accountable executive may assign the management functions of the safety management system referred to in section 805.01 to another person if the assignment and its scope are described in the manual or document referred to in subsection 805.02(2).

  • (4) The person to whom management functions have been assigned under subsection (3) shall notify the accountable executive of any systemic deficiency and of the corrective action taken.

  • (5) The responsibility of the accountable executive is not affected by the assignment of management functions to another person under subsection (3).

  • SOR/2007-290, s. 13.
 
Date modified: