A systematic, independent, and documented process for obtaining evidence and objectively evaluating it to determine the extent to which the requirements are complied with.

Note: audits may include inspections.

In the context of management system performance monitoring, continuous improvement, and oversight, it refers to a planned and documented activity that is performed by competent personnel to evaluate and analyse the achieved level of performance and maturity in relation to the organisation’s policy and objectives.

Note: an assessment focuses on desirable outcomes and the overall performance, looking at the organisation as a whole. The main objective of the assessment is to identify the strengths and weaknesses to drive continual improvement.

Remark: for ‘risk assessment’, please refer to the definition below.

Any certificate, approval, licence, authorisation, attestation or other document that is issued as the outcome of the certification process, which attests compliance with the applicable requirements.

A combination of individual skills, practical and theoretical knowledge, attitude, training, and experience.

The elimination of a detected non-compliance.

The action to eliminate or mitigate the root cause(s) to prevent the recurrence of existing detected non-compliance, or of any other undesirable condition or situation. Proper determination of the root cause(s) is crucial for defining effective corrective action to prevent reoccurrence.

A person’s action or inaction that may lead to deviations from the accepted procedures or regulations.

Note: errors are often associated with occasions when a planned sequence of mental or physical activities either fails to achieve its intended outcome, or is not appropriate with regard to the intended outcome, and when results cannot be attributed purely to chance.

A physiological state of reduced mental or physical performance capability, resulting from sleep loss or extended wakefulness, circadian phase, or workload (mental and/or physical activity), which can impair a person’s alertness and ability to safely perform their tasks.

Anything that affects human performance, which means principles that apply to aeronautical activities, and which seek safe interface between the human and other system components by proper consideration of human performance (ref. ICAO Doc 10151 — Human Performance (HP) Manual for Regulators).

Human capabilities and limitations that have an impact on the safety and efficiency of aeronautical activities (ref. ICAO Doc 10151 — Human Performance (HP) Manual for Regulators).

In the context of compliance monitoring and oversight, it refers to an independent and documented conformity evaluation by observation and judgement, which is accompanied, as appropriate, by measurements, testing or gauging, in order to verify compliance with the applicable requirements.

Note: inspection may be part of an audit (e.g. product audit), but may also be conducted outside the normal audit plan; for example, to verify the closure of a particular finding.

In the context of an approved production organisation, this may refer to an activity necessary to confirm the conformance of a part, product, or appliance manufactured to design data and condition for safe operation. Depending on criticality, an inspection may be required to be carried out independently (such as confirmation of correct connections to control surfaces in the case of installation/disturbance) or within the production process (operator inspections).

A culture in which front-line operators or other persons are not punished for actions, omissions or decisions taken by them that are commensurate with their experience and training, but in which gross negligence, wilful violations and destructive acts are not tolerated (Ref. Article 2 of UK Regulation (EU) No 376/2014).

An event in which an occurrence to be mandatorily reported according to UK Regulation (EU) No 376/2014 was narrowly averted or avoided. Example: a staff member, on rechecking their work at the end of a task, realises that one work card step was not properly carried out.

A condition that affects the effectiveness of safety risk controls, and is related to the culture, policies, processes, resources, and the workplace of an organisation.

The time frame within which the areas of the approval and the processes that are identified through a risk assessment should be reviewed by the CAA by means of audits and inspections.

The detailed oversight schedule that defines the number of audits and other activities, including the scope and duration of each activity, as well as the details of product audits and locations, as appropriate, to be performed by the CAA, and to the time frame for performing each activity.

The action to eliminate the cause of potential non-compliance, or any other undesirable potential situation.

A person should be interpreted in accordance with the Interpretation Act 1978 and includes a natural or legal person(s), an organisation(s), a single person or a group of persons. The AMC and GM provides further guidance where the intended meaning of a person should be understood in its plural form, i.e. a group of persons.

An evaluation that is based on engineering and operational judgement and/or analysis methods in order to establish whether the achieved or perceived risk is acceptable or tolerable.

An enduring set of values, norms, attitudes, and practices within an organisation, which is concerned with minimising the exposure of the workforce and the general public to dangerous or hazardous conditions. In a positive safety culture, a shared concern for, commitment to, and accountability for, safety is promoted.

The predicted probability and severity of the consequences or outcomes of a hazard

(ICAO Document 9859 Safety Management Manual).

Dedicated training to support safety management policies and processes, including HF training.

Note 1: the main objective of the safety training programme is to ensure that personnel at all levels of the organisation maintain their competency to fulfil their roles safely. Safety training should, in particular, consider the safety knowledge that is derived from hazard identification and risk management processes, and foster a positive safety culture.

Note 2: safety management training refers to specific training for the staff that are involved in safety management functions in accordance with points 21.A.139(c) and 21.A.239(c) of Part 21.

The CAA activities through which the CAA proactively verifies through inspections and audits that aviation, licence, certificate, authorisation or approval holders continue to meet the established requirements and function at the level of competency and safety required by the CAA.