CSA PLUS 1161-2001 Carrier Safety Management System Essentials Guidelines to Assist in the Implementation of a Carrier Safety Management System and in Understanding CSA Standard B6.pdf

1、PLUS 1161 Carrier Sufety Management System Essentials Guidelines to Assist in the Implementation of a Carrier Safev Management System and in Understanding CSA Standard B619-O0 e CSA Special Publication PLUS 1161 Carder Safety Management System Essentials Guidelines to Assist in the Implementation of

2、 a Carrier Safety Management System and in Understanding CSA Standard B619-O0 CANADIAN STANDARDS ASSOCIATION “Registered trade-mark of Canadian Standards Association Published in luly 200 7 by Canadian Standards Association A not-for-profit private sector organization 1 78 Rexdale Boulevard, Toronto

3、, Ontario, Canada M9 W 1 R3 7 -800-463-6727 4 16-747-4044 Visit our Online Store ut WWW.CSU.CU ISBN 1-55324-552-0 Technical Editor: Paul Levine Managing Editor: Cary Burford Production Manager: Alison Maclntosh Administrative Assistant: Eliza bet h Hope Document Analyst: Indira Kumaralagan Document

4、Processor: Hematie Hassan Editors: Maria Adragna/Samantha Coyle/Sandra Hawryn/Ann Martin/ohn McConnell Graphics Coordinator: Cindy Kerkmann Publishing System Coordinators: Ursula Das/Crace Da Silva/Seetha Rajagopalan O Canadian Standards Association - 200 1 All rights reserved. No part of this publi

5、cation may be reproduced in any form whatsoever without the prior permission of the publisher. O Canadian Standards Association Carrier Safety Management System Essentials - Guidelines to Assist in the Implementation of a Carrier Safety Management System and in Understandina CSA Standard B67 9-00 d

6、Contents O Preface v 1. introduction 7 2. Overview of CSA Standard B619 3 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 General 3 Management Decision and Commitment 4 Project Planning and Assignment of Responsibilities 4 Training 4 Functional Assessment of Organizational Units 4 Developing Documentation 5 Imp

7、lementing Procedures 5 System Pre-assessment 5 Independent Assessment 5 3. Rationale for Implementation 6 4. Element One: Management Commitment to Safety 7 4.1 Management Responsibility 7 4.1.1 Transportation Safety Policy 7 4.2 Carrier Safety System 70 4.2.1 General 70 4.2.2 Carrier Safety Manageme

8、nt System Procedures 7 7 4.2.3 Transportation Safety Planning 72 4.3 Training 73 0 4.1.2 Organization 7 5. Element Two: Implementation of Safety Management 75 5.1 Contract Review 75 5.1.1 General 75 5.1.2 Review 75 5.2 Transportation Service Design 7 6 5.3 Purchasing 77 5.3.1 General 77 5.3.2 Evalua

9、tion of Subcontractors 7 7 5.3.3 Purchasing Data 78 5.4 Control of Owned, Leased, Rented, and Customer-Supplied Equipment 7 9 5.4.1 Procedural Documentation 7 9 5.4.2 Reporting Damage, Loss, or Theft 79 5.4.3 Carrier Responsibility for Safety and Legal Requirements 7 9 5.4.4 Verification of Purchase

10、d Product or Service 7 9 5.5 Vehicle Inspection, Maintenance, and Repair 20 5.5.1 Inspection, Maintenance, and Repair Process 20 5.5.2 Equipment Identification and Traceability 2 7 5.6 Safety Processes 27 5.6.1 Safe Conduct of Transportation Activities 27 5.6.2 Safety Incidents 22 july 2001 PLUS 7 1

11、61 O Canadian Standards Association 5.7 inspection and Performance Monitoring 22 5.7.1 Employee Performance Monitoring 22 5.7.2 Vehicle Maintenance Performance Monitoring 24 5.7.3 Safety Incident Performance Monitoring 25 5.7.4 Control of inspection, Measuring, and Test Equipment 26 5.8 Handling, St

12、orage, Load Securement, Distribution, Preservation, and Delivery 5.8.1 General 27 5.8.2 Handling 27 5.8.3 Storage 27 5.8.4 Load Securement and Distribution 27 5.8.5 Preservation 28 5.8.6 Delivery 28 5.8.7 Inspection and Records 28 6. Element Three: Safety Management System Support 29 6.1 Document an

13、d Data Control 29 6.1.1 General 29 6.1.2 Document and Data Approval and issuance 30 6.1.3 Document and Data Changes 3 7 6.2 Control of Nonconforming Product and Services 3 7 6.2.1 General 31 6.2.2 Review and Disposition of Nonconforming Product and Services 32 6.3 Control of Transportation Safety Re

14、cords 33 6.4 Statistical Techniques 34 6.4.1 identification of Need 34 6.4.2 Procedures 35 7. Element Four: Continuous Improvement 36 7.1 Transportation Safety Audits 36 7.1.1 General 36 7.1.2 Scheduling and Audit Protocol 36 7.1.3 Record and Reporting Requirements 36 7.1.4 Follow-up Activities 36 7

15、.2 Corrective and Preventive Action 37 7.2.1 General 37 7.2.2 Corrective Action 38 7.2.3 Preventive Action 38 7.3 Management Review 39 27 iv July 200 7 Carrier Safety Management System Essentials - Guidelines to Assist in the Implementation of a Carrier Safety Management System and in Understanding

16、CSA Standard 66 19-00 O Canadian Standards Association Preface O This is the first edition of CSA Special Publication PLUS 1 161, Carrier Safety Management System Essentials - Guidelines to Assist in the Implementation of a Carrier Safety Management System and in Understanding CSA Standard B67 9-00.

17、 This special publication is designed to provide a practical, user-friendly guide to users and implementers of CSA Standard 661 9-00, Carrier Safety Management Systems. CSA Standard B619 was developed under the auspices of the Canadian Standards Association in collaboration with carriers and other s

18、takeholders, and its intention is to outline effective means to deal with safety issues. growth and development in Canada and in North America. transportation agencies since the late 1980s, when economic regulations were significantly reduced and replaced with safety regulations. CSA Standard 861 9

19、provides a safety management system that a carrier may voluntarily adopt in order to demonstrate a commitment to safety that exceeds the minimum legal requirements. The Carrier Safety Management System (CSMS) is designed to achieve continuous improvement in the carriers overall transportation safety

20、 performance. It is also designed to demonstrate this performance to its potential customers and other stakeholders. Both features of the CSMS are important and beneficial to the carrier. The objective of this guide is to assist in the understanding of the requirements of the CSMS when applied to th

21、e freight transportation industry. This guide recognizes that there is a broad range of sizes and services of carrier organizations. While uniformity of interpretation and terminology is a primary objective of this guide, the way that CSA Standard 661 9 is applied may vary from firm to firm. Consequ

22、ently, carrier safety management systems may vary slightly from carrier to carrier, although many of the requirements for the successful operation of the carrier safety management system will be similar. The ability to move freight safely, effectively, and efficiently is critical to the sustainabili

23、ty of economic Safety issues have been of increasing concern to the public, governments, carriers, shippers, and 0 )uly 200 7 Notes: (1) Use of the singular does not exclude the plural (and vice versa) when the sense allows. (2) Although the intended primary application of this Special Publication i

24、s stated in the Introduction, it is important to note that it remains the responsibility of the users of this Special Publication to judge its suitability for their particular purpose. (3) All enquiries regarding this Special Publication should be addressed to Canadian Standards Association, 1 78 Re

25、xdale Boulevard, Toronto, Ontario, Canada M9W 1 R3. luly 200 1 V Carrier Safety Management System Essentials - Guidelines to Assist in the Implementation of a Carrier Safety Management System and in Understanding CSA Standard B6 1 9-00 O Canadian Standards Association PLUS 1161 Carrier Safety Manage

26、ment System Essentials Guidelines to Assist in the Implementation of a Crrier Safety Management System and in Understanding CSA Standard B619-O0 1. Introduction CSA Standard B619 (referred to from this point forward as “the standard” or “B619”) was developed to address the unique requirements of the

27、 trucking industry. It was designed to provide assurances to stakeholders (such as insurance companies and federal and provincial regulators) that the carrier is committed to complying with all transportation safety requirements. The management of the carrier provides this assurance by establishing

28、and implementing appropriate policies and procedures, setting safety performance objectives for the company, and continuously monitoring itself against these performance indicators. Adherence to these policies should ensure that the safety and performance objectives are met and that all incidents of

29、 nonconformance with either a regulatory requirement or B619 are promptly identified and corrected. This guide has been prepared with the intent to provide assistance to carrier organizations in implementing a Carrier Safety Management System (CSMS). Many transportation organizations, through their

30、participation on the Technical Committee on Carrier Safety Management Systems, provided industry-specific examples that are used in this guide. development of a successful safety management culture. The implementation of a CSMS in any organization should significantly assist the organization in real

31、izing the benefits that can be derived from these practices which exceed the mandated performance requirements contained in legislation. There are legislative and regulatory requirements, including those related to occupational health and safety, those related to the environment, and those of variou

32、s federal and provincial transportation authorities that are not addressed directly in the standard or in this guide. However, both the standard and this guide indicate where the requirements of federal and provincial road transportation authorities might be applicable. The carrier organization shou

33、ld be aware of relevant legislation and fulfill regulatory requirements, using documented procedures where applicable, and these should become part of the carriers safety management system. This guide also references complementary initiatives that have been implemented in the road transportation ind

34、ustry, such as the National Safety Code (in Canada) and the Commercial Vehicle Safety Alliance (CVSA) “out of service criteria” (used throughout North America). transportation services. It is designed to assist organizations that are considering the implementation of a carrier safety management syst

35、em. It can also apply to businesses in which the movement of goods by road from one location to another is a component of the diversified business enterprise. The CSMS recognizes the importance of best management practices and principles in the The guide has been written for both small and large car

36、rier organizations that provide road luly 200 1 1 , PLUS 1 161 O Canadian Standards Association This guide is organized into three main parts: an overview of the standard in Section 2; the rationale for implementing a CSMS in Section 3; and a detailed guide to the implementation of the individual cl

37、auses of the standard in Sections 4 to 7. For convenience, the numbering of the clauses in Sections 4 to 7 is identical to the clause numbering in the standard. This guide addresses each element of 661 9, and provides explanations, commentaries, and helpful tips for implementation. For convenience,

38、the clauses excerpted from the standard are presented in boldface type, double indented, and are followed by explanations and comments. Helpful tips are provided in text boxes following the applicable clauses. 2 July 200 1 Carrier Safety Management System Essentials - Guidelines to Assist in the Imp

39、lementation of a Carrier Safety Management System and in Understanding CSA Standard 86 1 9-00 O Canadian Standards Association 2. Overview of CSA Standard B619 2.1 General The objective of 861 9 is to provide a management system that will enable carriers to demonstrate their commitment to safety, se

40、rvice, and productivity to employees, customers, transportation stakeholders, and the public. Adoption of the standard will also establish a baseline for continuously improving safety performance. Carriers realize that the successful implementation of a CSMS relies upon the commitment and leadership

41、 of management in the process. In return, the principles of process management will provide an infrastructure with well-defined operational procedures that support safety and continuous system improve men t. This guide for a CSMS has been designed to enable users to achieve improved consistency, pre

42、cision, and understanding when fulfilling the requirements contained in the standard. The guidance provided is generic and is equally applicable to small and large organizations seeking to implement a carrier safety management system. industry is a high number of small organizations, many of which a

43、re single-vehicle companies. Consequently, references to management should be interpreted appropriately for each organization. In a single truck owner/operator business, the person who drives and maintains the truck will typically perform the management tasks. This guide follows the structure of 861

44、 9 and is organized into four elements as illustrated below: This guide also takes into account that a distinguishing characteristic of the road transportation ELEMENT CLAUSE NUMBER AND TITLE Element One: Management Commitment I to Safetv Element Two: Implementation of Safety Management Element Thre

45、e: Safety Management System Support Element Four: Continuous Improvement 4.1 Management Responsibility 4.2 Carrier Safety System 4.3 Training 5.1 Contract Review 5.2 Transportation Service Design 5.3 Purchasing 5.4 Control of Owned, Leased, Rented, and Customer-Supplied Equipment 5.5 Vehicle Inspect

46、ion, Maintenance, and Repair 5.6 Safety Processes 5.7 Inspection and Performance Monitoring 5.8 Handling, Storage, Load Securement, Distribution, Preservation, and Delivery 6.1 Document and Data Control 6.2 Control of Nonconforming Product and Services 6.3 Control of Transportation Safety Records 6.

47、4 Statistical Techniques 7.1 Transportation Safety Audits 7.2 Corrective and Preventive Action 7.3 Management Review July 200 1 3 PLUS 7 161 O Canadian Standards Association The implementation of a CSMS typically involves the following phases: management decision and commitment project planning and

48、assignment of responsibilities training of key personnel an initial assessment of existing business safety processes development of documentation implementation of procedures internal auditing or pre-assessment independent assessment implementation, application of the CSMS at regular intervals may r

49、equire adjustments to be made in the procedures and products associated with the various phases in order to ensure the achievement of continuous improvement. Each one of these phases will be described briefly in the Sections 2.2 to 2.9. After the initial 2.2 Management Decision and Commitment The carriers senior management team must be involved and provide leadership in the strategic planning, project planning, and implementation phases. A business plan should be developed at the beginning of the process that meets the corporate strategy for the program. The head of the company should f