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Canadian Aviation Regulations (SOR/96-433)

Regulations are current to 2022-11-16 and last amended on 2022-03-06. Previous Versions

Part VI — General Operating and Flight Rules (continued)

Subpart 4 — Private Operators (continued)

Division X — Training Program (continued)

Safety Management System

 The component of the training program in respect of the private operator’s safety management system shall include the following elements:

  • (a) training in the concepts and principles of safety management systems;

  • (b) training in the organization and operation of the private operator’s safety management system;

  • (c) competency-based training for persons who have been assigned duties in respect of the safety management system;

  • (d) appropriate objectives for each person; and

  • (e) means of measuring the level of competency attained by each person who receives the training.

  • SOR/2014-131, s. 18
Amendments to Training Program
  •  (1) If the Minister determines that a private operator’s training program required under section 604.166 does not include the competencies required for each person who receives training to perform their assigned duties, the Minister shall notify the private operator of

    • (a) the corrective actions that the private operator is required to implement to its training program; and

    • (b) the date by which the private operator is required to implement the corrective actions to its training program.

  • (2) The private operator referred to in subsection (1) shall implement the corrective actions on or before the date specified by the Minister under paragraph (1)(b).

[604.185 to 604.196 reserved]

Division XI — Operations Manual

General Requirement
  •  (1) A private operator shall have an operations manual that sets out the processes, practices and procedures applied in the course of its operations. The operations manual shall include a table of contents and shall deal with the following topics:

    • (a) the duties and responsibilities of all operational and maintenance personnel, and the hierarchy and chain of command within management;

    • (b) the organization and operation of the safety management system;

    • (c) personnel training and qualifications;

    • (d) record keeping;

    • (e) the organization and operation of the maintenance control system;

    • (f) procedures for conducting an operation under a special authorization, if applicable;

    • (g) the organization and operation of the operational control system;

    • (h) procedures, if any, relating to minimum equipment lists;

    • (i) the procedures to follow in normal, abnormal and emergency conditions;

    • (j) the private operator’s standard operating procedures, if any;

    • (k) weather restrictions;

    • (l) flight time limits and flight duty period limits;

    • (m) controlled rest on the flight deck;

    • (n) accident and incident response considerations;

    • (o) procedures for dealing with security events;

    • (p) aircraft performance limitations; and

    • (q) the use and protection of records, if any, obtained from flight data recorders and cockpit voice recorders.

  • (2) The private operator shall ensure that it is possible to verify the currency and validity of each part of its operations manual.

  • SOR/2014-131, s. 18
  • SOR/2018-269, s. 18
Distribution
  •  (1) A private operator shall provide a copy of its operations manual and a copy of every amendment to that manual to every member of its personnel who is involved in the private operator’s operations.

  • (2) Every person who has been provided with a copy of an operations manual under subsection (1) shall keep it up to date by inserting in it the amendments provided and shall ensure that the appropriate parts are accessible when the person is performing assigned duties.

  • (3) Despite subsection (1), instead of providing every crew member with a copy of its operations manual and a copy of every amendment to that manual, a private operator may keep an up-to-date copy of the appropriate parts of that manual in each aircraft that it operates.

  • SOR/2014-131, s. 18

[604.199 to 604.201 reserved]

Division XII — Safety Management System

Prohibition

 No private operator shall conduct flight operations unless it has a safety management system that meets the requirements of section 604.203.

  • SOR/2014-131, s. 18
Components of the Safety Management System
  •  (1) Subject to subsection (2), the private operator’s safety management system shall include the following components:

    • (a) a statement of the overall objectives that are to be achieved by the safety management system;

    • (b) a safety management plan that

      • (i) specifies the duties that are assigned to the private operator’s personnel in respect of the safety management system,

      • (ii) sets out performance goals for the safety management system and a means of measuring the attainment of those goals,

      • (iii) sets out a policy for the internal reporting of aviation-safety-related hazards, incidents and accidents, including the conditions, if any, under which personnel will be protected from disciplinary action,

      • (iv) describes the relationship between the components of the safety management system, and

      • (v) sets out procedures for involving personnel in the establishment of the safety management system;

    • (c) a safety oversight program that includes

      • (i) procedures for managing aviation-safety-related incidents, including their investigation and analysis,

      • (ii) procedures for identifying and managing aviation-safety-related hazards, including the monitoring and risk profiling of those hazards,

      • (iii) a reporting and data collection system for collecting and communicating information relating to aviation-safety-related hazards and incidents that

        • (A) uses a record-keeping system to monitor and analyze aviation safety trends,

        • (B) includes a means of communicating with persons who report issues relating to the safety management system or aviation safety,

        • (C) is capable of generating progress reports for the person responsible for the functional area at intervals that the person determines, and

        • (D) is capable of generating other reports in urgent cases,

      • (iv) procedures for investigating and analyzing aviation-safety-related hazards, incidents and accidents that

        • (A) take into account human, environmental and supervisory factors and organizational elements,

        • (B) make it possible to make findings as to root causes and contributing factors, and

        • (C) make it possible to communicate the findings to the operations manager,

      • (v) risk management analysis procedures that include

        • (A) an analysis of aviation-safety-related hazards,

        • (B) a risk assessment based on risk criteria, and

        • (C) a risk control strategy,

      • (vi) corrective action procedures

        • (A) for determining what corrective actions are necessary, if any, and for carrying out those actions,

        • (B) for keeping a record of any determination made under clause (A) and the reason for that determination, and

        • (C) for monitoring and evaluating, in accordance with the quality assurance program referred to in section 604.206, the effectiveness of any corrective action carried out under clause (A),

      • (vii) procedures for disseminating to personnel, with the approval of the private operator, the following aviation-safety-related information:

        • (A) information relating to an incident,

        • (B) information relating to a hazard analysis, and

        • (C) information relating to the results of a review or audit, and

      • (viii) procedures for sharing, with any person with whom the private operator exchanges services, any information relating to aviation safety;

    • (d) procedures for

      • (i) ensuring that all procedures relating to the safety management system are recorded and disseminated to personnel,

      • (ii) managing and keeping all records and documents resulting from the safety management system,

      • (iii) ensuring that records and reports relating to the safety management system are retained for at least two years, and

      • (iv) reviewing all documents relating to the safety management system and keeping those documents up to date;

    • (e) emergency response procedures that

      • (i) cover all of the activities carried out by the private operator, and

      • (ii) ensure that the duties relating to those procedures are assigned to the appropriate personnel;

    • (f) the quality assurance program referred to in section 604.206; and

    • (g) the process for conducting a review of the safety management system under section 604.207.

  • (2) The safety management system of a private operator who has no employees is not required to include the components referred to in the following provisions:

    • (a) subparagraphs (1)(b)(iii) and (v);

    • (b) clause (1)(c)(iii)(B);

    • (c) subparagraph (1)(c)(vii);

    • (d) subparagraph (1)(d)(i); and

    • (e) subparagraph (1)(e)(ii).

  • SOR/2014-131, s. 18
Duties of Operations Manager
  •  (1) The operations manager shall

    • (a) manage the safety management system;

    • (b) implement the safety management plan referred to in paragraph 604.203(1)(b);

    • (c) implement the safety oversight program referred to in paragraph 604.203(1)(c);

    • (d) implement the procedures referred to in paragraph 604.203(1)(d) in respect of all documents relating to the safety management system;

    • (e) implement the emergency response procedures referred to in paragraph 604.203(1)(e);

    • (f) implement the quality assurance program referred to in section 604.206;

    • (g) ensure that any deficiency identified by the quality assurance program is analyzed to determine its root cause and contributing factors;

    • (h) communicate to the private operator any finding produced by the safety management system in respect of a hazard to aviation safety;

    • (i) share, with any person with whom the private operator exchanges services, any finding produced by the safety management system that is likely to have an adverse effect on aviation safety; and

    • (j) analyze any information relating to aviation safety that is received from any person with whom the private operator exchanges services and take appropriate action to mitigate any hazard to aviation safety.

  • (2) When a finding produced by the safety management system is reported to the operations manager, the operations manager shall

    • (a) determine what corrective actions are necessary to address that finding, if any, and carry out those actions;

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

    • (c) if the operations manager has assigned management functions to another person, communicate any determination made under paragraph (a) to that person; and

    • (d) notify the private operator of any deficiency that reduces the effectiveness of all or part of the safety management system, and of the corrective action carried out.

  • SOR/2014-131, s. 18
Duties of Personnel

 The personnel of a private operator shall

  • (a) report to the operations manager any issue relating to the safety management system, including

    • (i) deficiencies, and

    • (ii) aviation-safety-related hazards, incidents or accidents; and

  • (b) share, with any person with whom the private operator exchanges services, any information relating to aviation safety.

  • SOR/2014-131, s. 18
Quality Assurance Program
  •  (1) The quality assurance program shall make provision for sampling the private operator’s processes in order to measure

    • (a) the private operator’s effectiveness in conducting an audit under subsection (2); and

    • (b) the private operator’s ability to carry out its activities effectively and safely.

  • (2) An audit required by the quality assurance program shall be conducted

    • (a) within 12 months after the day on which the private operator registration document was issued;

    • (b) subject to paragraph (c), within 12 months after the day on which the previous audit was completed;

    • (c) within 36 months after the day on which the previous audit was completed, if

      • (i) the private operator submits to the Minister a risk assessment establishing that the private operator is capable of managing the aviation-safety-related risks that may occur during that 36-month period, and

      • (ii) none of the following events have occurred since the day on which the previous audit was completed:

        • (A) a major incident,

        • (B) a major change in the private operator’s activities, and

        • (C) a finding resulting from a review of the safety management system and indicating that the quality assurance program is not achieving its objectives;

    • (d) following an accident, or incident, that affects aviation safety; and

    • (e) following the identification, as a result of a review of the safety management system, of a deficiency that reduces the effectiveness of all or part of the safety management system.

  • (3) A quality assurance program shall include

    • (a) checklists of all of the activities carried out by the private operator;

    • (b) procedures for determining what corrective actions are necessary to eliminate the root cause and contributing factors of each finding of non-compliance with these Regulations;

    • (c) procedures for monitoring corrective actions to ensure that they are effective;

    • (d) a system for recording the following information:

      • (i) the findings resulting from an audit, and any supporting documentation,

      • (ii) an analysis of the root cause and contributing factors of any deficiency identified by the quality assurance program,

      • (iii) any corrective action, and

      • (iv) any follow-up action; and

    • (e) procedures for ensuring that each finding resulting from an audit is communicated to the operations manager and to any person who has been assigned management functions respecting the safety management system, and is made available to the private operator.

  • (4) An audit conducted under paragraph (2)(d) or (e) shall be a complete audit.

  • (5) No private operator shall assign a duty relating to the quality assurance program to a person who is responsible for carrying out a task or an activity evaluated by that program unless

    • (a) owing to the size, nature and complexity of the private operator’s operations and activities, it is impractical to assign the duty to a person who is not responsible for carrying out the task or activity;

    • (b) based on a risk analysis, assigning the duty to a person responsible for carrying out the task or activity will not result in an increased risk to aviation safety; and

    • (c) the operation of the audit system in relation to the quality assurance program will not be compromised.

  • SOR/2014-131, s. 18
 
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