Safety Management Systems for Part 121 Certificate Holders

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2120-0763 ICR Supporting Statement_04022024.docx	Supporting Statement A	Uploaded 2024-04-03	Repair queued
2120-0673_Part 121 ICR Renewal_30 Day Notice_01122022.pdf	Supplementary Document	Uploaded 2022-01-12	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
263605	Compliance Declaration		New
263604	Organizational System Description		New
257870	SMS Records		New
257869	SMS Documentation		New
257868	Notification of Hazards		New
257867	Summary of Employee Reports		New
257866	Safety Policy		New
257864	Implementation Plan		New
213861	SMS Documentation	Other-final rule	Removed
195147	SMS Implementation Plans	Other-Final Rule	Removed

ICR Details

OMB Control No: 2120-0763	ICR Reference No: 202301-2120-002
Status: Historical Inactive	Previous ICR Reference No: 202107-2120-004
Agency/Subagency: DOT/FAA	Agency Tracking No:
Title: Safety Management Systems for Part 121 Certificate Holders
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 10/22/2024
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/17/2024
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11(c). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. In accordance with 5 CFR 1320, the information collection is not approved at this time. Prior to publication of the final rule, the agency should provide to OMB a summary of all comments received on the proposed information collection and identify any changes made in response to these comments.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved	03/31/2025
Responses	0	0	136
Time Burden (Hours)	0	0	72,000
Cost Burden (Dollars)	0	0	1,289,620

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Abstract: Information received from the current collection is used to determine part 121 certificate holder’s compliance with FAA’s SMS regulation, their implementation of the mandatory SMS components, and assess the burden to comply with the 14 CFR part 5. Information from this collection is also used to monitor post-implementation compliance with 14 CFR part 5 as an additional source of information to understand the compliance burden on part 121 air carriers. The proposed amendments to 14 CFR part 5 would require certain certificate holders authorized to conduct operations under parts 21, 121, 135, and § 91.147 to develop and implement an SMS for all of their aviation safety-related activities and would require amending ICR Reference Number 202107-2120-004 accordingly. The organization required to have an SMS would use the data it collects to identify hazards and mitigate risk. The safety policy, outputs of safety risk management and safety assurance processes, and training and communication records would be maintained by the organization and be used in its SMS. The hazard notification information would be shared with the person in the best position to address a discovered hazard or mitigate the related risk. The system description would be used by the organization to delineate its structure, processes, business arrangements, and interfaces that impact the organization’s management of aviation safety. The system description would also be used as a resource for the FAA because it provides foundational information regarding the organization’s operations covered by the SMS, as well as interfaces of those operations both internal and external to the organization. SMS information would also be used to determine compliance with the proposed rule, including mandatory SMS components. Information from this proposed collection will also determine ongoing compliance with proposed 14 CFR part 5, post-implementation.

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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: US Code: 14 USC 5 Name of Law: Safety Management System

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
2120-AL60	Proposed rulemaking	88 FR 1932	01/11/2023

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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: 8

table that charts list of burden

IC Title	Form No.	Form Name
Compliance Declaration
Implementation Plan
Notification of Hazards
Organizational System Description
SMS Documentation
SMS Documentation
SMS Implementation Plans
SMS Records
Safety Policy
Summary of Employee Reports

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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: The FAA is proposing amending ICR Reference Number 202107-2120-004 to reflect information collection changes resulting from the expanded applicability of 14 CFR part 5 (Safety Management Systems). There are additional CFR parts proposed for the part 5 including part 135 (commuter and on demand), part 21 (certification procedures for products and articles), part 91.147 (air tour operators), and changes for part 121 (domestic and flag carriers) currently required to develop an SMS. There is a “new” burden by the increased number of aviation service provider under the provisions of the proposed rule. When part 5 was published on January 8, 2015 (80 FR 1305) there were 90 part 121 certificate holders required to develop an SMS. At the first Information Collection renewal 83 FR 46990 (September 18, 2018), there were 72 part 121 certificate holders. The proposed rule has 66 part 121 certificates. The proposed expanded 14 CFR part 5 in addition to 66 part 121 certificates now includes 1,848 part 135, 65 part 21 certificate holders, and 715 part 91.147 letter of authorization holders for a total of 2,694 operators. Part 5 (2015) required two Information Collections: an implementation plan and a Safety Management System. Part 5 (2024) requires eight Information Collections: organizational system description, compliance declarations, implementation plan, safety policy, summary of confidential employee reports, notification of hazards to interfacing persons, SMS documentation, SMS records. (Table 3. “Calculations of Total Burden Hours and Costs (3 Years)” details the distribution of the Information Collections by CFR part.)

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Annual Cost to Federal Government: $154,264

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: 04/17/2024

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