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OMB Control No: 2120-0763	ICR Reference No: 202107-2120-004
Status: Historical Active	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
OIRA Conclusion Action: Approved with change	Conclusion Date: 03/28/2022
	Date Received in OIRA: 01/13/2022
Terms of Clearance: The agency made minor changes to the supporting statement to discuss the ICR's expiration and reinstatement in additional detail.

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

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.

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

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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

Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
SMS Documentation
SMS Implementation Plans

ICR Summary of Burden

	Total Approved	Change Due to Agency Discretion	Change Due to Potential Violation of the PRA
Annual Number of Responses	136	-44	180
Annual Time Burden (Hours)	72,000	-493,992	565,992
Annual Cost Burden (Dollars)	1,289,620	-5,564,492	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.

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

Agency Contact: Sean Denniston 202 267-3380 sean.denniston@faa.gov

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