Notice2023-15203
Agency Information Collection Activities: Request for Comments; Clearance of a New Approval for Information Collection: Safety Management System Voluntary Program
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Published
July 19, 2023
Issuing agencies
Transportation DepartmentFederal Aviation Administration
Abstract
In accordance with the Paperwork Reduction Act of 1995, the Federal Aviation Administration (FAA) invites public comments about our intention to request the Office of Management and Budget (OMB) approval for an information collection to support the analysis of safety data as part of the Safety Management System Voluntary Program (SMSVP). The data collected will be used by the FAA Flight Standards Service, Safety Management System Program Office (SMSPO) to evaluate certificate holders participating in the voluntary program. This Information Collection will enable the FAA to ensure conformity with the SMSVP Standard (voluntary program guidelines and performance measures).
Full Text
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<title>Federal Register, Volume 88 Issue 137 (Wednesday, July 19, 2023)</title>
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[Federal Register Volume 88, Number 137 (Wednesday, July 19, 2023)]
[Notices]
[Pages 46364-46368]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-15203]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
[Docket No. FAA-2023-0944]
Agency Information Collection Activities: Request for Comments;
Clearance of a New Approval for Information Collection: Safety
Management System Voluntary Program
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Notice and request for comments.
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SUMMARY: In accordance with the Paperwork Reduction Act of 1995, the
Federal Aviation Administration (FAA) invites public comments about our
intention to request the Office of Management and Budget (OMB) approval
for an information collection to support the analysis of safety data as
part of the Safety Management System Voluntary Program (SMSVP). The
data collected will be used by the FAA Flight Standards Service, Safety
Management System Program Office (SMSPO) to evaluate certificate
holders participating in the voluntary program. This Information
Collection will enable the FAA to ensure conformity with the SMSVP
Standard (voluntary program guidelines and performance measures).
DATES: Written comments should be submitted by September 18, 2023.
ADDRESSES: Please send written comments:
By Electronic Docket: <a href="http://www.regulations.gov">www.regulations.gov</a> (Enter docket number into
search field)
By mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE, West Building, Room W12-140,
Washington, DC 20590, between 9 a.m. and 5 p.m.
FOR FURTHER INFORMATION CONTACT: Sean C. Denniston, Flight Standards
Safety Management System Program Office (AFS-910), Federal Aviation
Administration, 800 Independence Ave. SW, 8W-624, Washington, DC 20591;
by email at: <a href="/cdn-cgi/l/email-protection#631006020d4d07060d0d0a10170c0d230502024d040c15"><span class="__cf_email__" data-cfemail="82f1e7e3ecace6e7ececebf1f6edecc2e4e3e3ace5edf4">[email protected]</span></a>; phone: 571-758-7362.
SUPPLEMENTARY INFORMATION:
Public Comments Invited: You are asked to comment on any aspect of
this information collection, including (a) Whether the proposed
collection of information is necessary for FAA's performance; (b) the
accuracy of the estimated burden; (c) ways for FAA to enhance the
quality, utility and clarity of the information collection; and (d)
ways that the burden could be minimized without reducing the quality of
the collected information. The agency will summarize and/or include
your comments in the request for OMB's clearance of this information
collection.
OMB Control Number: 2120-XXXX.
Title: Safety Management System Voluntary Program.
Form Numbers: None.
Type of Review: New Information Collection.
Background: The International Civil Aviation Organization (ICAO) it
its March 2006 Amendment No. 30 to Annex 6, Part I, International
Commercial Air Transport--Aeroplanes, established an international
standard requiring member states to mandate Safety Management Systems
(SMS) for commercial operators. In July 2013, SMS requirements were
transferred to a new ICAO Annex 19 Safety Management. (An Annex 19
second edition was issued in July 2016.) This Annex provided Member
States the means to address safety risk proactively; support
application of safety management in regulatory and infrastructure
developments; and reinforce the role of the State in managing safety
and in coordination with aviation product and service providers. The
Aviation Safety and Federal Aviation Extension Act (2010) directed the
FAA to initiate rulemaking requiring all certificate holders under 14
Code of Federal Regulations (CFR) part 119 authorized to conduct
operations in accordance with the requirements of 14 CFR part 121
implement an SMS. On March 9, 2015, the final rule, Safety Management
Systems for Domestic, Flag, and Supplemental Operations Certificate
Holders, became effective (80 FR 1307; January 8, 2015) (hereafter
``the 2015 final rule''). Three years later, on March 9, 2018, all air
carriers authorized to conduct operations under 14 CFR part 121 met the
final compliance date to have an SMS acceptable to the Administrator.
In 2018, the Flight Standards Service Safety Management System
Voluntary
[[Page 46365]]
Program (SMSVP) replaced an earlier SMS Pilot Project. While created
concurrently with the 2015 final rule, SMSVP is a separate SMS
initiative. Part 5 requires an SMS for air carriers authorized to
conduct operations under part 121, while the SMSVP allows those not
required by FAA to have an SMS to develop one. The reasons for this
latter group developing an SMS include improving the safety of their
aviation-related activities, facilitating international operations,
reducing insurance premiums, client requirements, and enhanced
organizational safety. The SMSVP has its own standard (voluntary
program guidelines and performance measures) that must be successfully
completed for an FAA accepted SMS.\1\
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\1\ SMSVP guidance and requirements is found in Order 8900.1,
Volume 17, Chapter 2 Voluntary Program.
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The largest group of SMSVP certificate holders are those conducting
operations under 14 CFR part 135, Operating Requirements: Commuter and
On Demand Operations and Rules Governing Persons on Board Such
Aircraft. However, there are other certificate holders that
participate, as indicated in Table 1 below.
Respondents: As of September 2022, holders of the following
operating certificates are participating in Safety Management System
Voluntary Program:
Table 1--Operating Certificates in SMSVP
------------------------------------------------------------------------
Number of
Operating certificate certificate
holders
------------------------------------------------------------------------
Part 133/137--Rotorcraft External Load/Agricultural 5
Aircraft Operations..................................
Part 135--Commuter and On Demand...................... 126
Part 141/142--Pilot Schools/Training Centers.......... 6
Part 145--Repair Stations............................. 73
Number of Participants................................ \2\ 214
------------------------------------------------------------------------
Frequency: A certificate holder taking part in the SMSVP may
develop and implement an SMS in any manner it deems appropriate, but
specific requirements and steps must be successfully completed for FAA
SMS acceptance (``acceptance process''). A commitment letter is
submitted with the application and is a statement of the company's top
management to establish an SMS within the organization. A schedule of
events (SOE) must be submitted by the certificate holder within 90 days
of the commitment letter. The SOE commits certificate holder and FAA
resources to the acceptance process. The certificate holder must also
submit a compliance statement within 90 days of its commitment letter.
The compliance statement addresses the SMSVP Standard and where its
requirements are located in the certificate holder's manual system or
documentation. The certificate holder may also utilize FAA SMS Custom
Data Collection Tools (C DCT) to perform a self-assessment of its SMS
development. The FAA uses both design validation (how SMS is planned)
and design demonstration (how SMS functions) C DCTs for agency SMS
acceptance.
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\2\ Three SMSVP participants possess more than one operating
certificates totaling 214 certificates for 210 participants.
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Upon successful completion of the validations and demonstrations,
the FAA will issue a letter acknowledging applicant has an accepted SMS
recognized by the FAA. FAA recognition also prepares an operator who
aspires to meet the ICAO SMS requirements of a foreign civil aviation
authority.
Estimated Average Burden per Response:
Respondents
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\3\ Calculated as burden hours x average labor rate including
benefits. The FAA used an average wage including benefits of $65.81,
which is the mean average wage for Operations Research Analyst
($46.07) divided by the percent of total employer costs of employee
compensation represented by wages (70%) to account for benefits.
(30%). Wages and benefits information available at: <a href="https://www.bls.gov/oes/current/oes152031.htm">https://www.bls.gov/oes/current/oes152031.htm</a>.
Table 2--Summary of Annual Burden for 14 CFR 133 and 137 \3\
----------------------------------------------------------------------------------------------------------------
Summary (annual numbers) Reporting Recordkeeping Disclosure
----------------------------------------------------------------------------------------------------------------
# Of Respondents.............................................. 0 5 0
# Of Responses per respondent................................. 0 2 0
Time per Response (hours)..................................... 0 8 0
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Total # of responses...................................... 0 10 0
Total burden (hours)...................................... 0 160 0
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Table 3--Summary of Annual Burden for 14 CFR 135
----------------------------------------------------------------------------------------------------------------
Summary (annual numbers) Reporting Recordkeeping Disclosure
----------------------------------------------------------------------------------------------------------------
# Of Respondents.............................................. 0 126 0
# Of Responses per respondent................................. 0 2 0
Time per Response (hours)..................................... 0 8 0
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Total # of responses...................................... 0 252 0
Total burden (hours)...................................... 0 2,016 0
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[[Page 46366]]
Table 4--Summary of Annual Burden for 14 CFR 141 and 142
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Summary (annual numbers) Reporting Recordkeeping Disclosure
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# Of Respondents.............................................. 0 6 0
# Of Responses per respondent................................. 0 2 0
Time per Response (hours)..................................... 0 8 0
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Total # of responses...................................... 0 12 0
Total burden (hours)...................................... 0 96 0
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Table 5--Summary of Annual Burden for 14 CFR 145
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Summary (annual numbers) Reporting Recordkeeping Disclosure
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# Of Respondents.............................................. 0 73 0
# Of Responses per respondent................................. 0 2 0
Time per Response (hours)..................................... 0 8 0
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Total # of responses...................................... 0 146 0
Total burden (hours)...................................... 0 1,168 0
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Labor Costs
Table 6--Estimated Labor Cost for Implementation of SMS in Voluntary
Program
------------------------------------------------------------------------
------------------------------------------------------------------------
Hourly Wage............................................. $65.81
Hours Year 1............................................ 16
Hours Year 2............................................ 8
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Table 7--Summary of Annual Labor Cost
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Develop initial implementation--Analysis Year 2 (or
labor cost Year 1 completion)
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14 CFR 133/137.......................... $5,265 $2,632
14 CFR 135.............................. 132,673 66,336
14 CFR 141/142.......................... 6,318 3,159
14 CFR 145.............................. 76,866 38,433
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Total capital and start-up components for a certificate holder in
the SMSVP (90 days and until completion, on average two years) includes
commitment letter, schedule of events, and compliance statement. These
are necessary for a functioning Safety Management System. Certificate
holders in the SMSVP need not start their SMS development from scratch.
They are encouraged to conduct an analysis of their existing systems
for possible integration into the SMS. The FAA sponsored Web-based
Application Tool (WBAT) provides a platform to submit, manage, and
analyze SMS related reports.
Material Costs
Estimated cost of schedule of events, compliance statement, and SMS
documentation for an individual certificate holder particpating in
SMSVP: \4\
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\4\ Based on data requirements and methods described in Order
8900.1, Volume 17, Safety Management System.
Table 8--Cost To Develop SMS Program Documentation
------------------------------------------------------------------------
2-Year (to completion)
Develop documentation Year 1 cost
------------------------------------------------------------------------
Part 133/137................... $8,000 $16,000 2 years, and
$8,000 each additional
year.
Part 135....................... 8,000 $16,000 2 years, and
$8,000 each additional
year.
Part 141/142................... 8,000 $16,000 2 years, and
$8,000 each additional
year.
Part 145....................... 8,000 $16,000 2 years, and
$8,000 each additional
year.
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[[Page 46367]]
The FAA sponsors a Web-Based Application Tool (WBAT) certificate
holders have the option of using for SMS development, data analysis,
submitting information, and records management. WBAT offers three
categories of service:
Table 9--Web-Based Application Tool \5\
------------------------------------------------------------------------
Category Services Cost
------------------------------------------------------------------------
Platform.................... WBAT System delivery No cost.
to Operator for
purpose of
supporting safety
and reporting
programs.
Platform Plus (+)........... WBAT System delivery Four level pricing
to Operator: tier based on
<bullet> Unlimited number of active
help desk support users.
during business
hours..
<bullet> Unlimited
scheduled training
by webinar and
video on demand.
<bullet> Discounted
rates for user
conferences.
<bullet> Discounted
rates for
customization
services.
<bullet> Semiannual
executive review of
Operator's WBAT
platform.
Enterprise Services......... Platform Plus (+) From unlimited no
subscribers can cost support to 50%
purchase support discount, depending
for one or more of on requested
the following service.
services:
<bullet> Aviation
Safety Action
Program (ASAP)..
<bullet> Flight
Operational Quality
Assurance (FOQA).
<bullet> SMS
Services (safety
assurance, safety
risk management,
report processing).
<bullet>
Customization
services at
discounted rate
(e.g., onsite
training,
networking
engineering/web
customization.
WBAT services
include analysis,
tracking,
documentation, and
consultation.
------------------------------------------------------------------------
Most certificate holders in the SMSVP have opted for WBAT Platform
Plus (+) support.
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\5\ Universal Technical Resource Services (UTRS) manages WBAT
platform on behalf of FAA (<a href="http://www.wbatsafety.com">www.wbatsafety.com</a>).
Table 10--WBAT Costs
------------------------------------------------------------------------
WBAT cost Annual cost Notes
------------------------------------------------------------------------
Small Certificate Holder $5,965/year......... $3,000 discount if
Tier 1 (1-100 active users). operator has a
fully executed FAA
Aviation System
Action program
(ASAP) Memorandum
of Understanding
(MOU).
Medium Certificate Holder $8,675/year......... $3,000 discount if
Tier 2 (101-250 active operator has a
users). fully executed FAA
ASAP MOU.
Medium Certificate Holder $15,180/year........ $3,000 discount if
Tier 3 (251-700 active operator has a
users). fully executed FAA
ASAP MOU.
Large Certificate Holder $15,180 + $10 $3,000 discount if
Tier 4 (>700 active users). additional user/ operator has a
year. fully executed FAA
ASAP MOU.
------------------------------------------------------------------------
Table 11--WBAT Cost if ASAP Is Required
------------------------------------------------------------------------
------------------------------------------------------------------------
Tier 1 (1-50 participants).. $3,000/year......... Additional one-time
$750 ASAP Service
set-up fee.
Tier 2 (51-100 participants) $6,000 + $50 per Additional one-time
participant >100/ $750 ASAP Service
year. set-up fee.
------------------------------------------------------------------------
Table 12--WBAT Cost if FOQA Is Required
------------------------------------------------------------------------
------------------------------------------------------------------------
Tier 1 (Basic).............. $15,000/year........ Cost does not
include initial
data mapping.
Tier 2 (Premium)............ $40,000/year........ Cost does not
include initial
data mapping.
------------------------------------------------------------------------
WBAT premium support is charged by number of active users in the
operator's organization.
The cost burden in implementing an SMS in the SMSVP depends on the
organization's operating certificate and number of aviation related
employees. The FAA estimates that the initial cost burden for a new
part 133/137, part 135,
[[Page 46368]]
part 141/142, part 145 ranges between $31,695 and $69,180. The initial
cost burden is related to commitment letter/entry into program,
schedule of events, compliance statement, and related documentation
(e.g., manuals, training, self-assessment, and validation).
Issued in Washington, DC.
Wesley L. Mooty,
Acting Deputy Executive Director, Flight Standards Service.
[FR Doc. 2023-15203 Filed 7-18-23; 8:45 am]
BILLING CODE 4910-13-P
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