Safety Management Systems for Part 121 Certificate Holders

Forms and Documents

Document Name	Status
2120-SMS for Part 121 FINAL.doc Supporting Statement A	2014-11-13

IC Document Collections

IC ID	Document Title	Status
213861	SMS Documentation	New
195147	SMS Implementation Plans	Modified

ICR Details

OMB Control No: 2120-0763	ICR Reference No: 201506-2120-001
Status: Historical Active	Previous ICR Reference No: 201411-2120-004
Agency/Subagency: DOT/FAA	Agency Tracking No:
Title: Safety Management Systems for Part 121 Certificate Holders
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/02/2015
	Date Received in OIRA: 06/02/2015
Terms of Clearance: The agency revised its estimate of the annual cost burden.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2018	36 Months From Approved
Responses	180	0	0
Time Burden (Hours)	565,992	0	0
Cost Burden (Dollars)	6,854,112	0	0

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Abstract: The new 14 CFR part 5 would require certificate holders authorized to conduct operations under part 121 to develop and implement a Safety Management System (SMS) for all of their aviation safety-related activities. The certificate holder will use the data it collects to identify hazards and instances of non-compliances with requirements and standards. With the exception of a one-time submission of an implementation plan, the data will not be submitted to the FAA. The safety policy, outputs of safety risk management and safety assurance processes, and training and communication records will be kept by the certificate holder and used in its SMS.

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Authorizing Statute(s): PL: Pub.L. 111 - 216 215 Name of Law: The Aviation Safety and Federal Aviation Administration Extension Act of 2010
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
2120-AJ86	Final or interim final rulemaking	80 FR 1308	01/08/2015

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
SMS Documentation
SMS Implementation Plans

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	180	0	0	180	0	0
Annual Time Burden (Hours)	565,992	0	0	565,992	0	0
Annual Cost Burden (Dollars)	6,854,112	0	0	6,854,112	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: SMS is a new requirement, so this is a program change.

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Annual Cost to Federal Government: $2,600,000

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 12/12/2014

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