Department of Transportation Federal Aviation Administration 14 CFR - PDF document

Vol. 80 Thursday, No. 5 January 8, 2015 Part VI Department of Transportation Federal Aviation Administration 14 CFR Parts 5 and 119 Safety Management Systems for Domestic, Flag, and Supplemental Operations Certificate Holders; Final Rule mstockstill on DSK4VPTVN1PROD with RULES4 VerDate Sep<11>2014 22:08 Jan 07, 2015 Jkt 235001 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\08JAR4.SGM 08JAR4

1308 Federal Register / Vol. 80, No. 5 / Thursday, January 8, 2015 / Rules and Regulations standards for other practices, methods, issues that may result in accidents or DEPARTMENT OF TRANSPORTATION and procedures necessary for safety in incidents. Federal Aviation Administration air commerce and national security. This final rule is part of the FAA’s In addition, the Airline Safety and efforts to continuously improve safety in 14 CFR Parts 5 and 119 Federal Aviation Administration air transportation by filling gaps through Extension Act of 2010 (the Act), Public improved management practices. SMS’s [Docket No. FAA–2009–0671; Amendment Law 111–216, sec. 215 (August 1, 2010), Nos. 5–1 and 119–17] proactive emphasis on hazard required the FAA to conduct identification and mitigation, and on RIN 2120–AJ86 rulemaking to ‘‘require all 14 CFR part communication of safety issues, will 121 air carriers to implement a safety provide air carriers with robust tools to Safety Management Systems for management system.’’ The Act required improve safety. Congress, in the Airline Domestic, Flag, and Supplemental the FAA to issue this final rule within Safety and Federal Aviation Operations Certificate Holders 24 months of the passing of the Act (July Administration Extension Act of 2010 30, 2012). AGENCY : Federal Aviation (Pub. L. 111–216, August 1, 2010), Administration (FAA), Department of Table of Contents directed the FAA to issue a notice of Transportation (DOT). proposed rulemaking within 90 days of I. Overview of the Final Rule ACTION : Final rule. enactment, and a final SMS rule by July II. Summary of the Costs and Benefits of the 30, 2012. In addition, the National Final Rule SUMMARY : This final rule requires each III. Background Transportation Safety Board (NTSB) has air carrier operating under 14 CFR part A. Summary of NPRM recommended the FAA pursue 121 to develop and implement a safety B. Summary of Comments rulemaking to require all part 121 management system (SMS) to improve IV. Discussion of Final Rule and Comments operators to implement an SMS. the safety of its aviation-related A. Scalability Further, the International Civil Aviation activities. SMS is a comprehensive, B. Scope and Definition of Hazard Organization (ICAO), in its March 2006 process-oriented approach to managing C. Protection of Information/Data From amendments to Annex 6 part I, which Disclosure Under Freedom of safety throughout an organization. SMS Information Act (FOIA) addresses operation of airplanes in includes an organization-wide safety D. Enforcement international commercial air transport, policy; formal methods for identifying E. Scope of SMS and Compliance With established a standard for member states hazards, controlling, and continually Administrative Procedure Act to mandate that each air carrier establish assessing risk and safety performance; F. Duplicative Rulemaking an SMS. This regulation will comply and promotion of a safety culture. SMS G. Credit for Pilot Project Participants and with the statutory requirement, fully stresses not only compliance with Adoption of Third Party/Accredited SMS address the NTSB recommendation, and H. Applicability, Subpart A— technical standards but also increased Implementation Plans harmonize U.S. requirements with ICAO emphasis on the overall safety I. Subpart B, Safety Policy—Designation of standards for air carriers operating performance of the organization. a Single Accountable Executive and under part 121. DATES : This final rule becomes effective Sufficient Safety Management Personnel March 9, 2015. While the commercial air carrier J. Subpart C, Safety Risk Management accident rate in the United States has FOR FURTHER INFORMATION CONTACT : (SRM) K. Subpart D, Safety Assurance decreased substantially over the past 10 Scott Van Buren, Chief System Engineer L. Subpart F, Recordkeeping and years, the FAA has identified a recent for Aviation Safety, Office of Accident Documentation Requirements trend involving hazards that were Investigation and Prevention (AVP), M. Flow-Down of Requirements revealed during accident investigations. Federal Aviation Administration, 800 N. FAA Capability To Manage Oversight The FAA’s Office of Accident Independence Avenue SW., O. Guidance Material Investigation and Prevention identified Washington, DC 20591; telephone: (202) P. Determination of Acceptable Levels of 123 accidents involving part 121 air 494–8417; facsimile: (202) 267–3992; Safety carriers from fiscal year (FY) 2001 email: scott.vanburen@faa.gov. For legal Q. Performance Based v. Process Based Regulation through FY 2010 for which identified questions, contact Alex Zektser, R. Employee Reporting Systems causal factors could have been mitigated Regulations Division, Office of the Chief V. Regulatory Notices and Analyses if air carriers had implemented an SMS Counsel, Federal Aviation VI. Executive Order Determinations to identify hazards in their operations Administration, 800 Independence VII. How To Obtain Additional Information and developed methods to control the Avenue SW., Washington, DC 20591; risk. 1 This type of approach allows air I. Overview of the Final Rule telephone: (202) 267–3073; facsimile: carriers to anticipate and mitigate the (202) 267–7971; email: alex.zektser@ This final rule requires air carriers likely causes of potential accidents. This faa.gov. authorized to conduct operations under is a significant improvement over 14 Code of Federal Regulations (CFR) SUPPLEMENTARY INFORMATION : current ‘‘reactive’’ safety action part 121 (part 121) to develop and I. Authority for This Rulemaking emphasis, which focuses on discovering implement a safety management system and mitigating the cause of an accident The Federal Aviation (SMS) to improve the safety of their only after that accident has occurred. In Administration’s (FAA) authority to aviation-related activities. SMS includes order to bring about this change in issue rules on aviation safety is found in an organization-wide safety policy; accident mitigation, as well as the other Title 49 of the United States Code. This formal methods for identifying hazards, mstockstill on DSK4VPTVN1PROD with RULES4 reasons discussed throughout this rulemaking is promulgated under the controlling, and continually assessing document, the FAA is requiring part 121 authority described in 49 U.S.C. 106(f), risk; and promotion of a safety culture. which establishes the authority of the When systematically applied, SMS 1 Initially, the analysis identified 172 accidents, Administrator to promulgate regulations provides a set of decision-making tools but this number was based on comments to the and rules and 49 U.S.C. 44701(a)(5), that air carriers can use to improve notice of proposed rulemaking. The accident which requires the Administrator to safety. SMS improves safety by analysis is discussed further in the Final Regulatory promulgate regulations and minimum addressing underlying organizational Evaluation. 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