Information received from the current collection is used to determine part 121 certificate holderâs compliance with FAAâs 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 organizationâs management of aviation safety. The system description would also be used as a resource for the FAA because it provides foundational information regarding the organizationâs 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.
PL:
Pub.L. 111 - 216 215
Name of Law: The Aviation Safety and Federal Aviation Administration Extension Act of 2010
US Code: 14 USC 5 Name of Law: Safety Management System
The FAA expanded applicability of 14 CFR part 5 - Safety Management Systems beyond Part 121. The FAA published an NPRM for the expanded applicability, soliciting comments on the information collections, on January 11, 2023, and received two comments.
An individual stated that the requirement for SMS documentation by small businesses goes against the PRA. The individual stated that the FAA did not provide evidence of proven benefit to single person operators for SMS mandates and asserted that the FAAâs justification of potential safety gains is a statutorily unacceptable justification for hardship. Wing Aviation LLC suggested that SMS has the capability to be used to reduce the burdensome regulations and paperwork necessary for routine unmanned operations that have already proven themselves to be sustainably safe.
The FAA has taken actions in the final rule in response to concerns regarding paperwork burden for small entities. To address scalability, the FAA has designed Part 5 to allow for flexibility in solutions used to meet the requirements. The FAA is also excluding certain single-pilot operations from SMS components that would not be applicable in organizations of that size. These exclusions will eliminate the reporting and recordkeeping burden associated with the reporting of safety hazards, disciplinary action, and communication under § 5.21 (a)(4) and (5), and the retention of safety communication records under § 5.93 [§ 5.97(d)].
In the final rule, the requirement for an organizational system description is only applicable to design and manufacturing organizations under Part 21.
The FAA does not intend, however, for SMS requirements to override or alter existing regulatory standards or approval and acceptance processes that already apply to the aviation organization.
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:
(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;
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.
2120-0763 ICR Supporting Statement_04022024 (4).docx
FAA-2021-0419-0196_Wing Aviation.pdf
Compliance Declaration