For new aviation safety managers, preparing for a Safety Management System (SMS) audit can feel like navigating uncharted skies. A critical challenge is ensuring that accountable executives—senior leaders like CEOs, directors, or operations managers—understand and fulfill their SMS responsibilities.
These executives are pivotal in demonstrating compliance to regulators like the FAA, EASA, or ICAO, yet many lack the time or technical background to dive into the aviation SMS details.
This guide provides a clear, concise summary of the accountable executive’s SMS responsibilities, written in plain language and linked to tangible business benefits like reduced incidents, cost savings, and improved regulatory standing. It also offers practical steps to coach executives and train staff for audit readiness, empowering new safety managers to build a robust safety culture.
In aviation SMS, the accountable executive is the senior leader responsible for ensuring the organization’s safety performance. They set the tone for safety, allocate resources, and demonstrate leadership during audits. Regulators expect executives to:
Articulate SMS Responsibilities: Clearly explain their role in overseeing safety.
Show Strategic Oversight: Use SMS data, like risk assessments, to guide decisions.
Promote Safety Culture: Lead by example to encourage staff engagement.
For new safety managers, coaching executives and training staff on these responsibilities can be daunting. The solution lies in simplifying SMS concepts and aligning them with business goals. Below, we provide a detailed summary of the executive’s SMS duties, followed by strategies to prepare for audits.
The following summary outlines the core SMS responsibilities of the accountable executive, based on frameworks like ICAO Annex 19 and FAA AC 120-92B. Each duty is explained in plain language and tied to a specific business benefit to make the case for SMS compelling.
What It Means: Write and share a safety policy that commits to keeping safety first in all operations. This policy should meet regulatory standards and be communicated to all staff.
How to Do It:
Draft a short statement (e.g., “We prioritize safety in every decision to protect our people and operations”).
Ensure the policy is visible in employee handbooks, on company websites, or during staff meetings. SMS Pro displays safety policies to all employees in the Policies and Procedures module.
Review it annually to keep it current. SMS Pro assists management via email and visual alerts when policies require review.
Business Benefit: A strong safety policy builds trust with regulators, reducing the risk of audit penalties. It also signals to customers and partners that your organization is reliable, enhancing your reputation.
Example: A clear policy might prevent incidents like runway incursions by ensuring all staff follow safety protocols, avoiding costly disruptions.
What It Means: Ensure SMS has the budget, staff, and tools needed to work effectively. This includes funding for training, software, or equipment upgrades.
How to Do It:
Review safety budgets annually with the safety manager.
Approve investments in SMS tools, like hazard reporting systems.
Hire or train staff to handle SMS tasks, such as risk assessments.
Business Benefit: Investing in safety reduces incidents, which can save millions in repair costs, legal fees, or downtime. It also ensures compliance, avoiding fines or operational restrictions.
Example: Funding a new taxiway lighting system based on risk assessments can prevent accidents, saving costs and maintaining schedules.
What It Means: Regularly review safety data, like hazard reports or risk assessments, to make informed decisions. This shows you’re actively managing safety.
How to Do It:
Meet monthly with the safety manager to discuss top risks and mitigation plans.
Use a risk matrix to prioritize actions (e.g., addressing high-risk issues like bird strikes).
Approve or adjust safety strategies based on data.
Business Benefit: Proactive oversight catches risks early, preventing incidents that could harm employees or disrupt operations. It also impresses auditors, strengthening your regulatory standing.
Example: Reviewing a risk assessment that flags outdated maintenance procedures can lead to timely updates, avoiding mechanical failures.
Related Articles on Monitoring Safety Performance
What It Means: Lead by example to encourage all staff to prioritize safety. This means supporting hazard reporting and recognizing employees who contribute to safety.
How to Do It:
Share safety messages in staff briefings or emails (e.g., “Report hazards to keep us all safe”).
Reward employees who identify risks, like a ground crew member spotting a runway hazard.
Attend safety meetings or audits to show commitment.
Business Benefit: A strong safety culture boosts employee morale and engagement, reducing turnover. It also lowers incident rates, as staff feel empowered to report issues early.
Example: Recognizing a mechanic’s hazard report about a faulty tool can prevent an accident, saving costs and reinforcing trust.
What It Means: Make sure the SMS meets all regulatory requirements, like those from ICAO, FAA, or EASA. This includes keeping records and preparing for audits.
How to Do It:
Work with the safety manager to review SMS documentation, like risk assessment logs.
Ensure all safety processes align with standards (e.g., ICAO Doc 9859).
Participate in audit opening meetings to demonstrate leadership.
Business Benefit: Compliance avoids regulatory penalties, such as fines or grounded operations, which can cost millions. It also enhances your organization’s credibility with stakeholders.
Example: Maintaining audit-ready records can streamline inspections, avoiding delays and ensuring smooth operations.
New safety managers must coach accountable executives to understand and articulate these responsibilities. Here’s how to make coaching effective:
Use the above summary as a one-page handout. Highlight how each duty supports business goals, like cost savings or reputation.
Show executives how SMS drives efficiency. For example, investing in safety training reduces errors, saving time and money.
Schedule a 30-minute briefing to review the summary. Use a case study (e.g., a near-miss incident) to show how the executive’s oversight prevents recurrence. Practice answering audit questions like, “How do you resource SMS?”
Staff at all levels must understand SMS to support the executive’s leadership. Training ensures they can identify hazards, use tools like the risk matrix, and contribute to audit readiness.
SMS Basics: Explain the four SMS pillars (safety policy, risk management, safety assurance, safety promotion).
Risk Matrix: Teach staff to assess risks by likelihood and severity.
Hazard Reporting: Encourage reporting through user-friendly systems.
Audit Preparation: Train staff to document processes and answer auditor questions.
Use interactive methods, like mock risk assessments or role-playing audit scenarios, to engage staff. For example, ask ground crew to plot a fuel spill risk on a matrix.
Related Articles on Aviation SMS Risk Matrix
Audits test the executive’s ability to demonstrate SMS leadership and staff’s understanding of processes. Here’s how to prepare:
Conduct practice sessions where executives and staff answer questions like:
“How do you oversee SMS performance?” (for executives)
“Can you show a documented risk assessment?” (for staff)
Provide feedback on clarity and confidence.
Ensure all SMS records—safety policy, risk assessments, hazard reports—are organized and accessible. Train staff to maintain consistent documentation.
Create a “cheat sheet” with the executive’s responsibilities and sample audit responses. Share it with the executive and key staff.
Executives set the tone for safety culture, but staff bring it to life. Encourage both to embrace SMS as a proactive tool, not just an audit requirement.
Executive Leadership: Have executives share safety messages or attend safety events.
Staff Engagement: Reward hazard reporting and involve staff in safety discussions.
Continuous Learning: Offer quarterly SMS refreshers to keep skills sharp.
Host a “Safety Day” where executives present the safety policy and staff share risk assessment examples. This reinforces SMS’s value across the organization.
Leverage these tools to streamline coaching and training:
SMS Software: Use platforms like SMS Pro's Aviation Safety Management Software for dashboards and reporting.
Regulatory Guides: Reference FAA AC 120-92B, EASA SMS guidelines, or ICAO Doc 9859.
Training Platforms: Explore Coursera or LinkedIn Learning for SMS courses. SMS Pro users can use the learning management system (LMS) in the Training and Qualifications module.
New safety managers often face hurdles in coaching executives and training staff. Here’s how to address them:
Solution: Offer short, flexible coaching sessions (e.g., 15-minute briefings) or e-learning modules.
Solution: Use relatable examples and rewards to show SMS’s value. For example, highlight how reporting a hazard prevented an incident.
Solution: Simplify concepts (e.g., explain the risk matrix as a “priority tool”) and focus on practical applications.
Preparing for SMS audits starts with a clear understanding of the accountable executive’s responsibilities. By summarizing these duties in plain language and linking them to business benefits—like reduced incidents, cost savings, and improved regulatory standing—new safety managers can coach executives and train staff effectively.
The five core responsibilities—
Use concise coaching sessions, interactive staff training, and ongoing engagement to build audit readiness and a safety-first culture. With these strategies, your organization will soar through SMS audits and strengthen its commitment to aviation safety.
Ready to prepare your team? Share this guide with your executives and explore SMS tools to streamline audit preparation.