5-2 ASAP may provide some protection from sanctions due to a regulatory noncompliance to participating employees.
5.2.2.2 Integration. An ASAP can be used to satisfy some SMS requirements (§ 5.71(a)(7)). For example, the ASAP can be used to partially satisfy the requirement for a confidential reporting system. Employee groups not covered by an ASAP would need some type of confidential employee reporting system. In the event of termination of an ASAP program, those covered employees would be required to have a confidential employee reporting system. The ASAP requires analysis and corrective action; however, it does not require analysis of patterns or trends across reports that would identify systemic problems. This information should be analyzed through the safety assurance and SRM processes.
5.2.3 A viation Safety Reporting System (ASRS).
5.2.3.1 Program. The FAA ASRS uses the National Aeronautics and Space Administration (NASA) as a third party to receive aviation safety reports.
ASRS does not provide an explicit requirement for corrective actions nor does it provide sufficient detailed data with which to adequately analyze specific systems or processes. Another limitation of ASRS is it does not provide information to the aviation organization that a report has been submitted.
5.2.3.2 Integration. Trend and global systemic information may be appropriate for safety assurance analysis under SMS. While the actual submitted report is not available for the aviation organization to input into their SMS, ASRS provides periodic reports on various hazards that have been identified. They have a monthly newsletter called “Callback” that looks at submitted reports and provides an analysis of what happened based on the submitter’s comments. A review of these reports could be useful if input into the safety assurance component and monitored to ensure they are not present in the current operational environment. For additional information, refer to AC 00-46, Aviation Safety Reporting Program.
5.2.4 Flight Operations Quality Assurance (FOQA).
5.2.4.1 Program. FOQA is a voluntary program for the routine collection and analysis of digital flight data generated during aircraft operations. The FOQA program is another potential tool in an aviation organization’s SMS to monitor operational data and provide data analysis and assessment. FOQA program development, implementation, acceptance, and operation are covered in AC 120-82, Flight Operational Quality Assurance.
5.2.4.2 Integration. FOQA can be used to satisfy some SMS safety assurance requirements (§ 5.71). FOQA requires data collection and analysis but stops short of requiring corrective action. Thus, this requirement would be dependent on the configuration of the specific aviation organization’s
5-3 program. FOQA, if present, must interface with the aviation organization’s other safety programs and their SMS.
5.2.5 V oluntary Disclosure Reporting Program (VDRP).
5.2.5.1 Program. The VDRP provides incentives for an aviation organization to voluntarily identify, report, and correct instances of regulatory noncompliance. The FAA will review, accept, and oversee corrective actions and conduct followup surveillance. The FAA’s acceptance of the voluntary disclosure foregoes legal enforcement action and protects from release, when specific criteria are met, qualifying disclosures and corrective actions. For additional information on the VDRP, refer to AC 00-58, Voluntary Disclosure Reporting Program.
5.2.5.2 I ntegration. VDRP data can be a useful source of safety information.
Section 5.71(a)(6) requires aviation organizations to investigate any discoveries of a potential noncompliance with regulatory standards or other safety risk controls that are documented in the organization’s processes and procedures. Data gathered during an investigation, subsequent development, and implementation of a corrective action should be integrated into the data analysis, assessment, and validation processes of a service provider’s SMS safety assurance.
5.2.5.3 Joint Discovery. If a regulated entity voluntarily agrees to conduct a joint audit (inspection) with the FAA during which an apparent violation is discovered either by the organization or FAA members of the audit (inspection) team, the FAA may accept a voluntary disclosure submitted by the organization even though the FAA has already learned of the apparent violation during the course of the joint audit (inspection). For additional information, refer to Order 8900.1, Volume 11, Chapter 1, Voluntary Disclosure Reporting Program.
5.2.6 In ternal Evaluation Program (IEP).
5.2.6.1 Program. The IEP is a safety process that, through inspections, audits, and evaluations, assesses the adequacy of managerial controls and processes in critical safety systems. The FAA encourages (and the Department of Defense (DOD) requires) using an IEP to increase awareness management and employees’ responsibility to follow organizational safety practices and comply with all regulatory requirements. IEP is the subject of AC 120-59, Internal Evaluation Programs, and AC 145-5, Repair Station In ternal Evaluation Programs.
5.2.6.2 I ntegration. An IEP can be part of a safety assurance process. If used by an aviation organization, an IEP can satisfy the internal evaluation requirement of § 5.71. Aviation organizations are encouraged to input any findings from an IEP into their safety assurance processes to ensure they are tracked for any
5-4 negative trends, and, if needed, SRM could be applied and appropriate controls developed and integrated. Since an IEP is not covered by a standalone regulation or formal voluntary program approval process, its use within an SMS is dependent on the configuration.
5.2.7 L ine Operations Safety Audit (LOSA).
5.2.7.1 Program. The LOSA is a formal process where qualified observers ride in the jump seat during regularly scheduled flights to collect safety-related data on various weather and visibility conditions, operational complexities, and flightcrew performance. A LOSA program is not formally approved or accepted by the FAA. LOSA is the subject of AC 120-90, Line Operations Safety Audits.
5.2.7.2 I ntegration. A LOSA program could be used to satisfy part of the internal audit requirements of § 5.71. LOSA results, if present, should be included in the safety assurance data acquisition process. Many organizations provide a service for smaller operators wanting to participate in a LOSA program.
5.2.8 A dvanced Qualification Program (AQP) .
5.2.8.1 Program. The AQP is a systematic methodology for developing training program components for air carrier crewmembers and dispatchers. An AQP incorporates data-supported quality control processes for validating and maintaining the effectiveness of curriculum content. AQP is the subject of AC 120-54, Advanced Qualification Program.
5.2.8.2 Integration. The AQP can be used to satisfy a portion of the SMS safety assurance monitoring requirement (§ 5.71(a)(1)). The aviation organization may elect to use or develop an AQP depending on their unique operational complexities.
5.2.9 O ther Information Sources. Other sources of information to be considered are safety recommendations from the National Transportation Safety Board (NTSB). Aviation organizations should review these recommendations as part of their safety assurance functions to determine if there are any potential hazards that could exist in their processes or procedures. Manufacturers’ mandatory Service Bulletins (SB), Service Difficulty Reports (SDR), and Airworthiness Directives (AD) are also sources of potential hazards that could affect operations. Information for Operators (InFO) and Safety Alerts for Operators (SAFO) are also sources of information that should be reviewed and integrated into the safety assurance process, if applicable.
5.3 U se of Third -Party Providers to Assist in SMS Implementation and Maintenance.
5.3.1 The FAA and many industry stakeholders have gained significant experience with SMS principles in the years since part 5 was originally published. As SMS requirements expand to other organizations, the FAA expects more third-party providers to offer
5-5 services to aid aviation organizations in developing and implementing a part 5 compliant SMS.
5.3.2 Aviation organizations may work with a third-party provider to develop or implement an SMS that meets part 5 requirements. A third-party SMS provider could assist in developing the SMS and training the operator to use it. Producing and providing software applications to aid in SMS documentation and recordkeeping are other potential support services of third-party providers. Other options could include not only development and training but the third-party provider could also operate some parts of the SMS on behalf of the aviation service provider. As an example, many third-party providers offer mediation services for employee ASAP reporting programs. The organizations serve as mediator and de-identify the reports, meet with the FAA to discuss the report, and work to develop a corrective action to mitigate the reported hazard or reason for the report. The third-party provider would then provide periodic reports on the aggregated ASAP reports received and moderated with corrective actions so the aviation organization could enter the data into their SMS for monitoring if it is applicable to the activities conducted by the aviation organization.
5.3.3 When considering utilizing a third-party organization to assist with SMS management, there are some areas that cannot be delegated. For instance, the accountable executive responsibilities and roles cannot be delegated to a contractor.
5.3.4 Aviation organizations are encouraged to leverage their existing SMS processes, whether developed in-house or developed by third-party contractors, to meet part 5 requirements and to utilize all available industry resources, such as educational institutions, international organizations, and FAA guidance and support. Aviation organizations remain fully responsible for ensuring regulatory compliance.
Note: The FAA does not endorse the use of any specific product or third-party provider. The responsibility for ensuring compliance with part 5 remains with the aviation organization.
Appendix A A-1 APPENDIX A. SMS CROSS-REFERENCE FROM PART 5 TO THE ICAO
FRAMEWORK A.1 The following table provides a cross-reference between 14 CFR part 5 and the International Civil Aviation Organization (ICAO) Annex 19, Safety Management, Appendix 2, Framework for a Safety Management System (SMS). It is an aid to aviation organizations who have implemented all or part of an SMS under another program that may have been based on the ICAO framework. The FAA emphasizes that this cross-reference chart does not mean that an existing process automatically satisfies the pertinent requirements of part 5. Aviation organizations should evaluate their existing SMS to determine whether changes need to be made in order to fully satisfy the requirements of part 5.
Note: I CAO s afety management standards require aviation organizations of airplanes over 27,000 kilograms (kg) to have included a Flight Data Analysis (FDA) program as part of their SMS. Part 5 does not require these programs.
Table A-1. Part 5 to ICAO SMS Framework Cross-Reference Part 5 Section Text ICAO Framework Components and Elements Subpart A General
§ 5.1 Applicability.
§ 5.1 This part applies to all of the following: N/A § 5.1(a)
(a) Any person that holds or applies for a certificate issued under part 119 of this chapter authorizing the person to conduct operations under part 121 of this chapter.
N/A § 5.1(b)
(b) Any person that holds or applies for a certificate issued under part 119 of this chapter authorizing the person to conduct operations under part 135 of this chapter.
N/A § 5.1(c) (c) Any person that holds or applies for a Letter of Authorization issued under § 91.147 of this chapter. N/A
§ 5.3 Definitions.
§ 5.3 Hazard means a condition or an object that could foreseeably cause or contribute to an incident or aircraft accident, as defined in 49 CFR 830.2.
N/A
Appendix A A-2 Part 5 Section Text ICAO Framework Components and Elements Risk means the composite of predicted 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 systematically to ensure the performance and effectiveness of safety risk controls and that the organization meets or exceeds its safety objectives through the collection, analysis, and assessment of information.
Safety Management System (SMS) means the formal, top-down, organization-wide approach to managing safety risk and assuring the effectiveness of safety risk controls. It includes systematic procedures, practices, and policies 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 person’s documented commitment to safety, which defines its safety objectives and the accountabilities and responsibilities of its employees in regards to safety.
Safety promotion means a combination of training and communication of safety information to support the implementation and operation of an SMS in an organization.
Safety Risk Management means a process within the SMS composed of describing the system, identifying the hazards, and analyzing, assessing, and controlling risk.
§ 5.5 General requirements.
§ 5.5(a)
(a) SMS components. An SMS under this part must be appropriate to the size, scope, and complexity of the person’s organization and include, at a minimum, all of the following components:
N/A § 5.5(a)(1) (1) Safety policy that meets the requirements of subpart B of this part. N/A
Appendix A A-3 Part 5 Section Text ICAO Framework Components and Elements § 5.5(a)(2) (2) Safety risk management that meets the requirements of subpart C of this part. N/A § 5.5(a)(3) (3) Safety assurance that meets the requirements of subpart D of this part. N/A § 5.5(a)(4) (4) Safety promotion that meets the requirements of subpart E of this part. N/A § 5.5(b)
(b) Continuing requirements. Any person required to develop and implement an SMS under this part must maintain the SMS in accordance with this part.
N/A
§ 5.7 Requirements for domestic, flag, and supplemental operations.
§ 5.7(a)
(a) Any person authorized to conduct operations under part 121 of this chapter that has an SMS acceptable to the FAA on or before May 28, 2024, must revise its SMS to meet the requirements of this part no later than May 28, 2025.
N/A § 5.7(b)
(b) Any person applying for authorization to conduct operations under part 121 of this chapter or with such application pending on or after May 28, 2024, must develop and implement an SMS that meets the requirements of this part.
N/A § 5.7(c)
(c) Any person required to develop and implement an SMS under this section must maintain the SMS as long as the person is authorized to conduct operations under part 121 of this chapter.
N/A § 5.7(d)
(d) Any person required to develop and implement an SMS under this section must make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.
N/A
Appendix A A-4 Part 5 Section Text ICAO Framework Components and Elements § 5.9 Requirements for commuter and on-demand operations or passenger-carrying flights for compensation or hire.
§ 5.9(a)
(a) Any person authorized to conduct operations under part 135 of this chapter or that holds a Letter of Authorization issued under § 91.147 of this chapter before May 28, 2024, must:
N/A § 5.9(a)(1) (1) Develop and implement an SMS that meets the requirements of this part no later than May 28, 2027. N/A § 5.9(a)(2)
(2) Submit to the FAA, a declaration of compliance with this part in a form and manner acceptable to the Administrator no later than May 28, 2027.
N/A § 5.9(b)
(b) Any person applying for authorization to conduct operations under part 135 of this chapter or a Letter of Authorization under § 91.147 of this chapter, or with such application pending on or after May 28, 2024, must develop and implement an SMS that meets the requirements of this part.
N/A § 5.9(c)
(c) Any person required to develop and implement an SMS under this section must maintain the SMS as long as the person is authorized to conduct operations under either part 135 or § 91.147 of this chapter.
N/A § 5.9(d)
(d) Any person required to develop and implement an SMS under this section must make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.
N/A § 5.9(e)
(e) The following requirements do not apply to those 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 the aircraft: §§ 5.21(a)(4),
5.21(a)(5), 5.21(c), 5.23(a)(2), 5.23(a)(3), 5.23(b),
5.25(b)(3), 5.25(c), 5.27(a), 5.27(b), 5.71(a)(7), 5.93, and 5.97(d) of this part.
N/A
Appendix A A-5 Part 5 Section Text ICAO Framework Components and Elements Subpart B Safety Policy 1.0
§ 5.21 Safety policy.
§ 5.21(a)
(a) Any person required to have an SMS under this part must have a safety policy that includes at least the following:
1.1 § 5.21(a)(1) (1) The person’s safety objectives. 1.1 § 5.21(a)(2) (2) The person’s commitment to fulfill the safety objectives. 1.1 § 5.21(a)(3) (3) A clear statement about the provision of the necessary resources for the implementation of the SMS. 1.1 § 5.21(a)(4) (4) A safety reporting policy that defines requirements for employee reporting of safety hazards or issues. 1.1 § 5.21(a)(5) (5) A policy that defines unacceptable behavior and conditions for disciplinary action. 1.1 § 5.21(a)(6)
(6) An emergency response plan that provides for the safe transition from normal to emergency operations in accordance with the requirements of § 5.27.
1.1 § 5.21(a)(7)
(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.
N/A § 5.21(b) (b) The safety policy must be signed by the accountable executive described in § 5.25. 1.1 §5.21(c) (c) The safety policy must be documented and communicated throughout the person’s organization. 1.1 § 5.21(d)
(d) The safety policy must be regularly reviewed by the accountable executive to ensure it remains relevant and appropriate to the person.
1.1
§ 5.23 Safety accountability and authority.
§ 5.23(a)
(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:
1.2 § 5.23(a)(1) (1) Accountable executive, as described in § 5.25. 1.2
Appendix A A-6 Part 5 Section Text ICAO Framework Components and Elements § 5.23(a)(2)
(2) All members of management in regard to developing, implementing, and maintaining SMS processes within their area of responsibility, including, but not limited to:
1.2 § 5.23(a)(2)(i) (i) Hazard identification and safety risk assessment. 1.2 § 5.23(a)(2)(ii) (ii) Assuring the effectiveness of safety risk controls. 1.2 § 5.23(a)(2)(iii) (iii) Promoting safety as required in subpart E of this part. 1.2 § 5.23(a)(2)(iv)
(iv) Advising the accountable executive on the performance of the SMS and on any need for improvement.
1.2 § 5.23(a)(3) (3) Employees relative to the person’s safety performance. 1.2 § 5.23(b)
(b) The person must identify the levels of management with the authority to make decisions regarding safety risk acceptance.
1.2
§ 5.25 Designation and responsibilities of required safety management personnel.
§ 5.25(a)
(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:
1.2 § 5.25(a)(1)
(1) Is the final authority over operations authorized to be conducted under the person’s certificate(s) or Letter(s) of Authorization.
N/A § 5.25(a)(2)
(2) Controls the financial resources required for the operations to be conducted under the person’s certificate(s) or Letter(s) of Authorization.
N/A § 5.25(a)(3)
(3) Controls the human resources required for the operations authorized to be conducted under the person’s certificate(s) or Letter(s) of Authorization.
N/A § 5.25(a)(4)
(4) Retains ultimate responsibility for the safety performance of the operations conducted under the person’s certificate(s) or Letter(s) of Authorization.
N/A
Appendix A A-7 Part 5 Section Text ICAO Framework Components and Elements § 5.25(b) (b) Responsibilities of the accountable executive. The accountable executive must accomplish the following: N/A § 5.25(b)(1) (1) Ensure that the SMS is properly implemented and is performing across all pertinent areas. 1.2 § 5.25(b)(2) (2) Develop and sign the safety policy. 1.1.1 § 5.25(b)(3) (3) Communicate the safety policy throughout the person’s organization. N/A § 5.25(b)(4) (4) Regularly review the safety policy to ensure it remains relevant and appropriate to the person. 1.1.1 § 5.25(b)(5)
(5) Regularly review the safety performance and direct actions necessary to address substandard safety performance in accordance with § 5.75.
1.1 § 5.25(c)
(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:
1.3 § 5.25(c)(1)
(1) Coordinate implementation, maintenance, and integration of the SMS throughout the person’s organization.
1.3 § 5.25(c)(2) (2) Facilitate hazard identification and safety risk analysis. N/A § 5.25(c)(3) (3) Monitor the effectiveness of safety risk controls. N/A § 5.25(c)(4) (4) Ensure safety promotion throughout the person’s organization as required in subpart E of this part. N/A § 5.25(c)(5)
(5) Regularly report to the accountable executive on the performance of the SMS and on any need for improvement.
N/A
§ 5.27 Coordination of emergency response planning.
§ 5.27 Where emergency response procedures are necessary, any person required to have an SMS under this part must develop, and the accountable executive must approve as part of the safety policy, an emergency response plan that addresses at least the following:
1.4
Appendix A A-8 Part 5 Section Text ICAO Framework Components and Elements § 5.27(a) (a) Delegation of emergency authority throughout the person’s organization. N/A § 5.27(b) (b) Assignment of employee responsibilities during the emergency. N/A § 5.27(c)
(c) Coordination of the emergency response plans with the emergency response plans of other organizations it must interface with during the provision of its services.
1.4
Subpart C Safety Risk Management 2.0
§ 5.51 Applicability.
§ 5.51 Any person required to have an SMS under this part must apply safety risk management to the following: 2.1.1 § 5.51(a) (a) Implementation of new systems. 2.1.2 § 5.51(b) (b) Revision of existing systems. 2.1.2 § 5.51(c) (c) Development of operational procedures. 2.1.2 § 5.51(d)
(d) Identification of hazards or ineffective risk controls through the safety assurance processes in subpart D of this part.
2.1.2
§ 5.53 System analysis and hazard identification.
§ 5.53(a)
(a) When applying safety risk management, any person required to have an SMS under this part 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 implementing risk controls related to the system under § 5.55(c).
2.1 § 5.53(b) (b) In conducting the system analysis, the following information must be considered: N/A § 5.53(b)(1) (1) Function and purpose of the system. 2.1 § 5.53(b)(2) (2) The system’s operating environment. 2.1 § 5.53(b)(3) (3) An outline of the system’s processes and procedures. N/A