View Information Collection Request (ICR) Package

OMB Control No: 2120-0763	ICR Reference No: 202504-2120-005
Status: Active	Previous ICR Reference No: 202301-2120-002
Agency/Subagency: DOT/FAA	Agency Tracking No:
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 without change	Conclusion Date: 04/07/2025
	Date Received in OIRA: 04/03/2025
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2027	36 Months From Approved	03/31/2025
Responses	8,102	0	136
Time Burden (Hours)	77,220	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.

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: US Code: 14 USC 5 Name of Law: Safety Management System

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
2120-AL60	Final or interim final rulemaking	89 FR 33068	04/26/2024

Federal Register Notices & Comments
Did the Agency receive public comments on this ICR? No

ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to Adjustment in Estimate
Annual Number of Responses	8,102	136	7,966
Annual Time Burden (Hours)	77,220	72,000	5,220
Annual Cost Burden (Dollars)	0	1,289,620	-1,289,620

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: No

Burden Reduction Due to:

Short Statement: 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 FAA’s 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.

Annual Cost to Federal Government: $154,264

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

View ICR - OIRA Conclusion