Safety Management System for Certificated Airports

Forms and Documents

Document Name	Status
2120-XXXX SMS Rule Supporting Statement A 20220513.docx Supporting Statement A	2022-05-13

IC Document Collections

IC ID	Document Title	Status
246928	Section 139.401, General requirements and Section 139.403, Airport safety management system implementation Instruction	New
246926	Section 139.301, Records Instruction	New
246925	Section 139.205, Amendment of airport certification manual Instruction	New

ICR Details

OMB Control No:	ICR Reference No: 202103-2120-004
Status: Received in OIRA	Previous ICR Reference No:
Agency/Subagency: DOT/FAA	Agency Tracking No: Ready for DOT Review
Title: Safety Management System for Certificated Airports
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 05/19/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	15,355	0
Time Burden (Hours)	97,178	0
Cost Burden (Dollars)	4,161,933	0

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Abstract: The final rule requires applicable certificate holders to submit an updated Airport Certification Manual (ACM) for review and approval. It also requires submission of an implementation plan based on a staggered submission schedule (hub airports within 12 months of the effective date; 100,000+ operations airports within 18 months of the effective date; and internationals within 24 months of the effective date). The intent of the implementation plan is for the certificate holder to identify its plan for implementing SMS within the applicable areas and map its schedule for implementing the SMS requirements. While the implementation plan’s main purpose is to guide the certificate holder’s implementation, the plan also provides a basis for the FAA’s oversight during the development and implementation phases. The FAA’s review and approval of the implementation plan ensures that the certificate holder is given feedback early and before they may make significant capital improvements as part of their SMS development and implementation. In addition to updating the ACM, the certificate holder will collect data including hazard reports, Safety Risk Management (SRM) documentation, SMS related training records, and safety communications. The regulation does not require the certificate holder to submit this data to the FAA; rather, the certificate holder will use this data as part of its continuous improvement efforts and to proactively identify hazards and instances of non-compliance with safety requirements and standards. The certificate holder is required to provide data upon request, usually during the FAA’s periodic inspection. The final rule does not prescribe how the certificate holder must collect or retain data; rather it simply requires the types of records and length of time for retention. Airport operators applying for an Airport Operating Certificate would be required to comply with the SMS requirements prior to certification if they meet the triggering criteria identified in the regulation.

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Authorizing Statute(s): US Code: 49 USC 44706 Name of Law: Airport Operating Certificates
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
2120-AJ38	Final or interim final rulemaking	81 FR 45872	07/14/2016

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 45872	07/14/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 47266	08/24/2021
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 3

IC Title	Form No.	Form Name
Section 139.205, Amendment of airport certification manual
Section 139.301, Records
Section 139.401, General requirements and Section 139.403, Airport safety management system implementation

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ICR Summary of Burden

	Total Request	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	15,355	0	0	15,355	0	0
Annual Time Burden (Hours)	97,178	0	0	97,178	0	0
Annual Cost Burden (Dollars)	4,161,933	0	0	4,161,933	0	0

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

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to:

Short Statement: This is a new collection associated with a new rule requiring the implementation of Safety Management Systems at airports certificated under 14 CFR Part 139. The burden change is to reflect the burden that will be incurred as part of this rulemaking.

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Annual Cost to Federal Government: $363,112

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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? No

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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: 05/19/2022

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