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CASR Part 142 SMS

142.265  Part 142 operators—safety management system requirements

             (1)  The safety management system must be a systemic approach to managing safety that:

                     (a)  includes the matters mentioned in subregulation (2); and

                     (b)  ensures that the operator’s authorised Part 142 activities are conducted in a planned and systematic manner and identifies and addresses deficiencies in training outcomes; and

                     (c)  if the operator conducts the training in flight simulation training devices:

                              (i)  ensures the correct operation and maintenance of the devices; and

                             (ii)  without limiting subparagraph (i), includes the matters mentioned in subregulation 142.275(2); and

                     (d)  integrates human factors principles.

             (2)  For paragraph (1)(a), the matters are the following:

                     (a)  organisational structures, accountabilities, policies and procedures necessary to manage safety in a systemic way;

                     (b)  a statement of the operator’s safety policy, objectives and planning, including details of the following:

                              (i)  the management commitment to, and responsibility for, safety;

                             (ii)  the safety accountabilities of managers (including key personnel);

                            (iii)  the appointment of safety management personnel;

                            (iv)  how human factors principles are integrated into the safety management system;

                             (v)  a safety management system implementation plan;

                            (vi)  relevant third party relationships and interactions;

                           (vii)  coordination of an emergency response plan;

                          (viii)  safety management system documentation;

                     (c)  a safety risk management system, including:

                              (i)  hazard identification processes; and

                             (ii)  risk assessment and mitigation processes;

                     (d)  a safety assurance system, including:

                              (i)  details of processes for:

                                        (A)  safety performance monitoring and measurement; and

                                        (B)  internal safety investigation; and

                                        (C)  management of change; and

                                        (D)  continuous improvement of the safety management system; and

                             (ii)  if the operator operates an aircraft mentioned in subregulation (3) for the activities—a flight data analysis program that meets the requirements mentioned in subregulation (4);

                     (e)  a safety training and promotion system, including details of the following:

                              (i)  safety management system training and education;

                             (ii)  safety management system safety communication.

             (3)  For subparagraph (2)(d)(ii), the aircraft are the following:

                     (a)  an aeroplane with a maximum certificated take‑off weight of more than 27 000 kg;

                     (b)  a rotorcraft with a maximum certificated take‑off weight of more than 7 000 kg.

             (4)  For subparagraph (2)(d)(ii), the requirements are that the flight data analysis program must:

                     (a)  regularly record and analyse the operational flight data of individual and aggregated operations for the purpose of improving the safety of flight operations; and

                     (b)  be provided by:

                              (i)  the operator; or

                             (ii)  another appropriate person; and

                     (c)  ensure that, except as mentioned in subregulations (6) and (7):

                              (i)  the identity of a person who is the source of data is protected from disclosure to anyone other than the following:

                                        (A)  a person whose duties require the person to analyse operational flight data;

                                        (B)  a person who has access to the person’s identity solely for the purpose of analysing operational flight data;

                                        (C)  a pilot appointed by the operator to liaise with flight crew in relation to matters arising from the flight data analysis program; and

                             (ii)  no punitive action in relation to the data may be taken by the operator against the person.

             (5)  For subparagraph (4)(b)(ii), the provision of the flight data analysis program by an appropriate person does not in any way compromise the operator’s responsibility to provide, and ensure the effectiveness of, the program.

             (6)  For paragraph (4)(c), the identity of a person who is the source of data may be disclosed:

                     (a)  with the written consent of the person; or

                     (b)  under a court order.

             (7)  For paragraph (4)(c), the identity of a person who is the source of data may be disclosed, and the operator may take punitive action against the person, if the operator has evidence that the person:

                     (a)  deliberately contravened a provision of civil aviation legislation or the operator’s exposition; or

                     (b)  persistently engaged in unsafe actions without appropriate safety reasons.

             (8)  Without limiting paragraph (1)(b), the system must include the following:

                     (a)  a process for auditing the activities;

                     (b)  a process for promoting the continual improvement of the activities;

                     (c)  a process for evaluating the training outcomes from pre‑flight test assessments and post‑flight test feedback from examiners;

                     (d)  a process for regularly assessing the suitability of the operator’s facilities and resources used for conducting the activities;

                     (e)  a process for recommending changes to the following:

                              (i)  the safety management system;

                             (ii)  the training management system;

                            (iii)  the internal training and checking system.