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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
	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.

	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

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.

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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