Assessments and Audits

Q4.  With the introduction of SMS, who is responsible for performing the risk analysis?

Up to the point of identifying the root causes and contributory factors, the risk analysis may be performed by knowledgeable staff from any part of the organization. Large and multi-disciplinary organizations may have a specialist analysis unit devoted to this activity. Alternatively, the analysis can be done by the functional department directly affected.

Determination of the corrective action however, must be done under the authority of the applicable functional head. For example in the case of an Approved Maintenance Organization (AMO), that will be the person responsible for maintenance, and in the case of an Air Operator, it will be the Director of Flight Operations. The authority may be delegated to a subordinate manager, but the functional head remains responsible for the process.

Under no circumstances should the unit that will be responsible for follow-up or audit of the corrective action be involved in its selection. This exclusion is necessary to avoid a conflict of interest and ensure that future evaluation of the effectiveness of the action taken is not compromised by preconceptions about the correctness of the action taken.

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