Create and submit your SMS implementation plan

Implementing a Safety Management System (SMS) isn’t as challenging, complex, or costly to achieve as you may think. In fact, many organisations have some SMS components already in place.

Some operators who held an AOC before 2 December 2021 and transitioned to the new flight operations rules can defer implementing an SMS.

We require these operators to submit an SMS implementation plan to us as an interim step before submitting their full SMS documentation.

If you were conducting RPT operations before 2 December 2021 you must already have in place an SMS that encompasses all your air transport operations.

For other operators who held an AOC before 2 December 2021, you need an SMS implementation plan if you are a:

  • Part 121, 133 or 135 operator conducting air transport operations.
  • Part 138 operator conducting aerial work operations under CASR 138.140.

Steps to create and submit your SMS implementation plan

You can also skip straight to our step-by-step submission process

You must download, complete and sign the:

To make it easier for you, we have also developed an SMS implementation plan template (Word Doc):

Using this template can assist you plan the implementation of your SMS for compliance with the rules.

Refer to Annex B in AC 119-01 Safety management systems for air transport operations.

Attaching these to your submission will:

  • make the approval process easier
  • help you confirm that you have addressed all regulatory requirements.

Start the submission by reading our step-by-step process.

You must:

  • Submit your SMS implementation plan by 3 April 2023
  • Provide us with your SMS exposition content by 3 June 2024.
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How to submit your documents

  1. Submit form with supporting documents

    Return the signed form with your required documents using the email address provided in the form.

    In the email subject line, include:

    • your unique CASA case number
    • operator name and ARN
    • the text *URGENT* SMS IP submission.

    The complete format is: “Case number – Operator name – ARN XXXXX: *Urgent* SMS IP submission”

    For example: “2022-12345- Sample Aviation Pty Ltd – ARN12345: *Urgent* SMS IP submission”.

  2. Review of documents

    We will send you an email confirming receipt of your submission.

    We will review your SMS implementation plan to ensure all SMS regulatory requirements are considered.

    If we find any areas not addressed appropriately, we will contact you with further instructions.

  3. Submission acknowledgement

    Once we have reviewed your SMS implementation plan you will receive an email informing you the review is complete.

    Technical difficulties

    If you experience technical issues submitting your documents, you can request a secure ShareFile link. We will consider these requests on a case-by-case basis. To request a link please contact us using the online form.

Last updated:
4 Apr 2023
Online version available at:
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