Safety Management Plan

SAFTEY MANAGEMENT PLAN
CALIFORNIA EXPEDITIONS
VERSION 1
JULY 1, 2016

Introduction and Purpose
This Safety Management Plan (SMP) has been produced in consultation with operating and
management procedures of California Expeditions. Its purpose is to create a standard, give
employees a point of reference and accountability and create a plan to comply with
insurance. It will also create company culture and regulations.
It is a web-based and print document that will be reviewed and updated September of
every year as well as when seen fit. The current version is available on Google Docs as
well as pasted versions.
Using the SMP
The ultimate purpose of the safety management plan is to help avoid loss, injury or death.
The plan is designed to effectively involve the CE team and will affect how operate.
This SMP details the ways of carrying out certain actions, and allows for a standard. The
main thing this satisfies is how the SMP reflects how CE operates, works as a team, and
meets the requirements of the Safety Audit Standard for Adventure Activities.
Published: Version 1 – July 2016
Adventure Activities SMP – July 2016 Version 1

Table of Contents
Introduction and Purpose 2........................................................................................
Using the SMP 2
Table of Contents 3..................................................................................................
2. Safety Management System Documents 1..................................................................
2.1. Version table 1..............................................................................................
2.2. Safety management system document control 1......................................................
3. Information on the Business 2.................................................................................
3.1. Introduction 2
3.2. Description of business 2.................................................................................
4. Safety Management System 4..................................................................................
4.1. Purpose 4
4.2. Content 4
4.3. Policies 5
4.4. Health and safety goal 5...................................................................................
4.5. Safety objectives 5.........................................................................................
4.6. Responsibilities 6...........................................................................................
5. Planning for Safety 7.............................................................................................
5.1. Annual Safety Calendar 7.................................................................................
5.2. Maintenance and review of SMS 7.......................................................................
6. Hazard Management 9...........................................................................................
6.1. Introduction 9
6.2. Policies 9
6.3. Hazard Management Process Flowchart 9...............................................................
6.4. Assets, facilities, clothing & equipment 10.............................................................
6.5. Monitoring and review of hazard management 11.....................................................
7. Staff 12
7.1. Introduction 12
7.2. Staff policies 12.............................................................................................
7.3. Roles and recruitment 12..................................................................................
7.4. Induction 13
7.5. Staff training and supervision 13.........................................................................
7.6. Staff records 13.............................................................................................
7.7. Fit for work 14
8. Drugs and Alcohol 15............................................................................................
8.2. Policy 15
8.3. Assessment 15
8.4. Conclusion 15
8.5. Procedures 15
9. Safety First 16
10.Incidents 17
10.2. Incident policies 17.........................................................................................
11.Emergencies 18...................................................................................................
11.2. Emergency policies 18....................................................................................
11.3. Responding to emergencies 18...........................................................................
11.4. Emergency preparedness 18..............................................................................
11.5. Emergency training 18.....................................................................................
11.6. Crisis recovery 19...........................................................................................
11.7. Media response 19..........................................................................................
Appendix 1 Terms and Definitions 20.........................................................................

2.  
Safety Management System
Documents
• Safety and Role Responsibilities
• Incident Report
• Hazard Register
• Trip Report
2.1. Version table
2.2. Safety management system document control
We will ensure our safety management system (SMS) documents are readable, identifiable
and traceable to our activities.
In order to achieve this our SMS documents will be:
• identified by a footer that states the name of the organization, version number, the
page number and the number of pages
• periodically reviewed by Owner, Thomas McGrady annually in September and revised
where necessary.
• signed off as adequate by all Employees
• current and available at 6300 Hwy 193 Georgetown, CA 95634
• protected from unauthorized changes, deletion and publication and backed up
annually and saved in google docs for email: tmcgrady@california-expeditions.com
controlled by Thomas McGrady as to how and where.
• removed from circulation if obsolete or marked clearly that they are not to be used.
Archived copies and other safety-related records will be kept for seven years as a hard
copy at California Expeditions Head Quarters and online on Google docs.
NOTE: Once printed, documents are uncontrolled. 
# Amendments made Approved by Date
1.
California Expeditions Safety Management Plan – version 1
Page /1 22

3. Information on the Business
California Expeditions offers guided Canyon Tours as well as Mountain biking trips and
Shuttles to get guest to and from the trail. CE suits riders that are looking to go hard all
the way to young riders, looking to go for a pedal with the parents. California Expeditions
aims to give guest the best and most amazing time possible in beautiful Northern
California. This is an experience like no other in a sport that combines many physical
abilities.
3.1. Introduction
This section provides information about our business and provides context to our SMS.
3.2. Description of business
Legal name: California Expeditions
Main operating base: 6300 HWY 193 Georgetown, CA 95634
Activities:
• Mountain Biking
• Mountain Bike Shuttles
• Mountain Bike Rentals
• Mountain Bike Sales
• Mountain Bike Accessories
• Canyon Tours
Refer to [california-expeditions.com] for further information.
Business aims
California Expeditions aims to give guest the best and most amazing time possible in
beautiful Northern California with an emphasis on safety and efficiency.
Staff
We employ guides from around the world. These individuals have been hand picked for
their knowledge on safety, skills in the outdoors and client relations. Combined, staff
members have commercial experience in canyoning, whitewater rafting, whitewater kayak
instruction, multi-day backpacking, day trek guiding, sea kayaking, mountain
biking, photography, cooking, and driving.
• One Driver Full Time/ One Contract Driver
• Two Contract Mountain Bike Guides
• One Canyon Guide Full Time/ One Contract Canyon Guide
Page /2 22

Parameters of responsibility:
We will take all practicable steps to ensure the health and safety of our staff, participants
and visitors to the workplace.
We will ensure that everyone complies with the requirements of our SMS
Page /3 22

4. Safety Management System
4.1. Purpose
Our SMS helps us achieve our business aims and comply with the Health and Safety in
Employment Regulation and any other relevant legislation (refer Appendix 2).
This section outlines the high-level policies and procedures that help us to run a safe
business.
4.2. Content
Our SMS is made up of a safety management plan, safe operating procedures, safety tools
and forms and, most importantly, a strong safety culture.
Page /4 22
SAFETY MANAGEMENT PLAN
Health and Safety Policy (including goals and responsibilities) and the
following Safety Processes:
• Hazard Management
• Staff Competency, Training and Induction
• Incident Reporting and Investigation
• Emergency Response
STANDARD OPERATING PROCEDURES
SAFETY TOOLS AND FORMS
A STRONG SAFETY CULTURE
Requires:
• Leadership
• Safe behavior
• Everyone taking personal responsibility for safety

4.3. Policies
• Prevent serious harm to staff, customers and visitors
• Provide a healthy and safe workplace, safe equipment and proper materials
• Comply with health and safety legislation
• Continually improve health and safety management
• Establish and insist upon safe practices at all times
• Staff have the authority to halt an activity on safety grounds
• Take all practicable steps to ensure the health and safety of staff, participants and
visitors
• Owner at California Expeditions is responsible for managing/maintaining SMS
4.4. Health and safety goal
Our goal is to avoid incidents greater than grade 5 (as outlined in incident report) and if a
situation arises that is greater than grade 5 it is handled properly.
In meeting these commitments the management of California Expeditions will continue a
culture of safety by:
• Leadership
• Safe Behavior
• Making it a standard to take personal responsibility for safety
4.5. Safety objectives
The following safety objectives have been identified as part of our Annual Safety
Improvement Plan: [refer to page 12 of the SMP Template Guide]
Approved by: Thomas A. McGrady
Signature:________________________________
Date:________________
Objective We will show we have met this
objective by:
Preseason annual staff training To be completed once that last
full-time staff member starts
employment contract.
Page /5 22

4.6. Responsibilities
We recognize the importance of clear responsibilities and accountability for maintaining a
safe workplace. Employers, employees and contractors all have obligations under
legislation, including general health and safety responsibilities. More detail is provided in
specific job descriptions.
Management responsibilities
Safety objectives will be structured using the SMART (Specific, Measurable, Achievable,
Realistic, Time-bound) method, and include:
• Reduction of incidents
• Training goals
• Improvement of equipment
Staff responsibilities
Be familiar with SMP and SOP along with all amendments. Stay current on First Aid and
CPR certifications.
Page /6 22

5. Planning for Safety
5.1. Annual Safety Calendar
Management planning will include:
• Staff induction – new staff
• Staff training – new and returning staff
• Regular safety communication (safety updates, safety meetings etc)
5.2. Maintenance and review of SMS
We recognize the need to continually improve health and safety systems and performance.
We use the processes in this section to support our focus on continual improvement and to
ensure compliance to, and/or identify opportunities to improve, the safety management
system.
When we conduct SMS reviews and maintenance we will ensure that:
• reviews are conducted by people with current competence in the activity
• opportunities for improvement are identified
• outcomes are communicated to staff and other relevant parties
• actions arising from reviews are implemented.
Regular SMS maintenance and review processes
Regular assessment of work processes, equipment and environments to identify hazards
and develop appropriate control measures.
Review of safety management processes following any critical event and/or significant
change in work practice
Internal reviews of activities are also conducted when:
• when prompted by audit findings, changes to the activity, sites, hazards, environment,
key staff, incidents and emergencies
• complaints of a safety nature are received from particiants or others (ensure you have
a process to receive feedback on safety from clients and participants)
• there are changes in legislation, standards, activity safety guidelines, codes of
practices, sector developments or similar information
Engaging appropriate technical experts (including within the processes described above) to
inform the development of the SMS
Ongoing monitoring to ensure that the SMS remains up to date, and our operations
continue to comply
The regular involvement of staff (including senior management) in reviewing and
developing the SMS
Page /7 22

Annual SMS review
We will conduct an annual review of the SMS, including:
• reviewing policies and procedures in line with any organizational changes
• checking for ongoing compliance to new and changing legislation, standards, codes of
practice, good practice guidelines and similar
• checking for changes in current good practice
• reviewing the effectiveness of hazard management processes
• analyzing incidents and any incident trends
• reviewing emergency procedures
• reviewing health and safety goals and targets, and developing action plans to support
improved safety performance.
Page /8 22

6. Hazard Management
6.1. Introduction
This section identifies the policies and procedures that we have put in place to manage
hazards.
6.2. Policies
• Hazards are identified, assessed and controlled.
• Staff are involved in the hazard management process.
• A technical expert, internal or external, is involved in the process of identification and
assessment
• Hazards and control measures are constantly monitored, and regularly reviewed.
• All employees, participants and visitors will have the necessary safety clothing and
equipment.
• All equipment is fit for purpose.
6.3. Hazard Management Process Flowchart
Page /9 22
IDENTIFY HAZARD
ASSESS IF
SIGNIFICANT
ELIMINATE if practicable
ISOLATE if note practicable to
eliminate
• Inform employees
• Monitor to ensure controls are
effective
MINIMISE if hazard can’t be eliminated
• Inform employees of controls
• Provide, make accessible, and
ensure the use of protective
clothing and equipment
• Monitor to ensure controls are
effective
INTRODUCE APPROPRIATE CONTROLS
YES NO

Hazard identification process
• Tree falls
• fires
• heat exhaustion
• dehydration
• damaged equipment
• User error/Personal accident
Hazard assessment process
Hazards are realistic and probably if precautions are not taken. There are varying degrees
of severity dependent on the person and the situation.
Hazard control process
• Tree falls- Not very likely
• fires- Reports will be checked daily
• heat exhaustion- Whenever stops are taken they will be in shaded areas and guests will
not be pushed beyond abilities.
• dehydration- Guide will bring an emergency bottle of water for guests.
• damaged equipment- Inspect all equipment before renting
• User error/Personal accident- Give training and direct guest to the most suitable
activity.
Hazard monitoring process
All new trips, equipment and procedures will be reviewed and hazards will be identified,
assessed and controlled.
6.4. Assets, facilities, clothing & equipment
We make sure assets, facilities, clothing and activity equipment are fit for purpose by:
• choosing fit for purpose equipment
• regular and thorough inspections of all equipment before being used
• having one senior staff person (Trip Leader) in charge of the inspection process
Page /10 22

6.5. Monitoring and review of hazard management
We ensure hazard controls are effective and new hazards are identified by:
• regularly checking activity areas
• regularly inspecting equipment
• seeking information from participants and interested parties
• reviewing incidents
• keeping up to date with good practice
• internal field reviews of activities.
We will meet to discuss and review hazard management and safety issues when ever they
occur, staff meetings and annual training.
Page /11 22

7. Staff
7.1. Introduction
This section identifies the policies and procedures we use in relation to staff recruitment,
competency, induction, training, supervision, monitoring and records.
7.2. Staff policies
• Staff will be competent to do their job or be supervised by a competent person.
• Staff will be inducted before they take responsibilities for others.
• Staff and participants will have ready access to someone with suitable and current first
aid competence.
• Expectations of professional standards and personal presentation will be set by
management and reinforced.
• Staff have the authority to halt an activity if a hazard threatens the safety of any
person associated with the activity.
• Employing contractors- all must have the same qualifications as full-time staff and
need to have read and signed the SOP for the activities they will be leading.
7.3. Roles and recruitment
Job descriptions
A Job Description will be developed for each role and found in the SOP. This describes the
purpose, safety responsibilities, required knowledge, skills, competencies, and
experience required for each.
Safety roles and responsibilities are communicated to ensure clear understanding of who is
responsible at any given time for each aspect of ensuring the safety of every person
associated with the activity. Each role a person takes on must be read and signed for in
the SOP
Recruitment
New staff will be recruited using this process: Staff will apply with a resume and cover
letter. If appropriate experience they will have an interview by Thomas McGrady. Decisions
will be made based on that interaction.
All staff will have a written contract Employment Contract for employees, Contract for
Service for contractors.
Competency
The competencies required for each role are identified before staff are employed.
For activity-based roles, such as Guides:
Page /12 22

• each activity is assessed to determine the required staff competence.
• these competency requirements focus on establishing whether staff have sufficient
competence to independently manage, and instruct/facilitate to the required level, a
group of clients in each activity and environment.
• we have developed in-house competencies.
All staff must be able to show that they have the minimum competency requirements.
Staff competency is established through:
• valid qualifications
• attestation of competency and sufficient experience
• and / or through observation and skills assessment 
All staff are expected to have:
• First aid certificate, CPR Certificate, and appropriate driver license
7.4. Induction
Staff will take part in an induction process, which includes an introduction to:
• Trip Report, Incident report, Hazard Register, Equipment inspection training, Safety
Management System, including the SMP and all Standard Operating Procedures relevant
to their role.
7.5. Staff training and supervision
Regular and pre-season staff training includes practical skill development, and training in
risk management, safety management systems and emergency responses.
Training is reviewed and evaluated for effectiveness.
New or inexperienced staff must operate under the supervision of an experienced staff
person, until they have sufficient experience and have been assessed as independently
competent.
7.6. Staff records
Staff competency is recorded.
Individual staff records will include copies of:
• contract and job description Information regarding staff contacts (including next of
kin) and medical information
• CV and qualifications (including 1st Aid and driver licenses)
• competency information (including attestations and competency checklists) that
clearly indicates which roles they have been assessed as competent to perform
• induction checklist, including Safety Management System sign off
• records of staff training – needs assessment, plan and achievements.
Page /13 22

7.7. Fit for work
Fit for work means that a staff person is physically and mentally able to perform their
tasks competently and in a manner that does not compromise the safety or health of
themselves or others. Fitness for work can be impaired by fatigue, illness, psychological
and emotional issues, and alcohol and drugs.
We will ensure that staff are aware of these hazards, and when issues are developing,
know how to recognize the relevant symptoms in themselves and in others.
We will ensure that staff are aware of the responses expected of them, and understand
that they are expected to intervene if something is compromising any staff member’s
ability to perform their role safely.
Page /14 22

8. Drugs and Alcohol
Employee Policies
8.1. Introduction
This section outlines our management of drug and alcohol-related risks in our adventure
activities.
8.2. Policy
We will operate a workplace free of impairment from drugs and alcohol at all costs.
8.3. Assessment
Assessment of activity risk
All aspects of the work place are sensitive to having an impaired employee
Personnel: All employees.
Drivers and Guides are responsible for peoples safety and not to be impaired.
8.4. Conclusion
Impairment due to drugs and alcohol is a significant hazard to the organization, other
employees, guests and its operations.
8.5. Procedures
Staff Responsibilities
To come to work with a zero percent blood alcohol content.
Drug and Alcohol Testing
Pre-employment testing will be done, random testing can be done and suspicious behavior
can warrant testing.
Page /15 22

9. Safety First
The safety of staff, participants and others is paramount.
Our staff are expected to take any action required to ensure the level of risk is kept at an
appropriate level.
Staff are also expected to take full personal responsibility for safety management. For
example, in a situation where staff opinions differ, it is expected that the safer course of
action will be followed.
Safety is an ongoing process
Activity staff are expected to be well versed in risk assessment and management, and to
be able to identify and assess risks and act accordingly at all times.
Safety concerns
Staff can raise operational safety concerns with management at any time.
Right to refuse work
We recognize an employee’s right to refuse to work if they believe it is likely to cause
them serious harm. The employee must inform management of their reasons for refusal
and shall enter into discussions in an effort to resolve differences in good faith.
Complaints
Complaints about safety will be addressed when ever a complaint about safety is made.
Page /16 22

10.Incidents
Limiting incidents and using the ones that do take place as learning tools to be taken very
seriously.
10.1. Introduction
This section is about reporting, recording and investigating incidents.
The intent of an incident process is to identify improvements that can be made to prevent
a recurrence. There may also be a legislative requirement
10.2. Incident policies
Incidents will be reported and recorded.
Incidents will be investigated and the underlying causes identified.
Incidents resulting in serious harm will be reported to WorkSafe NZ as soon as possible and
within seven days (there’s information at www.business.govt.nz/worksafe/notifications-
forms/accident-serious-harm)
Serious harm incidents will prompt a review of the SMS.
A regular review of all incidents occurs to identify any trends.
Page /17 22
REPORT
All incidents are reported and classified according to potential or
actual severity. The following incidents are documented:
• Actual severity rating 3+
• Potential severity of 6+
• And any others (including safety complaints) as required.
REVIEW
All documented incidents are reviewed by [Name], staff involved in
the incident are included in the review.
ACTION
When the review identifies a hazard that is not adequately controlled,
immediate action must be taken.
The hazard management process is used to identify appropriate
controls.
COMMUNICATE
[Name] will ensure relevant details of each incident are communicated
to other staff as soon as practical.
Any changes to procedures are incorporated into [SMS/SOPs] and
communicated to staff.

11.Emergencies
11.1. Introduction
This section sets out how we prepare for and respond to an emergency.
The purpose of our structured emergency preparedness and response plan is to:
• preserve life and property, and prevent further loss in an emergency situation
• provide guidance, so we know what to do in an emergency situation.
11.2. Emergency policies
• Potential emergency situations will be identified.
• Responsibilities and procedures to be followed in an emergency will be identified.
• Employees are involved in the development of emergency procedures.
• Adequate first aid supplies are available to all employees and customers.
• All staff receive training and information in relevant emergency procedures.
• In the event of an emergency, management is to be informed as soon as practicable.
• Management has sole authority for communication with the media.
11.3. Responding to emergencies
Emergency Response Guides have been developed for the following emergency situations:
Field emergencies
Fire- get to the nearest and quickest end to the trail. Notify the responsible person of fire
and your location. If a vehicle is already there then return to safest spot immediately.
Office / base emergencies
• Fire
• Earthquake
• Vehicle accidents
11.4. Emergency preparedness
Emergency response plans will be known by staff and are made available to participants
and other relevant parties. In Trip Report a responsible person will be designated and on
call to respond to any emergency.
Appropriate equipment, communication devices and information for dealing with potential
emergencies will be identified and carried by or be available to relevant staff.
11.5. Emergency training
All new staff will receive emergency procedures information as part of their induction.
Regular emergency training will take place, and wherever possible involve all staff, and
include practice scenarios. This training is recorded and evaluated.
Page /18 22

Emergency procedures will be reviewed after training, practice and actual emergency
events.
11.6. Crisis recovery
Objective
To look after the wellbeing of, and provide support to, the people involved (participants,
staff and others), to respond professionally and to protect our reputation and brand.
Declaring a crisis
A crisis will be declared by Thomas McGrady, who will initiate the Crisis Recovery Process.
Crisis recovery process
The Crisis Recovery Process describes the steps involved in managing the recovery from a
crisis.
Follow Up
The Thomas McGrady will determine and advise staff when the crisis is over.
A full debrief and review of the crisis response takes place, preferably on site and within
three days of crisis. This debrief is separate from any investigation into the cause of the
crisis.
An external support group provides support and counseling (including critical incident
stress debriefing if required) to staff, participants and families. The Crisis Response Team
will deal with difficult and upsetting situations. They should be provided with / have
access to counseling during and after the incident.
Following the incident, it is important to openly acknowledge the contributions of people
involved, and both management and staff should be supported to develop realistic return
to work strategies.
11.7. Media response
Where any incident occurs, how we deal with the media can have significant repercussions
on subsequent investigations into the cause of the incident, determination of liability etc.
A Media Response Plan will be left to Thomas McGrady unless stated otherwise.
Page /19 22

Appendix 1 Terms and Definitions
Competent person
Person able (through knowledge, training and / or experience) to perform an assigned
task.
Harm and Serious Harm
Harm is illness, injury, or both, and includes physical and mental harm caused by work-
related stress.
Serious harm is death, or harm of a kind defined to be serious for the purposes of the HSE
Act.
Hazard and Significant Hazard
A hazard is anything that does or could cause harm, and includes a situation where a
person’s behaviour may be an actual or potential cause or source of harm to themselves or
to another person (for example, due to the effects of fatigue or drugs and alcohol).
A significant hazard is one that does or could cause serious harm, or harm from prolonged
exposure, or harm that does not usually occur or become apparent until later.
Incident (or accident)
Event that caused or could have caused harm to any person.
Note: An incident that did not cause harm is also called a ‘near hit’, ‘close call’, ‘near-
accident’, or similar. The HSE Act uses the term ‘accident’ to define the duties of
employers, self-employed persons and principals to record and report certain accidents
and incidents.
Injury
Harm or damage to a person.
Must and Should
‘Must’ refers to requirements that are essential for compliance with the SMS.
‘Should’ refers to matters that are recommended.
Policy
Intentions and direction of the operator as formally expressed by the top leadership.
Principal
A person who engages any person (other than as an employee) to do work for gain or
reward.
Procedure
How the organization implements the policy.
Risk Management
A process of identifying and managing risks in order to prevent an accident, incident or
loss.
Safe
(a) In relation to a person, means not exposed to any hazards; and
(b) In every other case, means free from hazards, - and “unsafe” and “safely” have
corresponding meanings.
Page /20 22

Page /21 22

This section provides an overview of relevant health and safety related legislation. It
identifies what legislation is relevant to, and imposes responsibilities on, the Owner,
management, staff and contractors of California Expeditions.
It also identifies some legislation that might be relevant to our business.
No. Document title Reviewer Date reviewed
1
2
3
4
5
Page /22 22

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