Directive No. 31
Revision 2

Provide feedback to the Director, Management Services

Safety Management Systems

Policy Objective

To outline Civil Aviation’s approach to the implementation of safety management systems (SMS) in aviation organizations.

Background

In Flight 2005: A Civil Aviation Safety Framework for Canada, Transport Canada committed to the implementation of SMS in aviation organizations. At the most fundamental level the aim is to improve safety through pro-active management rather than reactive compliance with regulatory requirements.

A safety management system is a systematic, explicit and comprehensive process for managing safety risks. As with all management systems, an SMS provides for goal setting, planning, and measuring performance. SMS is woven into the fabric of an organization. It becomes part of the culture, the way people do their jobs.

The holders of certain Canadian Aviation Documents will be required to ensure that their management systems adequately reflect an SMS approach. The implementation date for various Parts of the Canadian Aviation Regulations (CARs) will vary based on the progress of the Notice of Proposed Amendments (NPAs) through the regulatory system. The expected result of this initiative is the improvement of safety practices further strengthening safety cultures within the civil aviation industry.

SMS development in Civil Aviation has comprised:

• Promoting SMS to the aviation industry
• Educating the aviation industry on SMS concepts and principles
• Consulting with all segments of the aviation industry on regulatory development
• Developing NPAs to the CARs
• Overseeing the implementation of SMS within aviation organizations

Policy Statement

Civil Aviation is committed to and supports the implementation of safety management systems in aviation organizations.

Application

This policy applies to all areas of the national Civil Aviation program.

Approach

The implementation of SMS involves progressive development and Civil Aviation has adopted a phased-in approach to implementation facilitated through exemptions and tailored to meet sector-specific needs. For example, for airline operators regulated under Canadian Aviation Regulation 705 and associated Approved Maintenance Organizations (AMOs), the phased-in implementation comprises four phases extending over three years and 120 days. For others, the phased-in approach will be tailored to meet specific sector needs.

Roles and Responsibilities

The Steering Committee membership compromises all Civil Aviation directors in headquarters and is responsible for:

• Overseeing the development of processes, procedures and practices related to safety management systems rule making and regulatory oversight

The Policy Committee includes cross-functional and regional representation and is responsible for:

• Ensuring a standardized approach to the development of SMS regulations and guidance material
• Providing guidance and advice in the development of SMS regulatory frameworks and guidance materials
• Addressing critical questions relating to processes and procedures, human and organizational factors, enforcement and regulations as well as training and communications
• Developing and recommending policy

• Providing support to Civil Aviation operational oversight divisions
• Facilitating the smooth, orderly and expedient implementation of SMS
• Reducing any adverse effects on the Civil Aviation regulatory surveillance program
• Addressing stakeholder questions and concerns
• Identifying and recommending policy

The Director responsible for SMS Implementation:

• Chairs the aforementioned committees
• Ensures a standardized approach in the development of all SMS regulations and guidance material
• Provides guidance and advice in the development of SMS regulatory frameworks and guidance materials
• Oversees the implementation of SMS
• Issues policy directives, as required, for SMS implementation

Functional and Regional Directors are responsible for:

• Overseeing and coordinating regional and national implementation of SMS
• Providing support to aviation organizations with the implementation of SMS

Further Information:

Don Sherritt
Director responsible for SMS Implementation
Telephone: (613) 952-4371
Facsimile: (613) 952-3298
E-mail: sherrid@tc.gc.ca

Merlin Preuss

Director General
Civil Aviation

Effective Date: April 11, 2006
Expiry Date: This directive will be revised as necessary as the implementation of SMS in aviation organizations evolves.