14 CFR Part 5

Primary Applicability: This part applies to the following persons:

• A certificate holder with a certificate issued under part 119 conducting operations under part 121
• A person who holds both a type certificate and production certificate for the same product

Exceptions: Certain requirements do not apply to single-pilot operations where one person performs all functions. Specific exceptions include sections related to:

• Communication processes requiring multiple personnel
• Training programs for management structure
• Organizational accountability beyond individual responsibility

This regulation applies to:

• Certificate holders conducting Part 121 operations
• Organizations holding both Type Certificate and Production Certificate for the same product

See Applicability tab for complete details and implementation timelines.

(a) SMS Components: An SMS under this part must be appropriate to the size, scope, and complexity of the organization and include all of the following components:

• Safety policy that meets the requirements of Subpart B
• Safety risk management that meets the requirements of Subpart C
• Safety assurance that meets the requirements of Subpart D
• Safety promotion that meets the requirements of Subpart E

(b) Continuing Requirements: Any person required to develop and implement an SMS under this part must maintain the SMS in accordance with this part.

The safety policy must include the following elements:

• The organization's safety objectives
• Commitment to fulfill safety objectives
• Commitment to provide necessary resources for SMS implementation
• Safety reporting policy defining employee reporting requirements
• Policy defining unacceptable behavior and disciplinary actions
• Emergency response plan for transition from normal to emergency operations
• Code of ethics applicable to all employees clarifying safety as highest priority

Organizations must define accountability for safety including:

• Accountable executive responsibilities
• Designated management personnel roles
• Clear lines of safety accountability throughout the organization

The accountable executive must:

• Have ultimate responsibility for safety performance
• Be accountable for SMS implementation and maintenance
• Designate sufficient management personnel
• Ensure adequate resources for SMS operation
• Regularly review safety performance

SMS must coordinate emergency response planning to ensure safe transition from normal to emergency operations.

Safety risk management must be applied to:

• Implementation of new systems
• Revisions to existing systems
• Development of operational procedures
• Identification of hazards through safety assurance processes

Organizations must:

• Analyze systems to understand their function and purpose
• Identify hazards within the context of system analysis
• Develop processes for ongoing hazard identification
• Consider both individual system hazards and system interfaces

Required processes include:

• Analyze safety risk associated with identified hazards
• Define process for conducting risk assessment
• Develop safety risk controls as necessary
• Evaluate acceptability of risk with proposed controls
• Implement controls only after determining risk acceptability

If a person required to have an SMS under this part identifies a hazard in the operating environment, the person must provide notice of the hazard to any interfacing person that, to the best of the person's knowledge, could address the hazard or mitigate the risk.

Interfacing Persons: Those that contribute to the safety of the certificate or Letter of Authorization holder's aviation-related products and services.

Added by Amendment 5-2, effective April 26, 2024

Organizations must develop processes and systems to acquire data including:

• Monitoring of operational environment to detect changes
• Auditing of operational processes and systems
• Evaluations of SMS and operational processes
• Investigations of incidents and accidents
• Investigations of potential non-compliance reports
• Confidential employee reporting system

Conduct assessments of safety performance against safety objectives through:

• Reviews by the accountable executive
• Ensuring compliance with established safety risk controls
• Identifying ineffective controls or new hazards
• Evaluating the effectiveness of SMS implementation

Establish processes to correct safety performance deficiencies identified through assessments.

Provide training to individuals identified in § 5.23 to ensure they attain and maintain competencies necessary to perform SMS-related duties.

Develop and maintain means for communicating safety information that:

• Ensures employees are aware of SMS policies, processes, and tools relevant to their responsibilities
• Conveys hazard information relevant to employee responsibilities
• Explains actions taken to address safety concerns
• Provides feedback on safety performance and improvement initiatives

Develop and maintain SMS documentation including:

• Safety policy and objectives
• SMS requirements and procedures
• Responsibilities and authorities for key safety personnel
• Methods and procedures for hazard identification and risk management
• Training requirements and records
• Documentation of SMS processes and activities

Maintain records demonstrating SMS implementation and performance:

• Safety performance monitoring and measurement records
• Hazard identification and risk assessment records
• Risk control implementation records
• Safety assurance records including audits and assessments
• Training records for safety personnel
• Safety communication and reporting records