TP 14343E

*TP14343E*
(revised 06/2005)

Published by: Transport Canada

Civil Aviation
Printed in Canada
Please direct your comments, orders and inquiries to:
Transport Canada
Civil Aviation Communications Centre (AARC)
Place de Ville
Tower C, 5th Floor
330 Sparks Street
Ottawa ON K1A 0N8
Telephone: 1 800 305-2059
Fax: 613 957-4208
E-mail: services@tc.gc.ca
©Her Majesty the Queen in Right of Canada, as represented by the Minister of Transport 2005
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic,
mechanical, photocopying, recording, or otherwise, without prior written permission of the Department of Transport, Canada. Please contact the
Civil Aviation Communications Centre at 1 800 305-2059 (EST) for assistance. The information in this publication is to be considered solely as a
guide and should not be quoted as or considered to be a legal authority. It may become obsolete in whole or in part at any time without notice.
TP 14343E
(revised 06/2005)
 Foreword

This Implementation Procedures Guide has been developed to assist organizations with the implementation of
their Safety Management System (SMS). The guide is designed to address a phased implementation approach
and is based on the issuance of Exemptions. The phased approach will allow organizations the time they need to
implement safety management in a planned, systematic way. It will also allow Transport Canada civil aviation safety
inspectors a means to effectively manage the workload associated with this program.

This guide will also provide information to assist organizations with the selection of an accountable executive.

Not all organizations are required to implement safety management systems at the same time. Organizations that
are subject to SMS regulations at a later date are encouraged to begin work on their programs early. Transport
Canada will assist organizations wherever possible, however, the priority will be directed to organizations that are
required through regulatory amendments, to implement a safety management system.

Rev. 1, June, 2005

 Table of Contents

Implementation Procedures For Safety Management Systems ............................................................................................ 1

1.1 Purpose ......................................................................................................................................................................... 1
1.2 Background .................................................................................................................................................................. 1
1.3 New Entrants................................................................................................................................................................ 1
1.4 Safety Management Systems Framework ...................................................................................................................... 2
1.5 The Exemption Process ................................................................................................................................................. 2
1.5.1 Phase 1 ................................................................................................................................................................ 3
1.5.2 Phase 2 ................................................................................................................................................................ 3
1.5.3 Phase 3 ................................................................................................................................................................ 4
1.5.4 Phase 4 ................................................................................................................................................................ 4
1.6 Gap Analysis and Project Plan ...................................................................................................................................... 4
1.7 Accountable Executive .................................................................................................................................................. 5
1.8 Multiple Certificate Holders ......................................................................................................................................... 5
1.9 Opting out of the Exemption ........................................................................................................................................ 5
1.10 Assessment Protocol .................................................................................................................................................... 6
1.11 Guidance Material ...................................................................................................................................................... 6

Appendix A - Compliance Document............................................................................................................. 7

Appendix B - Gap Analysis Form ................................................................................................................... 9

Component 1, Safety Management Plan - Element 1.1, Safety Policy .......................................................................... 9
Component 1, Safety Management Plan - Element 1.2, Non-Punitive Safety Reporting ............................................. 9
Component 1, Safety Management Plan - Element 1.3, Roles & Responsibilities ........................................................ 9
Component 1, Safety Management Plan - Element 1.4, Communication .................................................................. 10
Component 1, Safety Management Plan - Element 1.5, Safety Planning, Objectives & Goals................................... 11
Component 1, Safety Management Plan - Element 1.6, Performance Measurement .................................................. 11
Component 1, Safety Management Plan - Element 1.7, Management Review ........................................................... 11
Component 2, Documentation - Element 2.1, Identification & Maintenance
of Applicable Regulations ........................................................................................................................................... 11
Component 2, Documentation - Element 2.2, SMS Documentation ........................................................ 12
Component 2, Documentation - Element 2.3, Records Management ........................................................................ 12
Component 3, Safety Oversight - Element, 3.1, Reactive Processes ............................................................................ 12
Component 3, Safety Oversight - Element, 3.2, Proactive Processes .......................................................................... 13
Component 3, Safety Oversight - Element, 3.3, Investigation & Analysis.................................................................. 14
Component 3, Safety Oversight - Element, 3.4 Risk Management ............................................................................ 14
Component 4, Training - Element 4.1, Training, Awareness & Competence ............................................................. 15
Component 5, Quality Assurance - Element 5.1, Operational Quality Assurance...................................................... 15
Component 6, Emergency Preparedness - Element 6.1, Emergency Preparedness & Response .................................. 17

Appendix C - Sample Project Plan .................................................................................................................18

Appendix D – Accountable Executive Selection Flow Chart ..........................................................................19

Appendix E – Accountable Executive Selection Question List ...................................................................... 20

Rev. 1, June, 2005

IMPLEMENTATION PROCEDURES FOR SAFETY MANAGEMENT SYSTEMS

1.1 Purpose

This implementation procedures guide has been developed with a dual purpose, the first is to provide information to Air
Operators and Approved Maintenance Organizations (AMO) who are required to implement a Safety Management System
(SMS) and the second is to provide information that will assist those organizations with the selection and appointment of
an accountable executive.

The guide will offer information on the conduct of a gap analysis and creation of a project plan. It will also expand on
Transport Canada’s phased-in approach for SMS implementation through the issuance of exemptions. Several forms and
examples are also included and can be used or amended to suit the needs of individual organizations.

This guide is intended as information only, if there is a discrepancy between this guide and the applicable regulations,
standards or exemption, the regulation, standard or exemption will take precedence.

1.2 Background

In Flight 2005: A Civil Aviation Safety Framework for Canada, Transport Canada committed to the implementation of
safety management systems in civil aviation organizations. Safety management is a principal element of a sound aviation
management program and a prime factor in the achievement of the goals set out in Flight 2005: the reduction of accidents
and incidents and an increased level of public confidence in Canada’s air transportation system. The aim is to improve safety
through proactive management rather than reactive compliance with regulatory requirements.

Transport Canada, through the Canadian Aviation Regulatory Advisory Council (CARAC), has developed a series of rule
changes to introduce the regulatory requirements for SMS in civil aviation organizations. These rules will be published in the
Canada Gazette II in a staggered fashion. Rules affecting certificate holders in Subpart 73 of Part V and Subpart 705 of Part
VII are expected to come into force in 2005. The remaining rules for Part IV, V and Part VII are expected to come into force
in 2007. This guide will provide information for the implementation of all the proposed SMS regulations.

Safety management involves organizational as well as cultural change. Transport Canada believes that a phased-in approach to
SMS implementation is appropriate, providing a manageable series of steps for organizations to follow. Four implementation
phases have been identified; each phase involves the introduction of specific SMS components and elements. Exemptions will
be issued to permit the phased implementation approach.

As you read this guide it is important to remember that the implementation of SMS depends on the date the regulations
come into force. The exemption and the four implementation phases are all predicated on the date of publication of the
regulations. Please refer to the Regulatory Affairs website http://tcinfo/CivilAviation/RegServ/Affairs/menu.htm for further
information on when specific regulations will come into force.

1.3 New Entrants

Organizations applying for an Air Operator or AMO Certificate on or after the date the SMS regulations come into force
must incorporate all the SMS components and elements as part of their initial application for certification. Existing certificate
holders or new entrants, whose application is dated and accepted by Transport Canada prior to the date the SMS regulations
come into force, will have the opportunity to utilize the exemption.

Post certification audits for new entrants will be scheduled by the applicable Transport Canada Centre/Office of Primary
Interest and will include an assessment of the SMS.

Rev. 1, June, 2005 Safety Management Systems Implementation Procedures Guide 1

 1.4 Safety Management Systems Framework

Transport Canada has developed a SMS framework that is outlined in Table A. This framework follows the same structure
as the Transport Canada SMS model, previously published in TP 13881 E. The framework lists six components and
corresponding elements.

Table A – This table is included for information purposes and as a reference for Phases 1 through 4.
Table A - SMS Framework
Component Element Phase
Safety Management System Compliance Document, Gap Analysis, Project Plan 1
1. Safety Management Plan 1.1 Safety Policy 2
1.2 Non-Punitive Reporting Policy 2
1.3 Roles, Responsibilities & Employee Involvement 2
1.4 Communication 2
1.5 Safety Planning, Objectives and Goals 2
1.6 Performance Measurement 2
1.7 Management Review 2
2. Document Management 2.1 Identification and Maintenance of Applicable Regulations 2,3,4 **
2.2 SMS Documentation 2,3,4 **
2.3 Records Management 2,3,4 **
3. Safety Oversight 3.1 Reactive Processes 2
3.2 Proactive Processes 3
3.3 Investigation and Analysis 2
3.4 Risk Management 2
4. Training 4.1 Training, Awareness and Competence 2,3,4 **
5. Quality Assurance 5.1 Operational Quality Assurance 4
6. Emergency Preparedness 6.1 Emergency Preparedness and Response 4
** The Document Management and Training components are common to all phases and are implemented as they
apply to the other components or elements in that phase.

1.5 The Exemption Process

Upon publication of the SMS regulations in the Canada Gazette Part II, Transport Canada will issue exemptions effectively
delaying the requirement for organizations to comply with these new rules. The exemptions will provide all the information
needed for organizations to determine who is affected by the SMS regulations and when they are required to comply with
the stated conditions.

Note: Refer to the Regulatory Affairs website at http://tcinfo/CivilAviation/RegServ/Affairs/menu.htm for

official copies of exemptions.

The initial implementation of SMS will only apply to air operators whose operating certificate was issued under Subpart 705
and AMOs whose maintenance organization certificate was issued with aircraft ratings for types operated under Subpart 705.
Additional exemptions will be issued at a later date to bring the remaining air operators and AMOs into compliance with
forthcoming SMS regulations.

The exemptions will specify that affected organizations must implement a SMS in accordance with the stated conditions. The
implementation of the SMS requirements has been divided into four phases with each phase having specific requirements as
detailed below.

2 Safety Management Systems Implementation Procedures Guide Rev. 1, June, 2005

 Transport Canada’s experience with SMS implementation activities has demonstrated that cultural as well as organizational
change is required to successfully implement a SMS. This takes time, resources and experience. As such, organizations are
strongly advised to take full advantage of the exemption program.

1.5.1 Phase 1

During this phase, and no later than the time specified by the Minister in the exemption, affected organizations are
required to complete a copy of the Compliance Document (Appendix A) and forward this to their Principal Maintenance
Inspector (PMI) or Principal Operations Inspector (POI) as applicable. Completion of the compliance document will satisfy
the requirements of CAR 106.02(1)(b)(c) and is an essential element of the SMS implementation process ensuring that all
affected organizations are aware of their regulatory responsibility.

The compliance document will identify the accountable executive. It will also identify the person within the organization
who is responsible for implementing the SMS and will contain a statement committing the organization to implementing
that system. In some organizations, the accountable executive and the person responsible for implementation of the SMS
may be the same person.

In addition to completing the compliance document, affected organizations will;

(a) conduct a gap analysis of the organization’s existing systems compared to the CARs SMS requirements; and
(b) develop a project plan that clearly demonstrates to the POI/PMI how the organization will implement
their SMS based on the requirements of the exemption and the results of the gap analysis.

The project plan will be jointly agreed to between Transport Canada and the organization implementing the SMS. To
be effective, the project plan will include milestones for critical items such as dates for development and submission of
policies and procedures, training of staff and review by Transport Canada. These milestone dates are important, as principal
inspectors will use them to plan their implementation responsibilities and commitments. It is acknowledged that project
plans will require some flexibility, both TC and the affected organization must agree to any changes provided they do not
permit extension beyond the time limitations of any phase. Last minute changes made to the plan may not be accommodated
by Transport Canada due to workload or other priorities.

The compliance document, gap analysis and project plan shall be completed and submitted as a package within the time
limitations specified in the exemption. Transport Canada will review the submission and provide a response within 90 days.
Transport Canada’s endorsement of the compliance document will indicate review of the gap analysis and agreement with
the project plan.

1.5.2 Phase 2

During this phase, and no later than the time specified by the Minister in the exemption, certificate holders must demonstrate
to the satisfaction of Transport Canada, that they have the following SMS components/elements in place:
(a) The Safety Management Plan component (including all elements);
(b) The following elements of the Safety Oversight component:
(i) Reactive Processes
(ii) Investigation and Analysis
(iii) Risk Management
(c) Training for personnel assigned duties under the SMS that are relevant to
the components and elements referred to in (a) and (b).
(d) Documented policies and procedures that are relevant to the SMS
components and elements referred to in (a), (b) and (c).

Rev. 1, June, 2005 Safety Management Systems Implementation Procedures Guide 3

 1.5.3 Phase 3

During this phase, and no later than the time specified by the Minister in the exemption, in addition to meeting the
requirements of Phase 2, certificate holders must demonstrate to the satisfaction of Transport Canada that they have the
Proactive Process element of the Safety Oversight component in place. This requirement will also include documented
policies, procedures and training for personnel assigned duties under the SMS.

1.5.4 Phase 4

During this phase, and no later than the time specified by the Minister in the exemption, in addition to meeting the
requirements of Phases 2 and 3, certificate holders must demonstrate to the satisfaction of Transport Canada, that they have
the following components in place:
(a) Operational Quality Assurance
(b) Emergency Preparedness and Response
(c) Training for personnel assigned duties under the SMS that are relevant to
the components and elements referred to in (a) and (b).
(d) Documented policies and procedures that are relevant to the SMS
components and elements referred to in (a), (b) and (c).

1.6 Gap Analysis and Project Plan

Phase one of SMS implementation requires affected organizations to conduct a gap analysis of their system(s) to determine
which components and elements of a safety management system are currently in place and which components or elements
must be added or modified to meet the regulatory requirements. The review involves comparing the SMS requirements
found in Parts I, V and VII of the CARs against the existing systems in your company. Part I – General Provisions, contains
several rule changes that are common to all civil aviation organizations and should be included in the analysis. Any additional
SMS requirements can be found in Parts V & VII of the CARs.

Transport Canada has developed a Safety Management Systems Assessment Guide, TP 14326E, which will assist organizations
in conducting their gap analysis. This guide lists all the SMS components and elements and includes criteria linked to the
appropriate regulation or standard. The SMS Assessment Guide will be appended to the Inspection & Audit Manual, TP
8606, and will form the basis of Transport Canada’s on going SMS evaluations.

A comprehensive gap analysis form is included in this guide as Appendix B. The form combines the criteria from the SMS
Assessment Guide, TP14326E, as well as the applicable references to the regulations and standards for Parts I, V & VII.
Organizations can use this format as a template to conduct their gap analysis or they can create their own provided they refer
to the SMS Assessment Guide for the appropriate criteria for each component and element.

Each gap analysis question is designed for a “yes” or “no” response. If you respond with a “yes” answer you are indicating
that your organization already meets the criteria for that particular SMS component or element. A “No” answer indicates
that a gap exists between the stated criteria and your organization’s policies, procedures or processes. If the response is ‘”yes”,
the next column of the gap analysis form can be used to indicate where (in company documentation) the requirement is
addressed. If the response is “no”, the same column can be used to indicate how and/or where the policy, procedure or process
will be further developed to bring the organization into compliance with the requirement.

Once the gap analysis is complete and fully documented, the items you have identified as missing or deficient will form the
basis of your project plan. Organizations may format their project plan to suit their individual needs, however, a spreadsheet
format or MS Project type layout is recommended for ease of viewing and tracking. Each item will be assessed to determine
how the organization will create or modify policies, procedures or processes to incorporate the required SMS components
and elements. Components and elements can be grouped into larger projects and assigned to project manager(s) who will
oversee the development and implementation of that project. Each component, element or project should be assigned

4 Safety Management Systems Implementation Procedures Guide Rev. 1, June, 2005

 milestones including a termination date to ensure that completion does not fall outside the time limits published in the
exemption. Appendix C provides a project plan example with suggested headings to assist organizations in the development
of their plan.

Once complete, the compliance document, gap analysis and project plan will be submitted to your POI/PMI no later
than the time specified in the exemption. These documents will be reviewed in accordance with the requirements of the
exemption and the applicable SMS regulations and standards.

Circumstances that necessitate change(s) to the project plan must be communicated as soon as possible to the assigned
principal maintenance or operations inspector to gain agreement and ensure timely submission of required material. Periodic
progress reporting is a key component of this process.

1.7 Accountable Executive

Coincident with the introduction of SMS regulations, organizations will also be required to appoint an accountable executive.
The accountable executive will be a single, identifiable person within each organization who will assume full responsibility
for the organization’s ongoing compliance with the CARs (ref CAR 106). It is imperative that the correct person is identified
as the accountable executive, and that the individual understands the roles and responsibilities associated with that position.
This is not intended to be a position title without accountability.

Appendices D and E provide a flow chart and series of questions respectively, to assist with the selection process. The flow
chart identifies several organizational structures that will lead to a corresponding accountable executive. Once this person is
determined, the questions following the flow chart will confirm the selected person is the correct choice. All questions must
receive a ‘yes’ answer for the candidate to be acceptable. Should any of the questions result in a ‘no’ answer, the selection
process must start again with a new candidate. The organizational structures included in the Appendix are intended to
cover the majority of situations that will be encountered. Should there be an organizational structure that does not result
in the clear selection of an accountable executive, an appropriate candidate will be selected in consultation with Transport
Canada. The nomination of the Accountable Executive will be validated during the next inspection, regulatory audit or safety
management system assessment.

Note: Regulations requiring the appointment of an accountable executive are separate from those requiring a SMS. Information
on the accountable executive is included here to offer organizations a comprehensive package for implementing their SMS
and selecting their accountable executive.

1.8 Multiple Certificate Holders

Organizations holding Air Operator and AMO Certificates may choose to implement a single safety management system. This
format is optional and will allow the safety management system to be designed to accommodate the regulatory requirements
of both certificates. This will ensure that the SMS will be a fully integrated system and not separate systems operating
independently of each other.

This is not to imply that the regulatory requirements within each certificate will be combined. Each certificate must continue
to comply with its regulatory requirements, however both certificates can be subject to a single SMS.

1.9 Opting out of the Exemption

Organizations that do not take advantage of the exemption(s) must be in full compliance with the applicable safety management
regulations within 30 days of publication in the Canada Gazette II. Contact your POI/PMI as soon as possible to ensure your
programs, including approved documentation, are compliant with the applicable SMS requirements. Organizations that are
found to be non-compliant following an assessment will be subject to normal administrative action.

Due to the anticipated increase in workload expected with SMS implementation, Transport Canada’s priority will be directed
toward those organizations that utilize the exemption and phased implementation method. As such, organizations are strongly
encouraged to take full advantage of the exemption

Rev. 1, June, 2005 Safety Management Systems Implementation Procedures Guide 5

 1.10 Assessment Protocol

The Civil Aviation SMS Assessment Protocol has been developed to give Transport Canada a tool for systematically evaluating
the state of Safety Management Systems. It is not meant to be an inspection or compliance audit, but rather, the assessment
focuses on the effectiveness and efficiency of a management system and makes judgments on its performance. Civil Aviation
Safety Inspectors will use the tool for the review and acceptance of each organization’s SMS. This protocol can also be used
by affected organizations to “self assess” their program prior to review by Transport Canada. The assessment protocol can
be found using the website link provided below under Guidance Material and will be added to the Inspection and Audit
Manual (TP 8606).

1.11 Guidance Material

Transport Canada has published additional guidance material to assist organizations with their SMS program. This information
is available on the Transport Canada website at http://www.tc.gc.ca/civilaviation/SMS/menu.htm

Organizations are encouraged to review this site with emphasis on the following;
• Safety Management Systems, TP 13739 http://www.tc.gc.ca/
civilaviation/SystemSafety/Pubs/tp13739/menu.htm
• Safety Management Systems for Flight Operations And Aircraft Maintenance Organizations – A guide
to implementation, TP 13881 http://www.tc.gc.ca/civilaviation/maintenance/SMS/menu.htm
• Safety Management Systems for Small Aviation Operations, TP 14135 (http://
www.tc.gc.ca/civilaviation/general/Flttrain/SMS/Intro.htm)
• Regulatory Affairs http://tcinfo/CivilAviation/RegServ/Affairs/menu.htm
• Safety Management Systems Assessment Guide, TP 14326
• Inspection and Audit Manual, TP 8606 http://www.tc.gc.ca/civilaviation/maintenance/aarpf/menu.htm

6 Safety Management Systems Implementation Procedures Guide Rev. 1, June, 2005

 Appendix A - Compliance Document

Part 1 of this form may be used to satisfy the notification and acceptance requirements of CAR 106.02(1)(b) & (c).
Organizations required to implement a SMS will also complete Parts 2 & 3 of this form.
This compliance document, or a similarly worded form, the gap analysis and project plan, must be submitted within the time
specified in the exemption, to the organization’s principal operations or maintenance inspector for review.

Part 1

A flow chart and question list is included as Appendices D & E, of this guide. They can be used to assist your
organization in identifying the accountable executive. The chart and questions are designed to ensure that a
person, and not a position, is identified as the accountable executive.

I, declare myself to be the accountable executive for

________________________________________________________________________________________
(name, position titl e and signature)

________________________________________________________________________________________
(name on certificate(s))

for the following certificates:

Approved Maintenance Organization Air Operator

Part 2

Implementing the Safety Management System will be the responsibility of

________________________________________________________________________________________
(provide name and position title)

Part 3

As accountable executive I am committing

________________________________________________________________________________________
(company name)

to implementing a Safety Management System per the attached project plan.

________________________________________________________________________________________
Accountable Executive

In accordance with the conditions of the Exemption, the information contained on this document, the gap
analysis and project plan have been reviewed. Endorsement by Transport Canada indicates agreement with the
attached project plan.

Signed: __________________________________________________________________________________
(For Minister of Transport) Date

Rev. 1, June, 2005 Safety Management Systems Implementation Procedures Guide 7

8 Safety Management Systems Implementation Procedures Guide Rev. 1, June, 2005
 Appendix B - Gap Analysis Form

Safety Management Response If yes, state where the requirement is addressed, If no, record SMS
System Requirements (Yes/No) processes that need further development
Component 1, Safety Management Plan - Element 1.1, Safety Policy
Is a safety management
system with defined
components established,
maintained and adhered to?
(CAR107.02)
Is the safety management
system appropriate to the
size and complexity of the
organization? (CAR107.04)
Is there a safety policy in
place? (CAR 107.03, 573.31,
705.152)
Has the organization based
its safety management system
on the safety policy?
(CAR 107.03)
Is the safety policy approved
by the accountable executive?
(CAR 573.31, 705.152)
Is the safety policy promoted
by the accountable executive?
(CAR 573.31, 705.152)
Is the safety policy reviewed
periodically? (CAR 107.03)
Is the safety policy
communicated to all
employees with the intent
that they are made aware
of their individual safety
obligations? (CAR 107.03,
573.31, 705.152)
Component 1, Safety Management Plan - Element 1.2, Non-Punitive Safety Reporting
Is there a policy in place
that provides immunity
from disciplinary action for
employees that report safety
deficiencies, hazards or
occurrences? (CAR 573.31,
705.152)
Component 1, Safety Management Plan - Element 1.3, Roles & Responsibilities
Has an accountable executive
been appointed with
responsibility for ensuring
that the safety management
system is properly
implemented and performing
to requirements in all areas of
the organization?
(CAR 106.02)

Rev. 1, June, 2005 Safety Management Systems Implementation Procedures Guide 9

 Safety Management Response If yes, state where the requirement is addressed, If no, record SMS
System Requirements (Yes/No) processes that need further development
Does the accountable
executive have control of the
financial and human resources
required for the proper
execution of his/her SMS
responsibilities?
(CAR 106.02, 573.03, 700.09)
Has a qualified person been
appointed to manage the
operation of the SMS?
(CAR 573.30, 705.151)
Does the person managing
the operation of the SMS
fulfill the required job
functions and responsibilities?
(CAR 573.32, 705.153)
Are the safety authorities,
responsibilities and
accountabilities of
personnel at all levels of the
organization defined and
documented? (CAR 107.03,
573.31, 705.152)
Do all personnel understand
their authorities,
responsibilities and
accountabilities in regards
to all safety management
processes, decisions and
actions? (CAR 107.03)
Component 1, Safety Management Plan - Element 1.4, Communication
Are there communication
processes in place within the
organization that permit the
safety management system to
function effectively?
(CAR 573.31, 705.152)
Are communication
processes (written,
meetings, electronic,
etc.) commensurate with
the size and scope of the
organization? (CAR 107.04)
Is information established
and maintained in a suitable
medium that provides
direction in related
documents? (CAR 107.03,
573.31, 705.152)
Is there a process for the
dissemination of safety
information throughout the
organization and a means of
monitoring the effectiveness
of this process? (CAR 107.03,
573.32, 705.153)

10 Safety Management Systems Implementation Procedures Guide Rev. 1, June, 2005

 Safety Management Response If yes, state where the requirement is addressed, If no, record SMS
System Requirements (Yes/No) processes that need further development
Component 1, Safety Management Plan - Element 1.5, Safety Planning, Objectives & Goals
Have safety objectives been
established?(CAR 107.03)
Is there a formal process
to develop a coherent set
of safety goals necessary
to achieve overall safety
objectives? (CAR 107.03,
573.31, 705.152)
Are safety objectives
and goals publicized and
distributed? (CAR 107.03)
Component 1, Safety Management Plan - Element 1.6, Performance Measurement
Is there a formal process to
develop and maintain a set of
performance parameters to
be measured? (CAR 107.03,
573.31, 705.152)
Component 1, Safety Management Plan - Element 1.7, Management Review
Are regular and periodic,
planned reviews of company
safety performance and
achievement including an
examination of the company’s
Safety Management System
conducted to ensure its
continuing suitability,
adequacy and effectiveness?
(CAR 107.03, 573.31,
705.152)
Is there a process to
evaluate the effectiveness of
corrective actions?
(CAR 573.32, 705.153)
Component 2, Documentation - Element 2.1, Identification & Maintenance of Applicable Regulations
Has a documented procedure
been established and
maintained for identifying
applicable regulatory
requirements?
(CAR 573, 705)
Are Regulations, Standards
and Exemptions periodically
reviewed to ensure that the
most current information is
available? (CAR 573, 705)

Rev. 1, June, 2005 Safety Management Systems Implementation Procedures Guide 11

 Safety Management Response If yes, state where the requirement is addressed, If no, record SMS
System Requirements (Yes/No) processes that need further development
Component 2, Documentation - Element 2.2, SMS Documentation
Is there consolidated
documentation that
describes the safety
management system and the
interrelationship between all
of its elements? (CAR 107.03)
Does this information reside
or is it incorporated by
reference into approved
documentation, such as
Company Operations Manual,
Maintenance Control/
Policy Manual, Airport
Operations Manual, as
applicable, and where these
approved documents are not
required by regulation, the
organization includes the
information in a separate,
controlled document? (CAR
573.31, STD 725.152)
Component 2, Documentation - Element 2.3, Records Management
Does the organization have a
records system that ensures
the generation and retention
of all records necessary
to document and support
operational requirements,
and is in accordance with
applicable regulatory
requirements? (CAR 103.04,
573.31, 705.152)
Does the system provide the
control processes necessary
to ensure appropriate
identification, legibility,
storage, protection, archiving,
retrieval, retention time, and
disposition of records?
(CAR 103.04)
Component 3, Safety Oversight - Element, 3.1, Reactive Processes
Does the organization have
a reactive process or system
that provides for the capture
of internal information
including incidents, accidents
and other data relevant to
SMS? (CAR 107.03, 573.31,
705.152)
Is the reactive reporting
process simple, accessible and
commensurate with the size
of the organization?
(CAR 107.04)

12 Safety Management Systems Implementation Procedures Guide Rev. 1, June, 2005

 Safety Management Response If yes, state where the requirement is addressed, If no, record SMS
System Requirements (Yes/No) processes that need further development
Are reactive reports
reviewed at the appropriate
level of management? (CAR
573.04,31,32, 705.152,153)
Is there a feedback process to
notify contributors that their
reports have been received
and to share the results of
the analysis? (CAR 573.32,
705.153)
Is there a process in place to
monitor and analyze trends?
(CAR 573.32, 705.153)
Are corrective and preventive
actions generated in response
to event analysis? (CAR
107.03, 573.31, 705.152)
Component 3, Safety Oversight - Element, 3.2, Proactive Processes
Does the organization have
a process or system that
provides for the capture of
internal information including
hazard identification,
occurrences and other data
relevant to SMS? (CAR
107.03, 573.31, 705.152)
Is the proactive reporting
process simple, accessible and
commensurate with the size
of the organization? (CAR
107.04)
Are proactive reports
reviewed at the appropriate
level of management? (CAR
573.04,31,32, 705.152,153)
Is there a feedback process to
notify contributors that their
reports have been received
and to share the results of
the analysis? (CAR 573.32,
705.153)
Is there a process in place to
monitor and analyze trends?
(CAR 573.32, 705.153)
Has the organization planned
self-evaluation processes,
such as regularly scheduled
reviews, evaluations,
surveys, operational audits,
assessments, etc.? (CAR
107.03, 573.32, 705.153)
Are corrective and preventive
actions generated in response
to hazard analysis? (CAR
107.03, 573.31, 705.152)

Rev. 1, June, 2005 Safety Management Systems Implementation Procedures Guide 13

 Safety Management Response If yes, state where the requirement is addressed, If no, record SMS
System Requirements (Yes/No) processes that need further development
Is a process in place for
analysing changes to
operations or key personnel
for hazards? (CAR 107.03)
Component 3, Safety Oversight - Element, 3.3, Investigation & Analysis
Are there procedures in
place for the conduct of
investigations? (CAR 107.03,
573.31,32, 705.152,153)
Do measures exist that
ensure all reported
occurrences and deficiencies
are investigated? (CAR
573.31, 705.152)
Is there a process to
ensure that occurrences
and deficiencies reported
are analyzed to identify
contributing and root causes?
(CAR 573.32, 705.153)
Are corrective and
preventative actions
generated in response to
event investigation and
analysis? (CAR 107.03, 573.31,
705.152)
Component 3, Safety Oversight - Element, 3.4, Risk Management
Is there a structured process
for the assessment of risk
associated with identified
hazards, expressed in
terms of severity, level of
exposure and probability of
occurrence? (CAR 107.03,
573.32, 705.153)
Are there criteria for
evaluating risk and the
tolerable level of risk the
organization is willing to
accept? (CAR 107.03, 573.32,
705.153)
Does the organization have
risk control strategies that
include corrective/ preventive
action plans to prevent
recurrence of reported
occurrences and deficiencies?
(CAR 107.03, 573.03, 700.09)
Does the organization have
a process for evaluating
the effectiveness of the
corrective/preventive
measures that have been
developed? (CAR 107.03,
573.32, 705.153)

14 Safety Management Systems Implementation Procedures Guide Rev. 1, June, 2005

 Safety Management Response If yes, state where the requirement is addressed, If no, record SMS
System Requirements (Yes/No) processes that need further development
Are corrective/ preventive
actions, including timelines,
documented? (CAR 573.04,
573.32, 705.03, 705.153)
Component 4, Training - Element 4.1, Training, Awareness & Competence
Is there a documented
process to identify training
requirements so that
personnel are competent to
perform their duties? (CAR
107.03, 573.31, 705.152)
Is there a validation
process that measures the
effectiveness of training?
(CAR 107.03, 573.32,
705.153)
Does the training include
initial, recurrent and update
training, as applicable? (CAR
573.06, 705.124)
Is the organization’s
safety management
training incorporated into
indoctrination training upon
employment? (CAR 573.06,
705.124)
Does the training include
human and organizational
factors? (CAR 573.06,
705.124)
Is there emergency
preparedness and response
training for affected
personnel?(CAR 705.07)
Component 5, Quality Assurance - Element 5.1, Operational Quality Assurance
Is a quality assurance system
established and maintained
and is under the management
of an appropriate person?
(CAR 573.31, 705.152)
Does the organization
conduct reviews and audits of
its processes, its procedures,
analyses, inspections and
training? (CAR 573.09,
706.07)
Does the organization have
a system to monitor for
completeness, the internal
reporting process and the
corrective action completion?
(CAR 573.09, 706.07)

Rev. 1, June, 2005 Safety Management Systems Implementation Procedures Guide 15

 Safety Management Response If yes, state where the requirement is addressed, If no, record SMS
System Requirements (Yes/No) processes that need further development
Is there an operationally
independent audit function
with the authority required
to carry out an effective
internal evaluation program?
(CAR 573.09, 706.07)
Does the quality assurance
system cover all functions
defined within the
certificate(s)? (CAR & STD
573.09, 706.07)
Are there defined audit
scope, criteria, frequency
and methods? (CAR 573.09,
706.07)
Are there selection/training
process to ensure the
objectivity and competence
of auditors as well as the
impartiality of the audit
process? (CAR 573.09,
706.07)
Is there a procedure for
reporting audit results and
maintaining records?
(CAR 573.09, 706.07)
Is there a procedure outlining
requirements for timely
corrective and preventive
action in response to audit
results? (CAR 573.09, 706.07)
Is there a procedure to
record verification of
action(s) taken and the
reporting of verification
results? (CAR 573.04, 573.09,
705.03, 706.07)
Does the organization
perform periodic
Management reviews of safety
critical functions and relevant
safety or quality issues
that arise from the internal
evaluation program?
(CAR 107.03)

16 Safety Management Systems Implementation Procedures Guide Rev. 1, June, 2005

 Safety Management Response If yes, state where the requirement is addressed, If no, record SMS
System Requirements (Yes/No) processes that need further development
Component 6, Emergency Preparedness - Element 6.1, Emergency Preparedness & Response
Does the organization have
an emergency preparedness
procedure, appropriate to the
size, nature and complexity of
the organization?
(CAR 107.04, STD 725.07)
Have the Emergency
preparedness procedures
been documented,
implemented and assigned to
a responsible manager?
(STD 725.07)
Have the emergency
preparedness procedures
been periodically reviewed
as a part of the management
review and after key
personnel or organizational
change? (CAR 107.03)
Does the organization have
a process to distribute the
ERP procedures and to
communicate the content to
all personnel? (CAR 107.03,
STD 725.07)
Has the organization
conducted drills and exercises
with all key personnel at
intervals defined in the
approved control manual?
(CAR 107.03, STD 725.07)

Rev. 1, June, 2005 Safety Management Systems Implementation Procedures Guide 17

 Appendix C - Sample Project Plan

Component Regulatory Due Date Project Project Status Description

or Element Reference Manager Update of Required
(identified recommended) Changes
by the gap
analysis)
Develop and Add applicable Select a due date As assigned Select a status - develop
document a reference that will coincide update that is mid appropriate
safety policy that with the terms of way to the due date safety policy
is appropriate the Exemption text- amend
to the size and applicable
complexity of the company
organization documents
- communicate
policy to staff
Ensure that the “ “ As assigned “ - develop
safety policy states appropriate
the organization’s safety policy-
intentions, amend
management applicable
principles and company
commitment documents
to continuous - communicate
improvement policy to staff
Safety policy “ “ As assigned “ - accountable
approved by executive
the accountable to endorse
executive safety policy
in applicable
company
documents
Ensure the safety “ “ As assigned “ - establish
policy is promoted methods for
by the accountable accountable
executive executive
to promote
the safety
policy- amend
applicable
documents
Develop periodic “ “ As assigned “ - develop
review of safety procedures for
policy periodic review
- amend
applicable
documents

18 Safety Management Systems Implementation Procedures Guide Rev. 1, June, 2005

 Appendix D – Accountable Executive Selection Flow Chart

Rev. 1, June, 2005 Safety Management Systems Implementation Procedures Guide 19

 Appendix E – Accountable Executive Selection Question List

20 Safety Management Systems Implementation Procedures Guide Rev. 1, June, 2005