For new aviation safety managers, preparing for a Safety Management System (SMS) audit is a daunting task. One of the most challenging aspects is coaching accountable executives—senior leaders like CEOs, directors, or operations managers—to play their part in demonstrating SMS compliance.
These executives often lack the time or technical expertise to fully grasp SMS concepts, yet regulators from the FAA, EASA, or ICAO expect them to articulate their role in overseeing safety.
This evergreen guide offers practical steps to coach accountable executives for SMS audit preparation. By simplifying complex concepts, aligning training with their strategic priorities, and fostering accountability, safety managers can ensure executives are audit-ready and committed to a culture of safety.
In aviation SMS, the accountable executive is the individual with ultimate responsibility for the organization’s safety performance. They are tasked with ensuring the SMS is implemented, resourced, and effective. During an audit, regulators will scrutinize the executive’s:
Understanding: Do they grasp SMS principles and their role?
Leadership: Can they demonstrate how they prioritize safety?
Decision-Making: Do they use SMS data, like risk assessments, to guide strategic decisions?
For new safety managers, coaching executives is challenging because:
Time Constraints: Executives juggle multiple priorities and may resist lengthy training.
Technical Gaps: Many lack hands-on experience with SMS tools like the risk matrix.
Cultural Barriers: Some may view SMS as a compliance burden rather than a safety asset.
Effective coaching bridges these gaps, empowering executives to confidently lead during audits and reinforce a safety-first mindset across the organization.
Before coaching, clarify the accountable executive’s responsibilities under SMS frameworks like ICAO Annex 19 or FAA AC 120-92B. These typically include:
Establishing Safety Policy: Setting a clear commitment to safety that aligns with regulatory standards.
Allocating Resources: Ensuring budget, personnel, and tools support SMS implementation.
Overseeing SMS Performance: Reviewing safety data (e.g., hazard reports, risk assessments) to drive decisions.
Promoting Safety Culture: Leading by example to encourage staff engagement in safety practices.
Create a one-page summary of the executive’s SMS responsibilities. Use plain language and tie each duty to a business benefit, like reduced incidents or improved regulatory standing.
Executives are not safety specialists, so avoid overwhelming them with technical details. Instead, tailor your coaching to their strategic mindset and time constraints.
Break down SMS into three core ideas:
Identify Risks: SMS helps spot hazards (e.g., runway incursions, maintenance errors) before they cause harm.
Manage Risks: Tools like the risk matrix prioritize actions to reduce risk.
Monitor and Improve: Audits and safety data ensure continuous improvement.
Frame SMS as a strategic asset. For example:
Cost Savings: Proactive risk management reduces incident-related expenses.
Reputation: A strong SMS enhances trust with regulators and customers.
Compliance: Audit readiness avoids penalties and operational disruptions.
Schedule a 30-minute briefing to introduce SMS. Use a real-world example (e.g., a recent incident at your airport) to show how SMS prevents recurrence and supports business objectives.
The risk matrix is a key SMS tool that executives must understand, as auditors often ask how it informs decision-making. Simplify the concept and highlight its strategic value.
A risk matrix is a grid that assesses risks by combining their likelihood (e.g., Rare to Almost Certain) and severity (e.g., Negligible to Catastrophic). It categorizes risks as Low, Medium, or High, guiding resource allocation.
Explain that the risk matrix helps executives:
Prioritize Investments: High-risk issues (e.g., aging equipment) justify budget allocation.
Demonstrate Oversight: Auditors expect executives to know how risk assessments shape safety policies.
Drive Accountability: The matrix ensures risks are systematically addressed.
Use a visual aid, like a color-coded 5x5 matrix, to show how risks are plotted. Provide a case study (e.g., a bird strike risk) and walk the executive through the assessment process, emphasizing their role in approving mitigation plans.
Related Articles on Aviation SMS Risk Matrix
Auditors will directly engage accountable executives, asking questions to verify SMS leadership. Coach executives to confidently address common queries, such as:
“How do you ensure SMS is adequately resourced?”
“Can you describe a recent safety decision based on a risk assessment?”
“How do you promote a safety culture in your organization?”
Script Responses: Provide concise, audit-ready answers. For example:
Question: “How do you ensure SMS is resourced?”
Answer: “I review safety budgets annually, approve resources for training and equipment, and ensure our SMS aligns with ICAO standards.”
Practice Scenarios: Conduct a mock audit where you role-play the auditor. Offer feedback on clarity and confidence.
Highlight Documentation: Show executives where to find key SMS records (e.g., safety policy, risk assessment logs) to reference during audits.
Create a “cheat sheet” with 5-10 common audit questions and sample responses. Review it with the executive in a one-on-one session.
Executives learn best through concise, relevant, and interactive methods. Avoid lengthy presentations and focus on formats that respect their time.
Case Studies: Present a past safety issue (e.g., a ground handling error) and show how SMS resolved it. Ask the executive to suggest resource allocation based on the risk matrix.
Short Workshops: Host a 60-minute session with other senior leaders to discuss SMS’s strategic role.
Visual Dashboards: Use SMS software to display safety metrics (e.g., hazard reports, mitigation status) that executives can quickly interpret.
Schedule coaching during existing leadership meetings to minimize disruption. For example, dedicate 15 minutes of a monthly board meeting to SMS updates.
For SMS to succeed, executives must champion a safety culture. Coach them to lead by example and inspire staff engagement.
Communicate Vision: Encourage executives to share the safety policy in staff briefings or company newsletters.
Recognize Contributions: Highlight employees who report hazards or propose safety improvements.
Lead Audits: Invite executives to open audit sessions, signaling their commitment to regulators.
Work with the executive to draft a short “Safety Message” for staff, emphasizing SMS’s role in protecting lives and operations. Share it via email or during a safety meeting.
New safety managers often face obstacles when coaching executives. Here’s how to overcome them:
Solution: Offer flexible coaching formats, like 15-minute briefings or asynchronous e-learning modules.
Example: Use a platform like LinkedIn Learning for SMS overview videos that executives can watch on-demand.
Solution: Emphasize SMS’s business benefits (e.g., cost savings, reputation) and share success stories from peer organizations.
Example: Reference a case where SMS reduced incidents at a similar-sized airport.
Solution: Focus on high-level concepts and delegate technical details to safety teams.
Example: Instead of explaining risk matrix calculations, show how its outputs guide budget decisions.
Streamline coaching with these tools and resources:
SMS Software: Platforms like SMS Pro's Aviation Safety Management Software or ABC provide dashboards that executives can use to monitor SMS performance.
Regulatory Guides: Reference FAA AC 120-92B, EASA SMS guidelines, or ICAO Doc 9859 to align coaching with standards.
Training Platforms: Use e-learning tools like Coursera for executive-friendly SMS courses. SMS Pro includes a robust learning management system (LMS) embedded in the Training and Qualifications module.
Create a shared digital folder with key SMS documents (e.g., safety policy, risk matrix templates) that executives can access during audits.
SMS is not a one-time effort. Regular coaching ensures executives stay informed and audit-ready.
Monthly Updates: Share brief SMS reports (e.g., top risks, mitigation progress) during leadership meetings.
Refresher Sessions: Host annual workshops to review SMS changes or new regulatory requirements.
Feedback Loops: Ask executives for input on coaching effectiveness and adjust your approach.
Coaching accountable executives for SMS audit preparation is a critical task for new aviation safety managers. By
Interactive methods, ongoing engagement, and a focus on safety culture ensure long-term success.
Start with concise briefings, build buy-in through practical examples, and maintain momentum with regular updates. With these strategies, your executives will not only ace SMS audits but also champion a safety-first culture that benefits your entire organization.
Ready to coach your executives? Share this guide with your leadership team and explore SMS tools to streamline audit preparation.