3-15 organization the ability to get additional information concerning the hazard or incident since the ability to reach out to the reporter is lost.
3.3.1.5 Considerations for Small and Single-Individual Organizations. The following part 5 requirements are excepted for single-pilot organizations.
1. Section 5.21(a)(4): A safety reporting policy that defines requirements for employee reporting of safety hazards or issues.
2. Section 5.21(a)(5): A policy that defines unacceptable behavior and conditions for disciplinary action.
3. Section 5.21(c): The safety policy must be documented and communicated throughout person’s organization.
3.3.1.5.1 Single-individual organizations will not have a confidential reporting program; however, they should have a way of recording and managing (§ 5.55) hazards they identify in the course of operations.
3.3.1.5.2 A single-individual organization is not required to have a process to communicate safety information throughout the aviation organization.
3.3.1.6 Examples. The following examples demonstrate ways aviation organizations might choose to implement §5.21(c) based on where the aviation organization may fall on the spectrum of size or complexity. The following are examples only and are not the only ways the requirements could be met.
3.3.1.6.1 For smaller, lower complexity organizations, the owner or most senior manager (the accountable executive) may personally perform this process.
The policy statement can be a simple, often single-page, written document signed by the accountable executive. Small organizations typically operate in smaller networks of employees, so the policy may be posted in the organization’s work areas or included in organizational briefings or in training.
3.3.1.6.2 Aviation organizations on the higher end of the spectrum of complexity may require senior managers and technical staff to perform this process in addition to the accountable executive. While the regulations only require the accountable executive to sign the safety policy and code of ethics statement, members of senior management may also sign the safety policy and code of ethics statement. Large or highly complex aviation organizations may choose to disseminate their policy using a variety of resources, such as organizational websites, intranets, email, or existing indoctrination and recurrent training.
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3.3.2 Safety Accountability and Authority.
3.3.2.1 References. Sections 5.23, 119.65, and 119.67; 14 CFR part 125, § 125.25;
part 133, § 133.21; part 137, § 137.41; part 141, § 141.33; part 142, § 142.13;
and part 145, § 145.151.
3.3.2.2 Part 5 Requirement.
§ 5.23, Safety accountability and authority.
(a) Any person required to have an SMS under this part must define in its safety policy the accountability for safety of the following individuals:
(1) Accountable executive, as described in § 5.25.
(2) All members of management in regard to developing, implementing, and maintaining SMS processes within their area of responsibility, including, but not limited to:
(i) Hazard identification and safety risk assessment.
(ii) Assuring the effectiveness of safety risk controls.
(iii) Promoting safety as required in subpart E of this part.
(iv) Advising the accountable executive on the performance of the SMS and on any need for improvement.
(3) Employees relative to the person’s safety performance.
(b) The person must identify the levels of management with the authority to make decisions regarding safety risk acceptance.
3.3.2.3 Discussion. “Accountability,” as used in this requirement, refers to active management and line employee involvement and actions in managing and maintaining organizational safety performance. An aviation organization demonstrates accountability by ensuring each of its employees are aware of their specific role within the SMS and that they actively participate in accomplishing their SMS-related duties. Once the SMS requirements for the employee positions have been established, part 5 subpart E requires that these requirements be communicated throughout the organization. The safety accountability process requires the aviation organization to define duties and responsibilities for achieving safety performance objectives within the organization’s safety policy for the following individuals.
3.3.2.3.1 A ccountable Executive. The accountable executive has the ultimate responsibility for safety management within the organization. The specific duties of the accountable executive are discussed in more detail in paragraph 3.3.3.3.
3.3.2.3.2 All Members of Management. Managers, who may also be process owners, are the individuals who are responsible for identifying hazards, conducting risk assessments, and developing risk controls for their areas of responsibility.
They have the technical expertise and are the ones responsible for the implementation and operation of risk controls (often in the form of operational procedures, specified tools, training, communication, etc.). Process owners may not always be in a regulatorily required position as required by
3-17 §§ 119.65, 119.69, and 145.151 and might not appear on an organizational chart. Process owners, such as a battery shop manager or cargo manager, may have the technical expertise to manage the processes and procedures, and, if so, they would be able to accept risk in their functional area. A key element in the SRM process is to identify the levels of management with the authority to make risk decisions related to aviation safety. Thus, managers that have the authority to implement changes in systems and procedures should use the SMS processes in managing their area of operational responsibility. They are also responsible for ensuring the continuing operational safety of risk controls.
Through data collection methods and analytical processes in the safety assurance component, managers are able to determine that risk controls are effective and that their safety performance is acceptable. For example, the Director of Maintenance (DOM) is one of the managers accountable for SMS within their area of responsibility.
3.3.2.3.3 Em ployees. All employees should be aware of the organization’s safety policies as well as the processes, procedures, and tools relevant to their responsibilities. They need to know how the confidential employee reporting system works. Employees at all levels of the organization have a responsibility to report hazards, issues, and concerns related to aviation safety as well as to propose solutions and safety improvements. Employees have a duty and responsibility to follow an organization’s processes and procedures.
3.3.2.4 Im plementation Strategies. The method for meeting these requirements could vary greatly between different organizations. The numbers and relationships of personnel will be unique to each organization, and the organizational structure and accountability should be appropriate to the aviation organization.
3.3.2.4.1 Aviation organizations are required to define the duties and responsibilities of the accountable executive. The accountable executive has the ultimate responsibility for safety management within the organization. The specific duties of the accountable executive are defined in § 5.25.
3.3.2.4.2 Aviation organizations need to define the duties and responsibilities of management (process owners) in their areas of the operation.
3.3.2.4.3 All employee safety-related duties and responsibilities must be documented (where required). They could be located in the safety manual or in another organizational document. The SMS documentation should point to where the requirement is located if it is in a place other than the safety documentation.
3.3.2.4.4 A key element in the SRM process is to identify the levels of management with the authority to make risk decisions related to aviation safety. The positions identified must have the knowledge and skills to determine the acceptability of risk in their functional areas. Managers that have the authority
3-18 to implement changes in systems and procedures should use the SMS processes in managing risk in their area of operational responsibility.
3.3.2.4.5 Accountability for all employees directly involved in delivering the aviation organization’s product or service should be defined. Employees at all levels of the organization have a responsibility to report hazards, issues, and concerns as well as to propose solutions and safety improvements. Employees have a duty and responsibility to follow an organization’s processes and procedures.
3.3.2.4.6 In single-individual organizations, the personnel structure will be very simple and consist of the person in charge being the accountable executive, who is responsible for ensuring all required duties and activities are accomplished. In a small organization, other management personnel should be identified since they would have a role in how the organization is managed on a day-to-day basis.
3.3.2.5 Considerations for Small and Single-Individual Organizations. The following part 5 requirements are excepted for single-pilot organizations:
1. Section 5.23(a)(2): All members of management in regard to developing, implementing, and maintaining SMS processes within their area of responsibility, including, but not limited to:
(i) Hazard identification and safety risk assessment.
(ii) Assuring the effectiveness of safety risk controls.
(iii) Promoting safety as required in subpart E of this part.
(iv) Advising the accountable executive on the performance of the SMS and on any need for improvement.
2. Section 5.23(a)(3): Employees relative to the person’s safety performance.
3. Section 5.23(b): The person must identify the levels of management with the authority to make decisions regarding safety risk acceptance.
3.3.2.5.1 In single-individual organizations, this structure will be very simple and consist of the sole individual being the accountable executive and assuming the various roles and responsibilities, which would normally be assigned to other members of management. The single individual would also be responsible for accepting all risks associated with the aviation organization’s products or services.
3.3.2.5.2 As their organizational duties change, which could happen many times during the day, the single individual could be said to be changing hats as their role changes as they manage the activities required in § 5.23.
3.3.3 D esignation and Responsibilities of Required Safety Management Personnel.
3.3.3.1 References. Section 5.25(a) and (b).
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3.3.3.2 Part 5 Requirement.
§ 5.25, Designation and responsibilities of required safety management personnel.
(a) Designation of the accountable executive. Any person required to have an SMS under this part must identify an accountable executive who, irrespective of other functions, satisfies the following:
(1) Is the final authority over operations authorized to be conducted under the person’s certificate(s) or Letter(s) of Authorization.
(2) Controls the financial resources required for the operations to be conducted under the person’s certificate(s) or Letter(s) of Authorization.
(3) Controls the human resources required for the operations authorized to be conducted under the person’s certificate(s) or Letter(s) of Authorization.
(4) Retains ultimate responsibility for the safety performance of the operations conducted under the person’s certificate(s) or Letter(s) of Authorization.
(b) Responsibilities of the accountable executive. The accountable executive must accomplish the following:
(1) Ensure that the SMS is properly implemented and is performing across all pertinent areas.
(2) Develop and sign the safety policy.
(3) Communicate the safety policy throughout the person’s organization.
(4) Regularly review the safety policy to ensure it remains relevant and appropriate to the person.
(5) Regularly review the safety performance and direct actions necessary to address substandard safety performance in accordance with § 5.75.
3.3.3.3 Discussion.
3.3.3.3.1 D esignation.
3.3.3.3.1.1 Section 5.25(a) requires the organization to identify an individual in the organization to be the accountable executive who holds the ultimate decision-making authority over the organization’s aviation-related operations. The accountable executive is responsible for planning, organizing, directing, and controlling the personnel, organizational structure, financial, and other resources necessary for safe operations. A flowchart outlining a process for designating an accountable executive is available in Appendix E, Identifying the Accountable Executive.
3.3.3.3.1.2 When identifying the accountable executive, it is very important t o select an individual in the organization who holds the ultimate decision-making authority over the aviation organization’s operations. This individual is responsible for planning, organizing, directing, and controlling the personnel, organizational structure, financial, and other resources necessary for safe operations. The organizational job title is not important when making this determination but rather the individual’s
3-20 responsibility to ensure appropriate resources are available and to accept risk for and oversee the aviation product or service.
3.3.3.3.2 R esponsibilities. As the ultimate authority in the organization, the accountable executive is responsible for the proper functioning of the SMS. This entails, among other things, keeping an open line of communication with the designated management personnel, providing sufficient resources for the SMS to function properly, and being actively involved in the safety assurance component of the SMS.
3.3.3.3.2.1 If an aviation organization chooses to integrate the safety policy an d code of ethics statement into a compliance statement, the accountable executive must sign the compliance statement to meet the requirements of § 5.25(b)(2). One way the aviation organization could define accountability for the accountable executive is by listing the duties and responsibilities identified in § 5.25 in a position description. These may be located in the SMS safety policy documentation or in another organizational manual, such as a human resources manual. If the duties and responsibilities are documented elsewhere, the safety policy should point to the location where they can be located. Smaller organizations could point to the regulatory requirements in § 5.25(b).
3.3.3.3.2.2 The accountable executive should maintain open lines of communication with the designated management personnel to ensure any identified hazards or issues are effectively communicated throughout the organization. Communicating the safety policy and code of ethics could be through publication of the safety policy statement in documentation employees have access to. It could also include periodic meetings where organizational information concerning the safety policy is shared with employees by the accountable executive and management.
3.3.3.3.2.3 The accountable executive must regularly review the safety performance of the organization. There should be documentation to show that it has occurred. The term “regularly” is not defined to specify an interval. Reviews should occur frequently enough for issues within the organization’s processes and procedures to be identified and corrected in a timely manner. This will vary based on the aviation organization’s size, scope, and complexity.
3.3.3.3.2.4 The accountable executive should designate sufficient management personnel to provide support for essential SMS functions, such as performing analysis, assisting operational managers in meeting their safety management responsibilities, and acting as a safety advisor to the accountable executive.
3-21 Personnel designated to perform this function should be in positions in the organization of sufficient independence to have direct access to the accountable executive to report on the safety performance of the operation and ability to recommend any necessary improvements. These individuals should be highly knowledgeable on the SMS and able to assist the process owners and functional area managers in accomplishing their SMS duties and responsibilities. This is not to say the management personnel are expected to accept risk in the functional areas, as they may not be the most qualified. The organization is not expected to add employees to fill this position either. These tasks could be accomplished by existing management personnel.
3.3.3.4 Implementation Strategies. The accountable executive is responsible for ensuring that sufficient management personnel are clearly designated for ensuring the safety of operational and SMS processes. When management personnel are designated, consideration should be given to ensure they are properly trained and qualified to perform the duties required of the position.
3.3.3.4.1 In smaller organizations, the accountable executive may directly supervise operational processes. This individual may serve in multiple positions within the organization.
3.3.3.4.2 It is unlikely that small organizations will have the resources for a designated representative to monitor the effectiveness of the SMS as a full-time position.
A small organization may add the safety manager duties to an existing role
(e.g., operations manager). In a single-individual operation, these duties would be filled by the accountable executive.
3.3.3.5 Considerations for Small and Single-Individual Organizations.
Single-pilot operations and single-individual organizations pose unique situations when implementing an SMS. As a result of these factors, the following regulatory section is excepted from the implementation requirements for organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of aircraft:
Section 5.25(b)(3): Responsibilities of the accountable executive. The accountable executive must accomplish the following: Communicate the safety policy throughout the person’s organization.
3.3.4 D esignation of Management Personnel.
3.3.4.1 References. Sections 5.25(c), 119.65, 119.67, 145.151, and 145.153.
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3.3.4.2 Part 5 Requirement.
§ 5.25(c), Designation of management personnel.
(c) Designation of management personnel. The accountable executive must designate sufficient management personnel who, on behalf of the accountable executive, are responsible for the following:
(1) Coordinate implementation, maintenance, and integration of the SMS throughout the person’s organization.
(2) Facilitate hazard identification and safety risk analysis.
(3) Monitor the effectiveness of safety risk controls.
(4) Ensure safety promotion throughout the person’s organization as required in subpart E of this part.
(5) Regularly report to the accountable executive on the performance of the SMS and on any need for improvement.
3.3.4.3 Discussion. This section requires that the organization ensure that sufficient management personnel are available to provide support for essential SMS functions, such as performing analysis, assisting operational managers in meeting their safety management responsibilities, and acting as a safety advisor to the accountable executive.
3.3.4.3.1 When reviewing the designated management personnel required in § 5.25(c), the term “coordinate” means the management representative will aid other management personnel in the implementation and integration of the SMS throughout the organization. This position is not expected to “own” the SMS in the organization as everyone has a role and responsibilities to ensure proper functioning of the SMS. The term “facilitate” means the management representative will aid other process owners in hazard analysis and risk assessment. As they may not be a process owner, they are not expected to make risk-based decisions. The term “monitor” means the management representative will aid other process owners in determining if risk controls are functioning as designed. The duties and responsibilities listed above should be left to the process owners.
3.3.4.3.2 The designated management representative is expected to communicate safety information throughout the organization. Per § 5.97(d), a record of this activity should be retained so it can be validated during audits.
3.3.4.3.3 Designated management personnel are not necessarily subject matter experts (SME) in all areas of the aviation organization. Rather, they are personnel in a position to assist the process owners and management personnel with hazard identification and risk analysis, aid in communicating safety information throughout the organization, and monitor the effectiveness of safety risk controls.
3.3.4.3.4 Personnel designated to perform this function should be in positions in the organization with sufficient independence to have direct access to the
3-23 accountable executive to report on the safety performance of the operation and recommend any necessary improvements.
3.3.4.4 Implementation Strategies. These responsibilities may be carried by the accountable executive as defined in § 5.23(a)(1) or as collateral duties by managers referred to in § 5.23(a)(2), or the aviation organization could assign the tasks of supporting SMS functions to other management personnel.
3.3.4.5 Example. The following example demonstrates a way aviation organizations might choose to implement this requirement based on where the aviation organization may fall on the spectrum of size or complexity. The following is an example only and is not the only way the requirements could be met. For example, Flyslow Aviation has chosen to use an existing required management individual required under §§ 119.65, 119.69, or 145.151 and 145.153 to fulfill these responsibilities. As Flyslow Aviation grows and expands, they could establish a safety department with designated personnel assigned this requirement.
3.3.4.6 Considerations for Small and Single-Individual Organizations.
3.3.4.6.1 Single-pilot operations and single-individual organizations pose unique situations when implementing an SMS. As a result of these factors, the following regulatory section is excepted from the implementation requirements for organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of aircraft:
Section 5.25(c): Designation of management personnel. The accountable executive must designate sufficient management personnel who, on behalf of the accountable executive, are responsible for the following:
(1) Coordinate implementation, maintenance, and integration of the SMS throughout the person’s organization.
(2) Facilitate hazard identification and safety risk analysis.
(3) Monitor the effectiveness of safety risk controls.
(4) Ensure safety promotion throughout the person’s organization as required in subpart E of this part.
(5) Regularly report to the accountable executive on the performance of the SMS and on any need for improvement.
3.3.4.6.2 In a single-pilot organization, the accountable executive would perform these designated duties as part of their duties under § 5.25. Effective communication of safety information is still important, even in a single-pilot or single-individual organization. The communication focus would be focused outside of the organization (i.e., regular communication with aviation system stakeholders, industry associations, clients, the FAA, and other organizations.)
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3.3.4.7 Safety Policy Example. Flyslow Aviation recognizes the key to a successful organization is open communication and strong leadership. They identify the accountable executive and management representatives (§ 5.23) and start working on the safety policy. While developing safety objectives (§ 5.21(a)(1)), management reviewed the organization’s performance indicators as well as reports from previous audits. Management then determined a reduction in uncalibrated tools being issued by the tool room would be an appropriate objective for the coming year. Management communicates the organization’s goal of reducing uncalibrated tool issuance by 20 percent by publishing an updated safety policy (§ 5.21(c) and (d)) and through employee meetings (§ 5.23). Management also develops processes and procedures describing how employees are expected to accomplish their duties and responsibilities under the SMS.
3.3.5 Coordination of Emergency Response Planning.
3.3.5.1 References. Section 5.27.
3.3.5.2 Part 5 Requirement.
§ 5.27, Coordination of emergency response planning.
Where emergency response procedures are necessary, any person required to have an SMS under this part must develop, and the accountable executive must approve as part of the safety policy, an emergency response plan that addresses at least the following:
(a) Delegation of emergency authority throughout the person’s organization.
(b) Assignment of employee responsibilities during the emergency.
(c) Coordination of the emergency response plans with the emergency response plans of other organizations it must interface with during the provision of its services.
3.3.5.3 Discussion. The aviation organization is required to develop an ERP. This may be a part of the safety policy documentation or a separate document. If it is a separate document, the safety policy should point to where the ERP is located.
3.3.5.3.1 The ERP should be developed, which ensures normal SMS functions and risk acceptance continues while key personnel are removed from their normal risk management positions. The plan should also address how the aviation organization will transition to normal operations after the emergency condition subsides.
3.3.5.3.2 The ERP should provide procedures for management decision making and action in an emergency. For the purposes of meeting this section, the aviation organization should develop an ERP that ensures normal SMS functions and risk acceptance continues when process owners are removed from their normal risk management positions. This also should be applied for vacations or other absences. A line of succession of management authority sufficient to respond to emergencies needs to be established and documented in the
3-25 position description so employees required to assume these duties are able to understand the additional duties and responsibilities. As proxies are identified to step into these roles, organizations must ensure they are trained and competent to perform the additional duties of SMS risk acceptance.
3.3.5.3.3 Coordination of ERPs with the ERPs of other organizations might include first responders to accidents or incidents, airport authorities, and hazardous materials (HAZMAT) authorities. Many organizations already have ERPs that may be used to fulfill this requirement.
3.3.5.4 Implementation Strategies. Consider whether the ERP covers the likely emergencies and has been coordinated with other organizations that may be affected and with the emergency services. A small, noncomplex organization’s ERP might consist of a checklist of simple steps involving who to call when and what information to impart and a regularly updated list of contact details. When considering the ERP, succession planning must be considered. If a member of management is removed from their position to address an emergency, there should be another individual trained and competent to step into the position to ensure the organization continues to function as designed. This could even take place when the individual is away for other reasons. Common sense must prevail; processes need to be workable and tailored for the operation. In other words, do not over think it!
3.3.5.5 Considerations for Small and Single-Individual Organizations.
3.3.5.5.1 Single-pilot operations and single-individual organizations pose unique situations when implementing an SMS. As a result of these factors, the following regulatory section is excepted from the implementation requirements for organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of aircraft:
Section 5.27: Where emergency response procedures are necessary, any person required to have an SMS under this part must develop, and the accountable executive must approve as part of the safety policy, an emergency response plan that addresses at least the following:
(a) Delegation of emergency authority throughout the person’s organization.
(b) Assignment of employee responsibilities during the emergency.
3.3.5.5.2 Effective communication of safety information is important, even in a single-pilot organization. In an organization with a single pilot or single individual, the communication focus may be outside the organization
(e.g., regular communication with aviation system stakeholders, industry associations, clients, the FAA, and other organizations). Interfacing with maintenance, fixed-based operators, and flight followers (if one is used) all
3-26 require communication so they are aware of the aviation organization’s activities. This will aid in scheduling support activities as well as having someone keep an eye out in case plans do not go as predicted. In a single-pilot or single-individual organization, this could be met by simply filing flight plans with air traffic control (ATC) or leaving an envelope with emergency contact information at the local Fixed-Base Operator (FBO) if the aircraft does not return on time.
3.4 Subpart C, S afety Risk Management.
3.4.1 Applicability: Requirements to Apply SRM.
3.4.1.1 References. Section 5.51.
3.4.1.2 Part 5 Requirement.
§ 5.51, Applicability.
Any person required to have an SMS under this part must apply safety risk management to the following:
(a) Implementation of new systems.
(b) Revision of existing systems.
(c) Development of operational procedures.
(d) Identification of hazards or ineffective risk controls through the safety assurance processes in subpart D of this part.
3.4.1.3 Discussion. To know when an SRM process may be required, it is important to know what a system is. Systems could be people, hardware, software, information, procedures, facilities, services, and other support facets that are directly related to the organization’s aviation safety activities. Examples of broad-based systems could include:
• Flight operations,
• Operational control (dispatch/flight following),
• Maintenance and inspection,
• Cabin safety,
• Ground handling and servicing,
• Cargo handling, and
• Training.
3.4.1.3.1 Within an aviation organization’s systems, there are subsystems related to aviation safety. Some examples of subsystems include crew scheduling systems, training curricula, maintenance control, component shops, deicing, fueling, aircraft fleet, ground operations, and HAZMAT training.