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AAP element 12

Inspection and audit

Compliance confirms to the regulator that the SMS meets the regulatory requirements. Compliance for Present and Suitable may not meet the standard required for Operational and Effective.  Compliance standards will evolve as the SMS matures.

Viewing SMS as a compliance issue, does not recognise the financial, safety and efficiency benefits that having an effective SMS offers.

The following CASA discussion paper expands on this idea.

The Safety Management International Collaboration Group (SMICG) is comprised of regulatory groups that have produced compliance checklists for service providers

A number of these checklists are available for download at the end of this page.

Compliance Diagram

Performance Based Oversight

The modern Outcomes based regulations have replaced Prescriptive (Yes/No) based regulations.

Is the SMS really working?

What should an inspector be thinking before evaluating an SMS?

General compliance

General compliance

CASA SMS Evaluation tool

CAA UK Phase 1 SMS evaluation tool – complex operations

CAA UK Phase 1 SMS evaluation tool – non-complex operations

CAA UK Phase 2 SMS evaluation tool – complex operations

CAA UK Phase 2 SMS evaluation tool – non-complex operations

CAA NZ SMS evaluation tool – all operations

ADF SMS Evaluation Tool