SMS Decisionmaker

A safety management system (SMS) enterprise is required to appoint an accountable executive (AE) who is the key decisionmaker and authority, and who is responsible for operations or activities authorized under the certificate and accountable on their behalf of the certificate holder for meeting the regulatory requirements. A condition for accepting the position as an AE is that they have control of the financial and human resources that are necessary for the activities and operations authorized under the certificate. 

The responsibility and accountability of the accountable executive appointed are not affected by the existence of a person responsible for the maintenance control system, a person responsible for maintenance, or a maintenance manager, or the operations manager. A safety management system is a process and project management system, where the most desired outcome is the objective. This does not only include safety, but also financial outcome. The accountable executive is responsible for process and financial results. While the AE is the person making safety in operations key decisionmaker, the AE does not override their organizational SMS experts, unless they conduct a new system analysis, change management assessment, or risk assessment to justify their decisions.  

Risk assessment and risk analysis are related concepts in the field of risk management, but they refer to different processes within that framework.

Risk analysis is a more focused and detailed examination of specific risks identified during the risk assessment phase. It involves a deeper analysis of the nature and characteristics of each risk. Key components of a risk analysis are revisiting and refining the list of identified risks from the risk assessment phase, assigning numerical values to the probability and impact of risks to quantify the overall risk exposure, developing strategies to manage or mitigate the impact of identified risks, and considering different scenarios to understand the potential outcomes of specific risks.

The primary purpose of risk analysis is to provide detailed insights into specific risks, allowing for more informed decision-making and the development of effective risk mitigation strategies.

In summary, risk assessment is a broader process that involves the initial identification, evaluation, and prioritization of risks, while risk analysis is a more in-depth examination of specific risks to better understand their characteristics and develop strategies for managing them. The two processes are interconnected, with risk analysis often following risk assessment as part of a comprehensive risk management approach. 

Risk assessment is a broader process that involves identifying potential risks, evaluating their significance, and determining the likelihood of those risks occurring. Key components of a risk assessment are identifying and listing potential risks that could impact a project, organization, or system, assessing the significance and potential impact of each identified risk, estimating the likelihood of each risk occurring, and ranking or categorizing risks based on their severity and probability.

The main goal of risk assessment is to provide an overall understanding of the risk landscape and help prioritize risks for further analysis and management.

System analysis is a process of studying a system or a complex process with the goal of understanding its components, interactions, and functionalities. The primary objective of system analysis is to improve the efficiency and effectiveness of the system by identifying problems, finding solutions, and defining requirements for the development or improvement of the system.

Key components of a system analysis are analyzing the system involves gaining a comprehensive understanding of how it works, its goals, its components, and how these components interact with each other, system analysts aim to identify any existing problems or inefficiencies within the system, which involve studying user feedback, examining performance metrics, or conducting interviews with stakeholders.

Once problems are identified, the system analyst works on defining requirements for improvements or new features. This involves specifying what the system should do, how it should behave, and what constraints or limitations exist.

System analysts apply modeling techniques to represent the system visually. This may include flowcharts, data flow diagrams, entity-relationship diagrams, or other graphical representations that help in understanding and communicating the system's structure and functionality.

Evaluating the costs and benefits of proposed changes or new systems is crucial in system analysis. This helps in making informed decisions about the feasibility and potential return on investment.

System analysts need effective communication skills to interact with stakeholders, including end-users, management, and developers. Clear communication is essential for understanding user needs and expectations and for conveying system requirements.

System analysts often participate in the planning phase of system implementation, helping to coordinate the development and deployment of new systems or improvements to existing ones.

System analysis is a critical phase in the development life cycle of a system and is often followed by system design, implementation, testing, and maintenance. It is commonly applied in various fields, including information technology, business process improvement, and engineering. 

A change management analysis refers to the systematic process of assessing, planning, and implementing changes within an organization. Change management is a structured approach to transitioning individuals, teams, and organizations from their current state to a desired future state. The analysis aspect of change management involves evaluating various factors to understand the potential impact of the proposed changes and to develop strategies for effectively managing the transition.

Key components of a change management analysis are: 

Current state assessment by understanding the existing organizational structure, processes, and culture. Identifying strengths, weaknesses, opportunities, and threats related to the change.

Stakeholder analysis by identifying and analyzing key stakeholders who will be affected by the change, and assessing their interests, concerns, and level of influence.

Risk analysis Identifying potential risks and challenges associated with the proposed changes and developing strategies to mitigate or manage these risks.

Impact analysis by assessing the potential impact of the changes on various aspects of the organization, including people, processes, technology, and culture. Understanding how the changes may affect different departments, teams, and individuals.

Communication analysis by developing a communication plan to ensure that information about the changes is effectively communicated to all stakeholders. Identifying key messages, communication channels, and timing for communication.

Training and development analysis by assessing the skills and competencies required for individuals to adapt to the changes. Developing a training plan to address any gaps in knowledge or skills.

Change readiness assessment by evaluating the SMS enterprise’s readiness for change, including its culture, leadership support, and overall capacity to adapt. Identifying factors that may facilitate or hinder the success of the change initiative.

Measurement and evaluation by establishing key performance indicators (KPI) to measure the success of the change initiative. Regularly evaluating progress and adjusting the change management plan as necessary.

Change management analysis is crucial for ensuring that the organization navigates through transitions smoothly and that the intended benefits of the changes are realized. It involves a combination of data analysis, stakeholder engagement, and strategic planning to create a comprehensive approach to managing change effectively. 

An assessment that is new with the implementation of the safety management system is an environmental assessment. 

An environmental assessment (EA) is a process that evaluates the potential environmental impacts of a proposed project, plan, or program before it is implemented. The goal of an environmental assessment is to identify and analyze potential environmental effects, consider alternatives, and provide information to decision-makers and the public. The assessment helps ensure that environmental considerations are integrated into the decision-making process, and it may be required by laws and regulations in many jurisdictions.

An environmental assessment is necessary for various reasons, primarily to evaluate the potential environmental impacts of a proposed project, policy, or development. A new regulatory requirement, standard, or new SMS policy are alle administrative in nature, but still requires an environmental assessment to be completed.  

Many countries have laws and regulations that require environmental assessments for certain types of projects. These regulations are in place to ensure that environmental considerations are taken into account during the planning and decision-making process.

An environmental assessment helps in identifying potential adverse effects a project may have on the environment. This includes impacts on air and water quality, soil, wildlife, ecosystems, and human health. By identifying these impacts, measures can be taken to minimize or mitigate them.

Environmental assessments often involve public consultation and engagement. This allows the public to provide input and express concerns about the proposed project. Public participation helps ensure that diverse perspectives and potential impacts are considered in the decision-making process.

The information gathered during an environmental assessment provides decision-makers with a comprehensive understanding of the project's potential environmental consequences. This knowledge allows them to make informed decisions that balance the benefits of the project with its potential impacts on the environment.

Environmental assessments help in assessing the risks associated with a project and developing strategies to manage or mitigate those risks. This includes identifying potential hazards and establishing measures to prevent or minimize negative impacts.

The findings of an environmental assessment can inform the design and planning of a project. If significant environmental impacts are identified, modifications to the project can be made to reduce or eliminate these impacts.

Assessing environmental impacts is a key component of promoting sustainable development. It ensures that economic and social development occurs in a way that minimizes harm to the environment, preserving resources for future generations.

In some cases, international agreements or funding sources may require environmental assessments as a condition for approval or funding. This ensures that projects adhere to globally recognized environmental standards.

Environmental assessments play a crucial role in promoting environmentally responsible decision-making, protecting ecosystems, and fostering sustainable development. They provide a systematic approach to evaluating potential impacts and identifying measures to address environmental concerns associated with human activities.

There is also a difference between a non-certified aerodrome and certified aerodrome as it applies to above ground fuel storage tanks. The compliance requirements for non-certified aerodromes are more restrictive than for certified aerodromes. A non-certified aerodrome may be in non-compliance with the regulations without their comprehensive plan, while there are limited requirements certified aerodrome remain in compliance. There are several benefits for aerodromes to be certified which are not available to non-certified aerodromes. 

Key components of an environmental assessment are: 

Scoping: Identifying the environmental aspects and potential impacts that should be considered in the assessment.

Baseline Study: Establishing the current environmental conditions in the area where the project is proposed to take place.

Impact Assessment: Evaluating the potential positive and negative effects of the project on the environment, including factors such as air and water quality, biodiversity, ecosystems, and human health.

Alternatives Analysis: Examining different options or variations of the proposed project to identify alternatives that may have fewer environmental impacts.

Mitigation Measures: Proposing measures to minimize or offset potential adverse environmental effects.

Public and Stakeholder Involvement: Seeking input and feedback from the public, local communities, and relevant stakeholders to ensure that diverse perspectives are considered.

Decision-Making and Documentation: Providing the information gathered during the assessment to decision-makers who then consider the environmental implications in their decision. Documentation of the process and findings is typically required.

Environmental assessments are often a prerequisite for obtaining permits or approvals for certain projects, especially those with the potential for significant environmental impacts. In some cases, if a project is expected to have more substantial environmental effects, a more comprehensive environmental impact assessment may be required.

An SMS enterprise is required to operate with an SMS policy, or also called their safety policy. A safety policy must remain in existence, followed, and understood. 

An SMS enterprise is required to base its safety management system on the safety policy and there is a clear commitment to safety.

The safety policy is agreed to and approved by the accountable executive. Approving an SMS policy is a vision of the path an SMS enterprise is taking, and it is a business decision and the foundation of their safety management system. Their SMS manger build the SMS based on the SMS policy, regulatory requirements, and their work practices. 

The SMS policy is implemented at all levels of the organization, and is applicable to the AE, managers, and operations personnel. 

Their safety policy is reviewed periodically for continuing applicability to regulatory requirements and their vision of their SMS path forward.

When implementing a new SMS policy and reviewing a current SMS policy a safety policy assessment is necessary to maintain integrity of their SMS.

 A safety policy assessment is an evaluation or analysis of an SMS enterprise’s safety policies, objectives, processes, procedures, and acceptable work practices. It involves a systematic examination of the policies and practices that airports and airlines have in place to ensure the safety in operations, and well-being of its employees, customers, and other stakeholders. 

The assessment typically includes a review of written safety policies, procedures, and guidelines, as well as an evaluation of how well these policies are implemented and followed within the organization. The goal of a safety policy assessment is to identify areas where improvements can be made to enhance the overall safety culture and reduce the risk of accidents, injuries, or other safety-related incidents.

Key components of a safety policy assessment are: 

Policy Documentation Review: Examining written safety policies and procedures to ensure they are comprehensive, up-to-date, and aligned with relevant regulations and industry standards.

Implementation Evaluation: Assessing how well safety policies are implemented throughout the organization, including the level of awareness among employees and the effectiveness of training programs.

Compliance Check: Verifying that the organization is in compliance with the SMS regulations, and operational regulations as applicable to airports or airlines.

Incident Analysis: Reviewing past incidents, accidents, or near-misses to identify patterns or areas where safety policies may need to be strengthened. A review and analysis of why daily operations are without incidents is also necessary when conducting incident analysis. 

Communication and Reporting: Evaluating the effectiveness of communication channels related to safety, including reporting mechanisms for potential hazards or incidents.

Continuous Improvement: Assessing the SMS enterprise’s approach to continuous improvement in safety, such as the process for reviewing and updating processes, procedures and acceptable work practices based on lessons learned and changing circumstances.

Safety policy assessments are crucial for maintaining the integrity of their SMS and ensuring that an organization is proactive in addressing risks. They may be conducted internally by the organization's safety team or externally by third-party experts. The results of a safety policy assessment can be used to develop action plans for improvement and to demonstrate a commitment to safety to personnel, regulators, and other stakeholders. 

An accountable executive is a term used in the context of organizational or project management. This role refers to an individual who is ultimately responsible and accountable for the success of a particular initiative, project, or area within an organization. The accountable executive is expected to provide leadership, make key decisions, and ensure that the goals and objectives are achieved.

The specific responsibilities and scope of authority associated with the role of an accountable executive vary depending on the context. In some cases, it might be a senior executive within a company who oversees a specific business unit or department. In other situations, it could be an individual appointed to lead a particular project, ensuring that it stays on track, meets its objectives, and aligns with the overall strategy of the organization. 

Having an accountable executive is crucial for clear lines of responsibility, effective decision-making, and overall policy success, and in achieving organizational objectives and goals. This individual is often held responsible for the outcomes and is accountable to stakeholders, including shareholders, customers, and employees.

As the SMS decisionmaker and the final authority of the safety management system, the accountable executive is responsible for accepting or rejecting the different analyses necessary for a successful SMS.

OffRoadPilots