22 

14 CFR Ch. I (1–1–24 Edition) 

§ 3.205 

modifying, suspending, or revoking any 
certificate or part of a certificate 
issued by the FAA. 

§ 3.205

Effect of Transportation Secu-

rity Administration notification on 
applications by individuals for a 
certificate or any part of a certifi-
cate. 

(a) When the TSA notifies the FAA 

that an individual who has applied for 
a certificate or any part of a certificate 
issued by the FAA poses, or is sus-
pected of posing, a risk of air piracy or 
terrorism or a threat to airline or pas-
senger safety, the FAA will hold the in-
dividual’s certificate applications in 
abeyance pending further notification 
from the TSA. 

(b) When the TSA notifies the FAA 

that the TSA has made a final security 
threat determination regarding an in-
dividual, the FAA will deny all the in-
dividual’s certificate applications. Al-
ternatively, if the TSA notifies the 
FAA that it has withdrawn its security 
threat determination, the FAA will 
continue processing the individual’s 
applications. 

PART 5—SAFETY MANAGEMENT 

SYSTEMS 

Subpart A—General 

Sec. 
5.1

Applicability. 

5.3

General requirements. 

5.5

Definitions. 

Subpart B—Safety Policy 

5.21

Safety policy. 

5.23

Safety accountability and authority. 

5.25

Designation and responsibilities of re-

quired safety management personnel. 

5.27

Coordination of emergency response 

planning. 

Subpart C—Safety Risk Management 

5.51

Applicability. 

5.53

System analysis and hazard identifica-

tion. 

5.55

Safety risk assessment and control. 

Subpart D—Safety Assurance 

5.71

Safety performance monitoring and 

measurement. 

5.73

Safety performance assessment. 

5.75

Continuous improvement. 

Subpart E—Safety Promotion 

5.91

Competencies and training. 

5.93

Safety communication. 

Subpart F—SMS Documentation and 

Recordkeeping 

5.95

SMS documentation. 

5.97

SMS records. 

A

UTHORITY

: Pub. L. 111–216, sec. 215 (Aug. 1, 

2010); 49 U.S.C. 106(f), 106(g), 40101, 40113, 
40119, 41706, 44101, 44701–44702, 44705, 44709– 
44711, 44713, 44716–44717, 44722, 46105. 

S

OURCE

: 80 FR 1326, Jan. 8, 2015, unless oth-

erwise noted. 

Subpart A—General 

§ 5.1

Applicability. 

(a) A certificate holder under part 119 

of this chapter authorized to conduct 
operations in accordance with the re-
quirements of part 121 of this chapter 
must have a Safety Management Sys-
tem that meets the requirements of 
this part and is acceptable to the Ad-
ministrator by March 9, 2018. 

(b) A certificate holder must submit 

an implementation plan to the FAA 
Administrator for review no later than 
September 9, 2015. The implementation 
plan must be approved no later than 
March 9, 2016. 

(c) The implementation plan may in-

clude any of the certificate holder’s ex-
isting programs, policies, or procedures 
that it intends to use to meet the re-
quirements of this part, including com-
ponents of an existing SMS. 

[80 FR 1326, Jan. 8, 2015, as amended at 80 FR 
1584, Jan. 13, 2015] 

§ 5.3

General requirements. 

(a) Any certificate holder required to 

have a Safety Management System 
under this part must submit the Safety 
Management System to the Adminis-
trator for acceptance. The SMS must 
be appropriate to the size, scope, and 
complexity of the certificate holder’s 
operation and include at least the fol-
lowing components: 

(1) Safety policy in accordance with 

the requirements of subpart B of this 
part; 

(2) Safety risk management in ac-

cordance with the requirements of sub-
part C of this part; 

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