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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FAA that it has withdrawn its security 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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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. 

(c) The Safety Management System 

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. 

(c) The safety policy must be docu-

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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