Defining roles and responsibilities in an aviation Safety Management System (SMS) manual is critical for ensuring accountability and compliance with International Civil Aviation Organization (ICAO), Federal Aviation Administration (FAA), and European Union Aviation Safety Agency (EASA) standards.
Outlined in TOC 1.4 of the SMS manual, clear role assignments empower safety managers, accountable executives, and frontline staff to execute safety processes effectively. Whether for small flight schools or global airlines, this step reduces compliance risks by 80%, as demonstrated by client outcomes.
This guide provides a structured approach to defining SMS roles, leveraging tools to streamline implementation for safety professionals, consultants, and executives.
ICAO Annex 19 and FAA Part 5 mandate that SMS manuals specify roles and responsibilities for all personnel involved in safety management. According to ICAO Doc 9859, key roles include the accountable executive, safety manager, and operational staff, each with distinct duties tied to the four SMS pillars: safety policy, risk management, safety assurance, and safety promotion. SKYbrary’s SMS overview emphasizes that roles must align with organizational structure and regulatory expectations.
Review What is an Accountable Executive to understand the executive’s role in overseeing SMS implementation. For example, FAA Part 5 requires the accountable executive to ensure adequate resources, while EASA Part-ORA emphasizes their authority over safety decisions. This step helps new safety managers at fixed-base operators (FBOs) or experienced professionals at airports align roles with compliance needs.
Key actions:
The SMS manual must clearly define roles for the accountable executive, safety manager, department heads, and frontline employees. Each role contributes to safety processes, from policy development to hazard reporting. For practical examples, see Distinguishing Between Responsibility, Authority, and Accountability, which clarifies how to assign duties effectively.
Accountable Executive: Provides leadership, allocates resources, and ensures SMS effectiveness. They approve the safety policy and oversee compliance, as required by FAA Advisory Circular 120-92B.
Safety Manager: Manages daily SMS operations, conducts risk assessments, and coordinates audits. They serve as the primary point of contact for safety issues.
Department Heads: Implement safety procedures within their units, such as maintenance or flight operations, and report hazards.
Frontline Employees: Report hazards and participate in safety training, contributing to a proactive safety culture.
Use List Duties of Accountable Executive to detail specific responsibilities, ensuring clarity for large operators like Part 135 organizations or small maintenance, repair, and overhaul (MRO) firms.
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An organizational chart visually represents SMS roles, clarifying reporting lines and accountability. This is particularly important for consultants supporting airports or utilities, where complex hierarchies can obscure responsibilities. The chart should show the accountable executive at the top, followed by the safety manager, department heads, and frontline staff, with clear links to SMS functions like hazard reporting or safety assurance.
For guidance, refer to How to Create an Org Chart for Aviation Safety Programs. A well-designed chart reduces confusion, as seen in a client airline that cut compliance risks by 80% by clarifying roles. Use tools like the Organizational Chart module to update charts, ensuring alignment with operational needs.
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Each role requires documented procedures to guide SMS activities, such as conducting risk assessments, reporting hazards, or performing audits. For example, the safety manager’s procedures might include steps for analyzing hazard reports, while frontline employees need instructions for submitting reports via a confidential safety reporting system. These procedures ensure consistency and compliance across operations, from small flight schools to large commercial operators.
Standardized templates can simplify this process, especially for consultants working with diverse clients. A client airport streamlined its procedures using templates, saving 100 hours annually. Ensure procedures align with ICAO’s four pillars and are tailored to the organization’s risk profile, such as high-altitude operations for helicopter operators or runway safety for airports.
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Training ensures all personnel understand their SMS roles and responsibilities, fostering a robust safety culture. Develop role-specific training programs, such as hazard reporting for frontline staff or audit techniques for safety managers. Regular training, recommended annually, reinforces compliance and improves performance, as seen in a client MRO that boosted reporting engagement by 50% through targeted training.
Monitor role performance using key performance indicators (KPIs), such as the number of hazard reports submitted or audit findings resolved. Tools like the Auditing System facilitate performance tracking, ensuring accountability. For audit strategies, see How to Conduct Internal SMS Audits. Update role definitions as operations evolve, keeping the SMS manual current. SMS Pro's Duties & Responsibilities module is used to train and document employees' understanding of their roles and SMS responsibilities.
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Defining SMS roles can be challenging, particularly for organizations with complex structures or limited resources. Avoid these common mistakes:
By addressing these issues, organizations can create a robust framework for SMS accountability, as evidenced by clients who achieved zero audit findings through clear role definitions.
Defining roles and responsibilities in your SMS manual is essential for compliance and safety. By understanding regulatory requirements, identifying key roles, creating an organizational chart, documenting procedures, and monitoring performance, safety professionals can build an effective SMS. Tools like SMS Pro’s Organizational Chart, Duties & Responsibilities and Auditing System streamline the process, ensuring success for operators of all sizes.
Ready to define your SMS roles? Download free templates from Audit Resources or request a demo at below to simplify your SMS manual development. Start strengthening your safety program today.