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3.3 Subpart B, Safety Policy.
3.3.1 Safety Policy.
3.3.1.1 References. Section 5.21.
3.3.1.2 Part 5 Requirement.
§ 5.21, Safety policy.
(a) Any person required to have an SMS under this part must have a safety policy that includes at least the following:
(1) The person’s safety objectives.
(2) The person’s commitment to fulfill the safety objectives.
(3) A clear statement about the provision of the necessary resources for the implementation of the SMS.
(4) A safety reporting policy that defines requirements for employee reporting of safety hazards or issues.
(5) A policy that defines unacceptable behavior and conditions for disciplinary action.
(6) An emergency response plan that provides for the safe transition from normal to emergency operations in accordance with the requirements of § 5.27.
(7) A code of ethics that is applicable to all employees, including management personnel and officers, which clarifies that safety is the organization’s highest priority.
(b) The safety policy must be signed by the accountable executive described in § 5.25.
(c) The safety policy must be documented and communicated throughout the person’s organization.
(d) The safety policy must be regularly reviewed by the accountable executive to ensure it remains relevant and appropriate to the person.
3.3.1.3 Discussion. Part 5 requires aviation organizations to document their safety policy (where required). Many aviation organizations do this by using several documents to meet the requirements of this section. One technique used is to develop a safety policy and code of ethics statement, which is a concise document from the accountable executive that conveys the organization’s basic commitments to safety management. This document must include a code of ethics that specifies that safety is the organization’s highest priority and applies to all employees, including management personnel and officers. The safety policy and code of ethics statement should be viewed as a promotional document as it conveys the executive management’s commitment to safety and the organizational goals in communications to the workforce in a short one- or two-page document. It provides the basis for a more detailed setting of objectives for planning and performance measurement, assignment of responsibilities, and confidential hazard reporting, including clear statements regarding behavioral and performance expectations. Appendix C provides guidance on the development of a safety policy and code of ethics statement.
3.3.1.3.1 The safety policy and code of ethics statement may need to be supported by additional documentation that expands in some areas and, where applicable,
3-12 sets out specific organizational objectives and procedures. For aviation organizations not required to maintain manuals, the safety policy and code of ethics statement could be integrated into a compliance statement discussing how the organization meets the requirements. Some of these areas are the emergency response plan (ERP) and procedures for accessing and using the confidential hazard reporting program.
3.3.1.3.2 Section 5.21(a)(1) requires aviation organizations to develop safety objectives as part of their safety policy. Safety objectives should be measurable and not just inspirational statements, such as “We will strive to be the best,” “We will maintain a zero-accident rate,” etc. They may be based off key performance indicators or safety performance indicators and tracked by the safety assurance component of the organization’s SMS to ensure the organization’s objectives are being met. A technique that may work is to list the organization’s goals in the policy and point to the measurable safety objectives that support the goal(s) if they are located in another place in your manual system (if required).
3.3.1.3.3 The assessment process required by § 5.73 is where decisions are made regarding attainment of these objectives. In setting these objectives, this is a case where “starting with the end in sight” is sound advice.
3.3.1.3.4 O bjectives can fall into a number of categories, including:
1. Compliance with regulations. Compliance with all applicable FAA regulations is an expectation for all aviation organizations, and assurance of such compliance is an explicit requirement of the SMS (refer to § 5.71(a)(6)).
2. Milestones for implementation of safety-related programs or initiatives.
This is a good area for development of safety objectives, which are measurable and provide early successes that can be shared with the workforce.
3. Reduction of error or incident rates. This is also an area that is easily monitored, and success can be identified and shared with the workforce.
4. Increased employee involvement through hazard or incident reporting programs.
5. Tracking of safety events. Certain events such as aircraft ground damage, pilot deviations (PD), Weight and Balance (W&B) errors, or maintenance errors may be targets for safety objectives and associated tracking and action. One caution with these types of measures is not to lose focus on risk factors that may be associated with potentially more serious events.
3.3.1.3.5 A key consideration for scalability of safety objectives is the relevance and achievability for the size and complexity of the organization. The most effective safety objectives are those setting specific safety goals reflecting the
3-13 organization’s safety vision and the management’s commitment to the systematic management of safety. In order for their effectiveness to be measured, safety objectives should be SMART,5 which means they should be:
5 The first known use of the term occurs in the November 1981 issue of Management Review by George T. Doran.
Sp ecific, Measurable, Achievable, Relevant, and Timely.
3.3.1.3.6 Aviation organizations must have documentation (where required) that defines the requirements for employee reporting of safety hazards or issues. Processes and procedures describing how this is to be accomplished must also be included in the documentation.
3.3.1.3.7 Unacceptable behavior and conditions for disciplinary action also need to be documented (where appropriate). Aviation organizations should explain that gross negligence or deliberate misconduct are not protected behaviors and will not be tolerated. This may be documented in their SMS processes and procedures or could be located elsewhere, such as in a human resources manual. In any case, employees need to be made aware of where this policy can be located.
3.3.1.3.8 Aviation organizations must develop an ERP, which ensures normal SMS functions and risk acceptance continues when key personnel are removed from their normal risk management positions. This should include a line of succession, where required, of management authority sufficient to respond to emergencies. This plan should also address transition to normal operations after the emergency condition subsides. Additional discussion is located in paragraph 3.3.5.
3.3.1.3.9 The safety policy must include a code of ethics that specifies that safety is the organization’s highest priority and applies to all employees, including management personnel and officers. This requirement, while originally mandated for manufacturers under the Aircraft Certification Safety and Accountability Act of 2020, has been applied to all aviation organizations that are required to have an SMS that meets part 5 requirements. For additional discussion on how to develop a safety policy and code of ethics statement, see Appendix C.
3.3.1.3.10 Part 5 requires the accountable executive to sign the safety policy and code of ethics statement. This may be accomplished by signing the safety policy and code of ethics statement, safety policy processes and procedures, or both. A signature on one or both documents is indicative of the accountable executive meeting this requirement. If the safety policy and code of ethics statement is
3-14 incorporated into a compliance statement, the accountable executive must sign the compliance statement to meet the requirements of § 5.25(b)(2).
3.3.1.3.11 Aviation organizations are required to have documented processes and procedures describing how safety policy is communicated throughout the organization. This could be accomplished by inserting the safety policy and code of ethics statement in an employee handbook or another manual or making it available through computer-based documentation. Irrespective of how the aviation organization decides to communicate the safety policy, they need to ensure all employees engaged in the aviation service or product are aware of the organization’s safety policy.
3.3.1.3.12 Part 5 does not define the term “regularly” when it comes to the periodic review of the safety policy. It is expected that the aviation organization will determine and document an interval that is appropriate for the size and complexity of the operation. The accountable executive is required to review the safety policy and safety objectives to ensure they remain relevant (§§ 5.21(d) and 5.25(b)(4)). There should be evidence showing this review has been accomplished in the aviation organization’s records.
3.3.1.4 Implementation Strategies. The safety policy and code of ethics statement requirements are not expected to vary between aviation organizations;
however, the processes and procedures described in § 5.95 SMS documentation and how they are documented could vary due to the complexity of the processes being described. The safety policy and code of ethics statement could be a part of the organization’s safety manual or included in other existing documentation or manuals. For aviation organizations not required to maintain manuals, it could be integrated into a compliance statement discussing how the organization meets the requirements. Under part 5, the safety policy and SMS processes and procedures only need to be documented.
3.3.1.4.1 When developing organizational goals and objectives, both financial and time resources can be limited, so the focus should be where resources will have the greatest safety benefit. This may be achieved by focusing safety goals on the top one, two, or three risks from the organization’s safety risk profile. In other words, focus on those things that keep you up at night.
3.3.1.4.2 Confidential reporting is an important part of encouraging a safety reporting culture in all organizations. Employees should know they can speak up because their personal information and reports are provided a level of protection. The practicality of this is obviously more difficult in a small organization where everybody often knows everybody’s business. If a just reporting culture is not in place, reporting may be limited because of the difficulty of ensuring confidentiality in a small organization. While not prohibited by the regulation, anonymous reporting does not allow the aviation
3-15 organization the ability to get additional information concerning the hazard or incident since the ability to reach out to the reporter is lost.
3.3.1.5 Considerations for Small and Single-Individual Organizations. The following part 5 requirements are excepted for single-pilot organizations.
1. Section 5.21(a)(4): A safety reporting policy that defines requirements for employee reporting of safety hazards or issues.
2. Section 5.21(a)(5): A policy that defines unacceptable behavior and conditions for disciplinary action.
3. Section 5.21(c): The safety policy must be documented and communicated throughout person’s organization.
3.3.1.5.1 Single-individual organizations will not have a confidential reporting program; however, they should have a way of recording and managing (§ 5.55) hazards they identify in the course of operations.
3.3.1.5.2 A single-individual organization is not required to have a process to communicate safety information throughout the aviation organization.
3.3.1.6 Examples. The following examples demonstrate ways aviation organizations might choose to implement §5.21(c) based on where the aviation organization may fall on the spectrum of size or complexity. The following are examples only and are not the only ways the requirements could be met.
3.3.1.6.1 For smaller, lower complexity organizations, the owner or most senior manager (the accountable executive) may personally perform this process.
The policy statement can be a simple, often single-page, written document signed by the accountable executive. Small organizations typically operate in smaller networks of employees, so the policy may be posted in the organization’s work areas or included in organizational briefings or in training.
3.3.1.6.2 Aviation organizations on the higher end of the spectrum of complexity may require senior managers and technical staff to perform this process in addition to the accountable executive. While the regulations only require the accountable executive to sign the safety policy and code of ethics statement, members of senior management may also sign the safety policy and code of ethics statement. Large or highly complex aviation organizations may choose to disseminate their policy using a variety of resources, such as organizational websites, intranets, email, or existing indoctrination and recurrent training.
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3.3.2 Safety Accountability and Authority.
3.3.2.1 References. Sections 5.23, 119.65, and 119.67; 14 CFR part 125, § 125.25;
part 133, § 133.21; part 137, § 137.41; part 141, § 141.33; part 142, § 142.13;
and part 145, § 145.151.
3.3.2.2 Part 5 Requirement.
§ 5.23, Safety accountability and authority.
(a) Any person required to have an SMS under this part must define in its safety policy the accountability for safety of the following individuals:
(1) Accountable executive, as described 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 safety risk controls.
(iii) Promoting safety as required in subpart E of this part.
(iv) Advising the accountable executive on the performance of the SMS and on any need for improvement.
(3) Employees relative to the person’s safety performance.
(b) The person must identify the levels of management with the authority to make decisions regarding safety risk acceptance.
3.3.2.3 Discussion. “Accountability,” as used in this requirement, refers to active management and line employee involvement and actions in managing and maintaining organizational safety performance. An aviation organization demonstrates accountability by ensuring each of its employees are aware of their specific role within the SMS and that they actively participate in accomplishing their SMS-related duties. Once the SMS requirements for the employee positions have been established, part 5 subpart E requires that these requirements be communicated throughout the organization. The safety accountability process requires the aviation organization to define duties and responsibilities for achieving safety performance objectives within the organization’s safety policy for the following individuals.
3.3.2.3.1 A ccountable Executive. The accountable executive has the ultimate responsibility for safety management within the organization. The specific duties of the accountable executive are discussed in more detail in paragraph 3.3.3.3.
3.3.2.3.2 All Members of Management. Managers, who may also be process owners, are the individuals who are responsible for identifying hazards, conducting risk assessments, and developing risk controls for their areas of responsibility.
They have the technical expertise and are the ones responsible for the implementation and operation of risk controls (often in the form of operational procedures, specified tools, training, communication, etc.). Process owners may not always be in a regulatorily required position as required by
3-17 §§ 119.65, 119.69, and 145.151 and might not appear on an organizational chart. Process owners, such as a battery shop manager or cargo manager, may have the technical expertise to manage the processes and procedures, and, if so, they would be able to accept risk in their functional area. A key element in the SRM process is to identify the levels of management with the authority to make risk decisions related to aviation safety. Thus, managers that have the authority to implement changes in systems and procedures should use the SMS processes in managing their area of operational responsibility. They are also responsible for ensuring the continuing operational safety of risk controls.
Through data collection methods and analytical processes in the safety assurance component, managers are able to determine that risk controls are effective and that their safety performance is acceptable. For example, the Director of Maintenance (DOM) is one of the managers accountable for SMS within their area of responsibility.
3.3.2.3.3 Em ployees. All employees should be aware of the organization’s safety policies as well as the processes, procedures, and tools relevant to their responsibilities. They need to know how the confidential employee reporting system works. Employees at all levels of the organization have a responsibility to report hazards, issues, and concerns related to aviation safety as well as to propose solutions and safety improvements. Employees have a duty and responsibility to follow an organization’s processes and procedures.
3.3.2.4 Im plementation Strategies. The method for meeting these requirements could vary greatly between different organizations. The numbers and relationships of personnel will be unique to each organization, and the organizational structure and accountability should be appropriate to the aviation organization.
3.3.2.4.1 Aviation organizations are required to define the duties and responsibilities of the accountable executive. The accountable executive has the ultimate responsibility for safety management within the organization. The specific duties of the accountable executive are defined in § 5.25.
3.3.2.4.2 Aviation organizations need to define the duties and responsibilities of management (process owners) in their areas of the operation.
3.3.2.4.3 All employee safety-related duties and responsibilities must be documented (where required). They could be located in the safety manual or in another organizational document. The SMS documentation should point to where the requirement is located if it is in a place other than the safety documentation.
3.3.2.4.4 A key element in the SRM process is to identify the levels of management with the authority to make risk decisions related to aviation safety. The positions identified must have the knowledge and skills to determine the acceptability of risk in their functional areas. Managers that have the authority
3-18 to implement changes in systems and procedures should use the SMS processes in managing risk in their area of operational responsibility.
3.3.2.4.5 Accountability for all employees directly involved in delivering the aviation organization’s product or service should be defined. Employees at all levels of the organization have a responsibility to report hazards, issues, and concerns as well as to propose solutions and safety improvements. Employees have a duty and responsibility to follow an organization’s processes and procedures.
3.3.2.4.6 In single-individual organizations, the personnel structure will be very simple and consist of the person in charge being the accountable executive, who is responsible for ensuring all required duties and activities are accomplished. In a small organization, other management personnel should be identified since they would have a role in how the organization is managed on a day-to-day basis.
3.3.2.5 Considerations for Small and Single-Individual Organizations. The following part 5 requirements are excepted for single-pilot organizations:
1. Section 5.23(a)(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 safety risk controls.
(iii) Promoting safety as required in subpart E of this part.
(iv) Advising the accountable executive on the performance of the SMS and on any need for improvement.
2. Section 5.23(a)(3): Employees relative to the person’s safety performance.
3. Section 5.23(b): The person must identify the levels of management with the authority to make decisions regarding safety risk acceptance.
3.3.2.5.1 In single-individual organizations, this structure will be very simple and consist of the sole individual being the accountable executive and assuming the various roles and responsibilities, which would normally be assigned to other members of management. The single individual would also be responsible for accepting all risks associated with the aviation organization’s products or services.
3.3.2.5.2 As their organizational duties change, which could happen many times during the day, the single individual could be said to be changing hats as their role changes as they manage the activities required in § 5.23.
3.3.3 D esignation and Responsibilities of Required Safety Management Personnel.
3.3.3.1 References. Section 5.25(a) and (b).
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3.3.3.2 Part 5 Requirement.
§ 5.25, Designation and responsibilities of required safety management personnel.
(a) Designation of the accountable executive. Any person required to have an SMS under this part must identify an accountable executive who, irrespective of other functions, satisfies the following:
(1) Is the final authority over operations authorized to be conducted under the person’s certificate(s) or Letter(s) of Authorization.
(2) Controls the financial resources required for the operations to be conducted under the person’s certificate(s) or Letter(s) of Authorization.
(3) Controls the human resources required for the operations authorized to be conducted under the person’s certificate(s) or Letter(s) of Authorization.
(4) Retains ultimate responsibility for the safety performance of the operations conducted under the person’s certificate(s) or Letter(s) of Authorization.
(b) Responsibilities of the accountable executive. The accountable executive must accomplish the following:
(1) Ensure that the SMS is properly implemented and is performing across all pertinent areas.
(2) Develop and sign the safety policy.
(3) Communicate the safety policy throughout the person’s organization.
(4) Regularly review the safety policy to ensure it remains relevant and appropriate to the person.
(5) Regularly review the safety performance and direct actions necessary to address substandard safety performance in accordance with § 5.75.
3.3.3.3 Discussion.
3.3.3.3.1 D esignation.
3.3.3.3.1.1 Section 5.25(a) requires the organization to identify an individual in the organization to be the accountable executive who holds the ultimate decision-making authority over the organization’s aviation-related operations. The accountable executive is responsible for planning, organizing, directing, and controlling the personnel, organizational structure, financial, and other resources necessary for safe operations. A flowchart outlining a process for designating an accountable executive is available in Appendix E, Identifying the Accountable Executive.
3.3.3.3.1.2 When identifying the accountable executive, it is very important t o select an individual in the organization who holds the ultimate decision-making authority over the aviation organization’s operations. This individual is responsible for planning, organizing, directing, and controlling the personnel, organizational structure, financial, and other resources necessary for safe operations. The organizational job title is not important when making this determination but rather the individual’s
3-20 responsibility to ensure appropriate resources are available and to accept risk for and oversee the aviation product or service.
3.3.3.3.2 R esponsibilities. As the ultimate authority in the organization, the accountable executive is responsible for the proper functioning of the SMS. This entails, among other things, keeping an open line of communication with the designated management personnel, providing sufficient resources for the SMS to function properly, and being actively involved in the safety assurance component of the SMS.
3.3.3.3.2.1 If an aviation organization chooses to integrate the safety policy an d code of ethics statement into a compliance statement, the accountable executive must sign the compliance statement to meet the requirements of § 5.25(b)(2). One way the aviation organization could define accountability for the accountable executive is by listing the duties and responsibilities identified in § 5.25 in a position description. These may be located in the SMS safety policy documentation or in another organizational manual, such as a human resources manual. If the duties and responsibilities are documented elsewhere, the safety policy should point to the location where they can be located. Smaller organizations could point to the regulatory requirements in § 5.25(b).
3.3.3.3.2.2 The accountable executive should maintain open lines of communication with the designated management personnel to ensure any identified hazards or issues are effectively communicated throughout the organization. Communicating the safety policy and code of ethics could be through publication of the safety policy statement in documentation employees have access to. It could also include periodic meetings where organizational information concerning the safety policy is shared with employees by the accountable executive and management.
3.3.3.3.2.3 The accountable executive must regularly review the safety performance of the organization. There should be documentation to show that it has occurred. The term “regularly” is not defined to specify an interval. Reviews should occur frequently enough for issues within the organization’s processes and procedures to be identified and corrected in a timely manner. This will vary based on the aviation organization’s size, scope, and complexity.
3.3.3.3.2.4 The accountable executive should designate sufficient management personnel to provide support for essential SMS functions, such as performing analysis, assisting operational managers in meeting their safety management responsibilities, and acting as a safety advisor to the accountable executive.
3-21 Personnel designated to perform this function should be in positions in the organization of sufficient independence to have direct access to the accountable executive to report on the safety performance of the operation and ability to recommend any necessary improvements. These individuals should be highly knowledgeable on the SMS and able to assist the process owners and functional area managers in accomplishing their SMS duties and responsibilities. This is not to say the management personnel are expected to accept risk in the functional areas, as they may not be the most qualified. The organization is not expected to add employees to fill this position either. These tasks could be accomplished by existing management personnel.
3.3.3.4 Implementation Strategies. The accountable executive is responsible for ensuring that sufficient management personnel are clearly designated for ensuring the safety of operational and SMS processes. When management personnel are designated, consideration should be given to ensure they are properly trained and qualified to perform the duties required of the position.
3.3.3.4.1 In smaller organizations, the accountable executive may directly supervise operational processes. This individual may serve in multiple positions within the organization.
3.3.3.4.2 It is unlikely that small organizations will have the resources for a designated representative to monitor the effectiveness of the SMS as a full-time position.
A small organization may add the safety manager duties to an existing role
(e.g., operations manager). In a single-individual operation, these duties would be filled by the accountable executive.
3.3.3.5 Considerations for Small and Single-Individual Organizations.
Single-pilot operations and single-individual organizations pose unique situations when implementing an SMS. As a result of these factors, the following regulatory section is excepted from the implementation requirements for organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of aircraft:
Section 5.25(b)(3): Responsibilities of the accountable executive. The accountable executive must accomplish the following: Communicate the safety policy throughout the person’s organization.
3.3.4 D esignation of Management Personnel.
3.3.4.1 References. Sections 5.25(c), 119.65, 119.67, 145.151, and 145.153.
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3.3.4.2 Part 5 Requirement.
§ 5.25(c), Designation of management personnel.
(c) Designation of management personnel. The accountable executive must designate sufficient management personnel who, on behalf of the accountable executive, are responsible for the following:
(1) Coordinate implementation, maintenance, and integration of the SMS throughout the person’s organization.
(2) Facilitate hazard identification and safety risk analysis.
(3) Monitor the effectiveness of safety risk controls.
(4) Ensure safety promotion throughout the person’s organization as required in subpart E of this part.
(5) Regularly report to the accountable executive on the performance of the SMS and on any need for improvement.
3.3.4.3 Discussion. This section requires that the organization ensure that sufficient management personnel are available to provide support for essential SMS functions, such as performing analysis, assisting operational managers in meeting their safety management responsibilities, and acting as a safety advisor to the accountable executive.
3.3.4.3.1 When reviewing the designated management personnel required in § 5.25(c), the term “coordinate” means the management representative will aid other management personnel in the implementation and integration of the SMS throughout the organization. This position is not expected to “own” the SMS in the organization as everyone has a role and responsibilities to ensure proper functioning of the SMS. The term “facilitate” means the management representative will aid other process owners in hazard analysis and risk assessment. As they may not be a process owner, they are not expected to make risk-based decisions. The term “monitor” means the management representative will aid other process owners in determining if risk controls are functioning as designed. The duties and responsibilities listed above should be left to the process owners.
3.3.4.3.2 The designated management representative is expected to communicate safety information throughout the organization. Per § 5.97(d), a record of this activity should be retained so it can be validated during audits.
3.3.4.3.3 Designated management personnel are not necessarily subject matter experts (SME) in all areas of the aviation organization. Rather, they are personnel in a position to assist the process owners and management personnel with hazard identification and risk analysis, aid in communicating safety information throughout the organization, and monitor the effectiveness of safety risk controls.
3.3.4.3.4 Personnel designated to perform this function should be in positions in the organization with sufficient independence to have direct access to the