Document ID: FAA-2023-0944-0001
Agency: faa
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals: Safety Management System Voluntary Program
Posted Date: 2023-07-19T04:00Z

[Federal Register Volume 88, Number 137 (Wednesday, July 19, 2023)]
[Notices]
[Pages 46364-46368]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-15203]

=======================================================================
-----------------------------------------------------------------------

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.

-----------------------------------------------------------------------

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: www.regulations.gov (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: [email protected]; 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\
---------------------------------------------------------------------------

    \1\ SMSVP guidance and requirements is found in Order 8900.1, 
Volume 17, Chapter 2 Voluntary Program.
---------------------------------------------------------------------------

    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.
---------------------------------------------------------------------------

    \2\ Three SMSVP participants possess more than one operating 
certificates totaling 214 certificates for 210 participants.
---------------------------------------------------------------------------

    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
---------------------------------------------------------------------------

    \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: https://www.bls.gov/oes/current/oes152031.htm.

                          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
                                                               -------------------------------------------------
    Total # of responses......................................               0                10               0
    Total burden (hours)......................................               0               160               0
----------------------------------------------------------------------------------------------------------------

                                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
                                                               -------------------------------------------------
    Total # of responses......................................               0               252               0
    Total burden (hours)......................................               0             2,016               0
----------------------------------------------------------------------------------------------------------------

[[Page 46366]]

                            Table 4--Summary of Annual Burden for 14 CFR 141 and 142
----------------------------------------------------------------------------------------------------------------
                   Summary (annual numbers)                        Reporting      Recordkeeping     Disclosure
----------------------------------------------------------------------------------------------------------------
# Of Respondents..............................................               0                 6               0
# Of Responses per respondent.................................               0                 2               0
Time per Response (hours).....................................               0                 8               0
                                                               -------------------------------------------------
    Total # of responses......................................               0                12               0
    Total burden (hours)......................................               0                96               0
----------------------------------------------------------------------------------------------------------------

                                Table 5--Summary of Annual Burden for 14 CFR 145
----------------------------------------------------------------------------------------------------------------
                   Summary (annual numbers)                        Reporting      Recordkeeping     Disclosure
----------------------------------------------------------------------------------------------------------------
# Of Respondents..............................................               0                73               0
# Of Responses per respondent.................................               0                 2               0
Time per Response (hours).....................................               0                 8               0
                                                               -------------------------------------------------
    Total # of responses......................................               0               146               0
    Total burden (hours)......................................               0             1,168               0
----------------------------------------------------------------------------------------------------------------

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
------------------------------------------------------------------------

                  Table 7--Summary of Annual Labor Cost
------------------------------------------------------------------------
Develop initial implementation--Analysis                    Year 2 (or
               labor cost                     Year 1        completion)
------------------------------------------------------------------------
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
------------------------------------------------------------------------

    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\
---------------------------------------------------------------------------

    \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.
------------------------------------------------------------------------

[[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
                               Unlimited     number of active
                               help desk support     users.
                               during business
                               hours..
                               Unlimited
                               scheduled training
                               by webinar and
                               video on demand.
                               Discounted
                               rates for user
                               conferences.
                               Discounted
                               rates for
                               customization
                               services.
                               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:
                               Aviation
                               Safety Action
                               Program (ASAP)..
                               Flight
                               Operational Quality
                               Assurance (FOQA).
                               SMS
                               Services (safety
                               assurance, safety
                               risk management,
                               report processing).
                              
                               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.
---------------------------------------------------------------------------

    \5\ Universal Technical Resource Services (UTRS) manages WBAT 
platform on behalf of FAA (www.wbatsafety.com).

                          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