Safety Management Systems for Part 121 Certificate Holders

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.

The latest form for Safety Management Systems for Part 121 Certificate Holders expires 2027-10-31 and can be found here.

SMS Implementation Plans

Federal Enterprise Architecture: Transportation - Air Transportation