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14 CFR Ch. I (1–1–19 Edition) 

§ 5.1 

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; 

(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. 

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