Safety Management Systems for Part 121 Certificate Holders

Forms and Documents

Document Name	Status
2120-0673_Part 121 ICR Renewal_30 Day Notice_01122022.pdf Supplementary Document	2022-01-12
2120-0763 SMS for Part 121_07192021.docx Supporting Statement A	2021-07-19

IC Document Collections

IC ID	Document Title	Status
213861	SMS Documentation Other-final rule	Modified
195147	SMS Implementation Plans Other-Final Rule	Modified

ICR Details

OMB Control No: 2120-0763	ICR Reference No: 202107-2120-004
Status: Received in OIRA	Previous ICR Reference No: 201506-2120-001
Agency/Subagency: DOT/FAA	Agency Tracking No: Ready OST
Title: Safety Management Systems for Part 121 Certificate Holders
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 01/13/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	136	0
Time Burden (Hours)	72,000	0
Cost Burden (Dollars)	1,289,620	0

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Abstract: The circumstances for the original information request and subsequent renewal is the Aviation Safety and Federal Aviation Administration Extension Act of 2010 (the Act), Public Law 111-216, § 215 (enacted on August 1, 2010). The Act required the FAA to initiate rulemaking for all part 121 air carriers to implement a Safety Management System. On January 9, 2015 Safety Management Systems for Domestic, Flag, and Supplemental Operations Certificate Holder (14 CFR parts 5 and 119) final rule was enacted. On March 9, 2018, all 72 part 121 certificates met the final compliance date for completing a Safety Management System acceptable to the FAA Administrator. This information request renewal has changes from the original request including: the current number of certificate holders (68 in 2021 as compared to 90 in 2015); successful completion by March 9, 2018, all existing part 121 certificate holders to have an SMS; new burden analysis reflecting SMS implementation; and revised projection of number of new part 121 applicants required to submit an SMS implementation plan as part of the initial certification process.

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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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 79256	12/09/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 1828	01/12/2022
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 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	136	0	0	-44	0	180
Annual Time Burden (Hours)	72,000	0	0	-493,992	0	565,992
Annual Cost Burden (Dollars)	1,289,620	0	0	-5,564,492	0	6,854,112

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

Burden Increase Due to:

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

Burden Reduction Due to: Miscellaneous Actions

Short Statement: This information request renewal has changes from the original request including the current number of certificate holders (68 as of 2021 as compared to 90 in 2015); the successful completion of the SMS requirement that all existing part 121 certificate holders have an SMS by March 9, 2018; new burden analysis reflecting SMS implementation and revised projection of new part 121 applicants that as part of their certification process will have to submit an SMS implementation plan. Certificate holders authorized to conduct operations under 14 CFR part 121 are required to develop and implement a Safety Management System (SMS) to improve the safety of their aviation related activities. At the time of 2015 rule publication, there were 90 part 121 certificate holders. By March 9, 2018, the part 5 effective date, the number of part 121 certificate holders changed from 90 in 2015 to 72 and all met the final compliance date for completing a Safety Management System. As of December 31, 2020 there are 68 part 121 certificate holders. The FAA also anticipates one part 121 certificate holder applicant will be required to implement an SMS as part of the certification process.

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Annual Cost to Federal Government: $1,500,000

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: 01/13/2022

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