24 

14 CFR Ch. I (1–1–19 Edition) 

§ 5.27 

(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 

(c) Coordination of the certificate 

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. 

§ 5.53

System analysis and hazard 

identification. 

(a) When applying safety risk man-

agement, the certificate holder must 
analyze the systems identified in § 5.51. 
Those system analyses must be used to 
identify hazards under paragraph (c) of 
this section, and in developing and im-
plementing risk controls related to the 
system under § 5.55(c). 

(b) In conducting the system anal-

ysis, the following information must be 
considered: 

(1) Function and purpose of the sys-

tem. 

(2) The system’s operating environ-

ment. 

(3) An outline of the system’s proc-

esses and procedures. 

(4) The personnel, equipment, and fa-

cilities necessary for operation of the 
system. 

(c) The certificate holder must de-

velop and maintain processes to iden-
tify hazards within the context of the 
system analysis. 

§ 5.55

Safety risk assessment and con-

trol. 

(a) The certificate holder must de-

velop and maintain processes to ana-
lyze safety risk associated with the 
hazards identified in § 5.53(c). 

(b) The certificate holder must define 

a process for conducting risk assess-
ment that allows for the determination 
of acceptable safety risk. 

(c) The certificate holder must de-

velop and maintain processes to de-
velop safety risk controls that are nec-
essary as a result of the safety risk as-
sessment process under paragraph (b) 
of this section. 

(d) The certificate holder must evalu-

ate whether the risk will be acceptable 
with the proposed safety risk control 
applied, before the safety risk control 
is implemented. 

Subpart D—Safety Assurance 

§ 5.71

Safety performance monitoring 

and measurement. 

(a) The certificate holder must de-

velop and maintain processes and sys-
tems to acquire data with respect to its 
operations, products, and services to 
monitor the safety performance of the 
organization. These processes and sys-
tems must include, at a minimum, the 
following: 

(1) Monitoring of operational proc-

esses. 

(2) Monitoring of the operational en-

vironment to detect changes. 

(3) Auditing of operational processes 

and systems. 

(4) Evaluations of the SMS and oper-

ational processes and systems. 

(5) Investigations of incidents and ac-

cidents. 

(6) Investigations of reports regard-

ing potential non-compliance with reg-
ulatory standards or other safety risk 
controls established by the certificate 
holder through the safety risk manage-
ment process established in subpart C 
of this part. 

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