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FAA that it has withdrawn its security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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§ 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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