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DOT/FAA RIN: 2120-AJ86 Publication ID: Fall 2011 
Title: +Safety Management Systems for Certificate Holders(Section 610 Review) 
Abstract: This rulemaking would require each certificate holder operating under 14 CFR part 121 to develop and implement a Safety Management System (SMS) to improve the safety of its aviation related activities. A SMS is a comprehensive, process-oriented approach to managing safety throughout an organization. An SMS includes an organization-wide safety policy; formal methods for identifying hazards, controlling, and continually assessing risk and safety performance; and promotion of a safety culture. SMS stresses not only compliance with technical standards but increased emphasis on the overall safety performance of the organization. 
Agency: Department of Transportation(DOT)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
RFA Section 610 Review: Section 610 Review 
CFR Citation: 14 CFR 121 
Legal Authority: 49 USC 106(g); 49 USC 40113; 49 USC 40119; 49 USC 41706; 49 USC 44101; 49 USC 44701; 49 USC 44702; 49 USC 44705; 49 USC 44709 to 44711; 49 USC 44713; 49 USC 44716; 49 USC 44717; 49 USC 44722; 49 USC 46105 
Legal Deadline:
Action Source Description Date
Final  Statutory  Final Rule  07/30/2012 
NPRM  Statutory    10/29/2010 

Overall Description of Deadline: Congress passed Public Law 111-216 that instructs FAA to conduct a rulemaking to require all part 121 air carriers to implement a Safety Management System (SMS). This act further states that FAA shall consider at a minimum each of the following as part of the SMS rulemaking: (1) An Aviation Safety Action Program (ASAP); (2) a Flight Operations Quality Assurance Program (FOQA); (3) a Line Operations Safety Audit (LOSA); and (4) an Advance Qualifications Program.

Statement of Need: Passage of the Airline Safety and FAA Extension Act of 2010 (Pub. L. 111-216), section 215 "Safety Management System" directs the Administrator to conduct a rulemaking to require all part 121 air carriers to implement a safety management system (SMS). The Act requires an NPRM within 90 days and a final rule not later than 24 months from enactment of Public Law 111-216.

Summary of the Legal Basis: Airline Safety and Federal Aviation Administration Extension Act of 2010 (Pub. L. 111-216), section 215, signed by President on August 1, 2010.

Alternatives: The Rulemaking Team considered including parts 135 (air carriers) and 145 (repair stations) to the rule but did not because of time restraints.

Anticipated Costs and Benefits: Costs and benefits of this final rule are still in development. An initial cost estimate for SMS implementation over 3 years is $270,000 (small carrier), $373,950 (medium carrier), and $1,135,500 (large carrier) with total cost for 90 part 121 carriers of $52,276,200. However, given the flexibility of SMS, and expected safety improvements, benefits are expected to exceed costs.

Risks: Commercial air carrier accident rate in the U.S. has remained relatively constant over the past 10 years. However, the recent trend of hazards include many that could have been mitigated or eliminated had a structured, organization-wide approach to managing air carriers' operations been in place. SMS is a comprehensive, process-oriented approach to managing safety throughout an organization, and stresses not only compliance with technical standards but increased emphasis on the overall safety performance of the organization. The potential reduction of risks would be averted causalities, aircraft damage, and accident investigation costs by identifying safety issues and spotting trends before they result in a near-miss, incident, or accident.

Timetable:
Action Date FR Cite
NPRM  11/05/2010  75 FR 68224 
NPRM Comment Period Extended  01/31/2011  76 FR 5296 
NPRM Comment Period End  02/03/2011   
Extended NPRM Comment Period End  03/07/2011   
Final Rule  07/00/2012   
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Federal 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: Yes 
RIN Information URL: www.regulations.gov   Public Comment URL: www.regulations.gov  
RIN Data Printed in the FR: Yes 
Related RINs: Split from 2120-AJ15 
Agency Contact:
Scott VanBuren
Office of Accident Investigation and Prevention
Department of Transportation
Federal Aviation Administration
800 Independence Ave, SW,
Washington, DC 20591
Phone:202 494-8417
Email: scott.vanburen@faa.gov

 
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