As well as the CAA's oversight of civil aviation in the UK it is vital that the aviation industry itself constantly consider safety risks and takes proactive action to make aviation as safe as possible. Airlines and others are adopting Safety Management Systems (SMS) which make safety checks and decisions part of the everyday operation, rather than waiting for a regulator to raise an issue on an audit or visit.

To assist organisations in their preparation for SMS the following information and links are provided:

CAA Safety Management Systems Guidance Material

Provides information, based on ICAO Document 9859 Safety Management Manual, about the components and elements of an SMS. It is intended to propose this as an alternative means of compliance against the EASA Management Systems (SMS) requirements once the rules are published.

SMS Guidance for Small Non-Complex Organisations

This document was written to assist non-complex organisations to develop and implement an effective and acceptable SMS and includes example forms and documents. This may also be useful guidance for smaller complex organisations to refer to.

Complex or non-complex?

Organisations need to determine whether they are complex or non complex. This document is the current draft EASA requirements. Further updates will be provided.

Phase 1 SMS Evaluation Framework/GAP Analysis for Complex Organisations

The Phase 1 Evaluation Framework should be used for organisations implementing SMS and should be completed first to determine compliance with the SMS framework. It should be completed by organisations to demonstrate how they have implemented and established a working SMS and be provided to the CAA who will arrange a visit to assess you SMS.

For organisations that determine they are non-complex a simplified evaluation framework should be completed by the organisation and provided to the CAA.

Phase 2 SMS Evaluation Tool for Complex and Non Complex Organisations

The Phase 2 SMS evaluation tool will be used to assess the effectiveness of an organisation's SMS. Organisations should use the tool to assess themselves and provide a copy to the CAA who will use this as the basis for the SMS assessment. For Non-complex organisations only the shaded indicators need to be assessed at this time.

For organisations that determine they are non-complex a simplified evaluation framework should be completed by the organisation and provided to the CAA the Phase 2 SMS evaluation tool will be used to assess the effectiveness of an organisation's SMS. Organisations should use the tool to assess themselves and provide a copy to the CAA who will use this as the basis for the SMS assessment. For Non-complex organisations only the shaded indicators need to be assessed at this time.

ICAO Document 9859 Safety Management Manual

Provides basic SMS theory and guidance material.

When does my organisation need to comply?

The attached table defines dates when SMS legislation is expected to become effective for all regulated organisations including ICAO, EU and National requirements. This will be updated as and when further clarification is announced.

The UK CAA strongly encourages all organisations to implement their SMS early as this will enable organisations to develop systems that will provide safety and business benefits once the SMS matures and becomes effective.

SMS Guidance Pamphlet

The Safety Management International Collaboration Group (ICG) is working towards harmonising SMS understanding and processes both for the regulator and its regulated industry. This pamphlet is available as additional guidance and future products will be published here. The CAA is an active member of the SMS ICG.

This is a document written by the SM ICG for senior management that emphasises the importance of your involvement with your organisation's SMS.