title-14-part-5-sec5-23

Federal Aviation Administration, DOT

§ 5.23

(3) Safety assurance in accordance

with the requirements of subpart D of
this part; and

(4) Safety promotion in accordance

with the requirements of subpart E of
this part.

(b) The Safety Management System

must be maintained in accordance with
the recordkeeping requirements in sub-
part F of this part.

must ensure compliance with the rel-
evant regulatory standards in chapter I
of Title 14 of the Code of Federal Regu-
lations.

§ 5.5

Definitions.

Hazard means a condition that could

foreseeably cause or contribute to an
aircraft accident as defined in 49 CFR
830.2.

Risk means the composite of pre-

dicted severity and likelihood of the
potential effect of a hazard.

Risk control means a means to reduce

or eliminate the effects of hazards.

Safety assurance means processes

within the SMS that function system-
atically to ensure the performance and
effectiveness of safety risk controls
and that the organization meets or ex-
ceeds its safety objectives through the
collection, analysis, and assessment of
information.

Safety Management System (SMS)

means the formal, top-down, organiza-
tion-wide approach to managing safety
risk and assuring the effectiveness of
safety risk controls. It includes sys-
tematic procedures, practices, and poli-
cies for the management of safety risk.

Safety objective means a measurable

goal or desirable outcome related to
safety.

Safety performance means realized or

actual safety accomplishment relative
to the organization’s safety objectives.

Safety policy means the certificate

holder’s documented commitment to
safety, which defines its safety objec-
tives and the accountabilities and re-
sponsibilities of its employees in re-
gards to safety.

Safety promotion means a combina-

tion of training and communication of
safety information to support the im-
plementation and operation of an SMS
in an organization.

Safety Risk Management means a proc-

ess within the SMS composed of de-
scribing the system, identifying the
hazards, and analyzing, assessing and
controlling risk.

Subpart B—Safety Policy

§ 5.21

Safety policy.

(a) The certificate holder must have

a safety policy that includes at least
the following:

(1) The safety objectives of the cer-

tificate holder.

(2) A commitment of the certificate

holder to fulfill the organization’s safe-
ty objectives.

(3) A clear statement about the pro-

vision of the necessary resources for
the implementation of the SMS.

(4) A safety reporting policy that de-

fines requirements for employee re-
porting of safety hazards or issues.

(5) A policy that defines unacceptable

behavior and conditions for discipli-
nary action.

(6) An emergency response plan that

provides for the safe transition from
normal to emergency operations in ac-
cordance with the requirements of
§ 5.27.

(b) The safety policy must be signed

by the accountable executive described
in § 5.25.

mented and communicated throughout
the certificate holder’s organization.

(d) The safety policy must be regu-

larly reviewed by the accountable exec-
utive to ensure it remains relevant and
appropriate to the certificate holder.

§ 5.23

Safety accountability and au-

thority.

(a) The certificate holder must define

accountability for safety within the or-
ganization’s safety policy for the fol-
lowing individuals:

(1) Accountable executive, as de-

scribed 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 safe-

ty risk controls.

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14 CFR Ch. I (1–1–24 Edition)

§ 5.25

(iii) Promoting safety as required in

subpart E of this part.

(iv) Advising the accountable execu-

tive on the performance of the SMS
and on any need for improvement.

(3) Employees relative to the certifi-

cate holder’s safety performance.

(b) The certificate holder must iden-

tify the levels of management with the
authority to make decisions regarding
safety risk acceptance.

§ 5.25

Designation and responsibilities

of required safety management per-
sonnel.

(a)

Designation of the accountable exec-

utive. The certificate holder must iden-
tify an accountable executive who, ir-
respective of other functions, satisfies
the following:

(1) Is the final authority over oper-

ations authorized to be conducted
under the certificate holder’s certifi-
cate(s).

(2) Controls the financial resources

required for the operations to be con-
ducted under the certificate holder’s
certificate(s).

(3) Controls the human resources re-

quired for the operations authorized to
be conducted under the certificate
holder’s certificate(s).

(4) Retains ultimate responsibility

for the safety performance of the oper-
ations conducted under the certificate
holder’s certificate.

(b)

Responsibilities of the accountable

executive. The accountable executive
must accomplish the following:

(1) Ensure that the SMS is properly

implemented and performing in all
areas of the certificate holder’s organi-
zation.

(2) Develop and sign the safety policy

of the certificate holder.

(3) Communicate the safety policy

throughout the certificate holder’s or-
ganization.

(4) Regularly review the certificate

holder’s safety policy to ensure it re-
mains relevant and appropriate to the
certificate holder.

(5) Regularly review the safety per-

formance of the certificate holder’s or-
ganization and direct actions necessary
to address substandard safety perform-
ance in accordance with § 5.75.

(c)

Designation of management per-

sonnel. The accountable executive must

designate sufficient management per-
sonnel who, on behalf of the account-
able executive, are responsible for the
following:

(1) Coordinate implementation,

maintenance, and integration of the
SMS throughout the certificate hold-
er’s organization.

(2) Facilitate hazard identification

and safety risk analysis.

(3) Monitor the effectiveness of safe-

ty risk controls.

(4) Ensure safety promotion through-

out the certificate holder’s organiza-
tion as required in subpart E of this
part.

(5) Regularly report to the account-

able executive on the performance of
the SMS and on any need for improve-
ment.

§ 5.27

Coordination of emergency re-

sponse planning.

Where emergency response proce-

dures are necessary, the certificate
holder must develop and the account-
able executive must approve as part of
the safety policy, an emergency re-
sponse plan that addresses at least the
following:

(a) Delegation of emergency author-

ity throughout the certificate holder’s
organization;

(b) Assignment of employee respon-

sibilities during the emergency; and

holder’s emergency response plans with
the emergency response plans of other
organizations it must interface with
during the provision of its services.

Subpart C—Safety Risk

Management

§ 5.51

Applicability.

A certificate holder must apply safe-

ty risk management to the following:

(a) Implementation of new systems.
(b) Revision of existing systems.
(c) Development of operational proce-

dures.

(d) Identification of hazards or inef-

fective risk controls through the safety
assurance processes in subpart D of
this part.