[Federal Register Volume 68, Number 64 (Thursday, April 3, 2003)]
[Proposed Rules]
[Pages 16217-16220]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 03-8124]
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Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
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Federal Register / Vol. 68, No. 64 / Thursday, April 3, 2003 /
Proposed Rules
[[Page 16217]]
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 21
[Docket No. FAA-2003-14825; Notice No. 03-06]
RIN 2120-AH90
Standard Airworthiness Certification of New Aircraft
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Advance notice of proposed rulemaking.
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SUMMARY: The FAA seeks public comments in advance of a specific
proposal to amend the regulations for issuing a standard airworthiness
certificate to certain new aircraft manufactured in the United States.
The proposal would address a concern that under the current
regulations, certain new aircraft are eligible for a standard
airworthiness certificate without meeting the requirements of a type
certificate and without having been manufactured under an FAA
production approval. The intended effect is to increase efficiency by
ensuring that all new aircraft manufactured in the United States
receive a standard airworthiness certificate only after the aircraft
have been type certificated and manufactured under an FAA production
approval.
DATES: Send your comments to reach us by June 2, 2003.
ADDRESSES: Address your comments to the Docket Management System, U.S.
Department of Transportation, Room Plaza 401, 400 7th Street, SW.,
Washington, DC 20590-0001. You must identify the docket number at the
beginning of your comments, and you should send two copies of your
comments. If you wish to receive confirmation that the FAA received
your comments, include a self-addressed, stamped postcard.
You may also send comments through the Internet to http://
dms.dot.gov. You may review the public docket containing comments to
these proposed regulations in person in the Dockets Office between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays. The
Dockets Office is on the plaza level of the NASSIF Building at the
Department of Transportation at the above address. Also, you may review
public dockets on the Internet at http://dms.dot.gov.
FOR FURTHER INFORMATION CONTACT: Frank P. Paskiewicz, Production and
Airworthiness Division, AIR-200, Federal Aviation Administration, 800
Independence Avenue, SW., Washington, DC 20591, telephone (202) 267-
8361.
SUPPLEMENTARY INFORMATION:
Comments Invited
The FAA invites interested people to take part in this rulemaking
by sending written comments, data, or views. We also invite comments
about the economic, environmental, energy, or federalism impacts that
might result from adopting the proposals in this document. The most
helpful comments reference a specific portion of this advance notice,
explain the reason for any recommendation, and include supporting data.
We ask that you send us two copies of written comments.
We will file in the docket all comments we receive, as well as a
report summarizing each substantive public contact with FAA personnel
about this advance notice. The docket is available for public
inspection before and after the comment closing date. If you wish to
review the docket in person, go to the address in the ADDRESSES section
of this advance notice. The docket is open between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. You may also review the
docket using the Internet at the web address in the ADDRESSES section.
Before issuing a notice of proposed rulemaking or taking other
rulemaking action, we will consider all comments we receive before the
closing date for comments. We will consider comments filed late if it
is possible to do so without incurring expense or delay. We may change
this proposal because of the comments we receive.
If you want the FAA to acknowledge receipt of your comments on this
advance notice, include with your comments a preaddressed, stamped
postcard on which the docket number appears. We will stamp the date on
the postcard and mail it back to you.
Availability of Rulemaking Documents
You can get an electronic copy using the Internet by:
[sbull] Searching the Department of Transportation's electronic
Docket Management System (DMS) web page (http://dms.dot.gov/search);
[sbull] Visiting the Office of Rulemaking's web page at http://
www.faa.gov/avr/arm/index.cfm; or
[sbull] Accessing the Government Printing Office's web page at
http://www.access.gpo.gov/su_docs/aces/aces140.html.
You can also get a copy by sending a request to the Federal
Aviation Administration, Office of Rulemaking, ARM-1, 800 Independence
Avenue SW., Washington, DC 20591, or by calling (202) 267-9680. Make
sure to identify the docket number or notice number of this advance
notice.
Background
14 CFR 21.183(d), Other aircraft
Section 21.183(d) applies to applicants for standard airworthiness
certificates for aircraft not covered by Sec. 21.183(a), (b), or (c).
An applicant under Sec. 21.183(d) is entitled to a standard
airworthiness certificate if he or she presents evidence the aircraft
conforms to a type design approved under a type certificate or a
supplemental type certificate and to applicable Airworthiness
Directives. The Administrator must also find, after inspection, that
the aircraft conforms to the type design and is in condition for safe
operation. The aircraft covered by paragraphs (a) and (b) of Sec.
21.183 are (a) new aircraft manufactured under a production certificate
and (b) new aircraft manufactured under a type certificate only.\1\
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\1\ Section 21.183(c) applies to airworthiness certificates for
import aircraft. Although such aircraft are not produced under a
U.S. type certificate/production certificate process, they are
produced under similar regulations and processes enacted by the
countries in which the aircraft were manufactured, which establishes
similar assurances of compliance with airworthiness standards.
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The requirements of Sec. 21.183(d) were originally adopted in 1959
as an amendment to Sec. 1.67(d) of the Civil Air Regulations (CAR),
which were issued by the FAA's predecessor, the Federal Aviation
Agency. CAR Amendment 1-2,
[[Page 16218]]
dated September 1, 1959 (24 FR 7065), added a new paragraph (d),
entitled ``Other aircraft.'' Amendment 1-2 provided for the
airworthiness certification of aircraft that were used in military
service and later released for civil use, and for other aircraft that
had not had their airworthiness status maintained. The amendment stated
that the regulation was created for other than newly manufactured
aircraft. Section 21.183(d) has remained substantially unchanged since
1959.
The plain language of the regulation, however, does not limit the
applicability of Sec. 21.183(d) to surplus military aircraft, aircraft
that have not had their airworthiness status maintained, or other than
newly manufactured aircraft. Limited data and historical records show
that, until recently, only a few newly manufactured aircraft have
received standard airworthiness certificates on a case-by-case basis
under Sec. 21.183(d). These newly manufactured aircraft ``arrive'' at
the airworthiness certification process as new aircraft that were not
produced under an FAA production approval. On the other hand, the
practice of issuing standard airworthiness certificates to surplus
military aircraft released for civil use and aircraft that have not had
their airworthiness status maintained has been ongoing for many years.
Surplus military aircraft and aircraft that have not had their
airworthiness status maintained ``arrive'' at the airworthiness
certification process as used aircraft (those that have had time in
service).
In 1966, the FAA proposed to amend Sec. 21.183 by separating newly
manufactured aircraft not manufactured under a type certificate or a
production certificate from paragraph (d). See 31 FR 8075, June 8,
1966. Public comments received in response to the proposal showed a
misunderstanding of the proposal's intent. Commenters mistakenly
believed the FAA intended a broad change to past certification
practices of issuing airworthiness certificates to surplus military
aircraft and aircraft that had not had their airworthiness status
maintained. Since the FAA did not intend such a broad change, and since
few new aircraft fell within the intended scope of the change, the FAA
decided to abandon the proposed change. See 32 FR 14925, Oct. 28, 1967.
The FAA did state that although we would not adopt the proposed change,
we would continue to issue standard airworthiness certificates to newly
manufactured aircraft under Sec. 21.183(d).
The System for Production of New Duplicate Aircraft
For the FAA to have confidence in the certification system of new
aircraft manufactured in the United States, and the authenticity of
their production, the FAA has created a three-step system of type
certification, production certification, and airworthiness
certification based on Title 49 of the United States Code. Type
certification examines the basic design of the aircraft against the
applicable airworthiness standards. Issuance of a type certificate (TC)
is FAA approval that the design meets the applicable airworthiness
standards of the Code of Federal Regulations. Production certification
examines whether the system used to produce duplicate aircraft will
result in products \2\ that meet the design provisions of the pertinent
TC. Issuance of a production certificate (PC) is a finding by the FAA
that the quality control system of a manufacturer will reliably produce
duplicate versions of a product that conforms to an approved type
design. The FAA issues a standard airworthiness certificate to
individual aircraft after finding that the aircraft conforms to the
type design and is in condition for safe operation.
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\2\ The term ``products'' means aircraft, engines, propellers,
or appliances.
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Safety Benefits Assumed by the Linkage of the Type Certificate and the
Production Certificate
A connection between the TC and the PC provides an individual and a
cumulative benefit. The individual benefit applies to an aircraft
produced for initial airworthiness certification. For these aircraft,
any deviation from the approved type design that is found during the
conformity inspection can be evaluated by comparison to the supporting
data that supports issuance of the TC and any changes made after the
initial TC issuance. This evaluation assures the standard airworthiness
certificate means the individual aircraft satisfies all the
airworthiness standards identified by the TC.
The cumulative benefit applies to evaluating the cumulative effect
of changes made after the initial issuance of the TC. The linkage of
the PC to the TC supporting data enables the aircraft manufacturer to
evaluate the cumulative effect of many changes made over time. The
manufacturer can also determine that a changed aircraft presented for
original airworthiness certification continues to comply with the
airworthiness standards identified in the TC. The FAA requests comments
from manufacturers on how, for an aircraft presented for original
standard airworthiness certification, they evaluate the interactive and
cumulative effect of changes on the aircraft's compliance with all the
airworthiness standards identified in the TC.
The Level of Safety Assumed for Newly Manufactured Aircraft
Nearly all new aircraft manufactured in the United States are
eligible for airworthiness certificates since they are produced under
the TC and PC processes that ensure the aircraft conform to a type
design and are in condition for safe operation. The FAA, the
manufacturer, civil aviation authorities of other countries, and the
public rely on the TC and PC processes to accurately produce multiple
copies of an aircraft that meet airworthiness standards. Paragraphs (a)
and (b) of Sec. 21.183 recognize this process in issuing standard
airworthiness certificates to aircraft produced in this manner. Also,
as stated in the next section of this advance notice, entitled
``Discussion,'' the TC and PC holders have certain responsibilities
connected with holding these privileges.
New aircraft presented for standard airworthiness certification
under Sec. 21.183(d) do not have the same level of certitude as newly
manufactured aircraft produced under the TC and PC processes. Section
21.183(d) aircraft presented for airworthiness certification do not
have the advantage of prior examination and approval by the FAA of a
production quality system, and a finding by the FAA of accurate
reproduction is difficult. The applicant for an airworthiness
certificate must make a detailed, aircraft-by-aircraft showing to
support the entitlement to individual airworthiness certificates,
placing a great burden on both the applicant and the FAA.
Discussion
Readers should note that we are directing this Discussion section
and the issues and proposals described in this advance notice at
aircraft that are issued standard airworthiness certificates. We do not
intend for this advance notice to apply to the proposed category of
light-sport aircraft, which is the subject of a recent notice of
proposed rulemaking (67 FR 5368, February 5, 2002).
The FAA's Aircraft Certification Service has recently learned that
people are, or plan to be, engaged in manufacture or assembly of new
aircraft, intending to obtain standard airworthiness certificates under
14 CFR 21.183(d). The builders of these aircraft do not hold a TC,
supplemental type certificate (STC), or a PC, nor would
[[Page 16219]]
they have authorization from the original TC holder to use the TC in
the manufacture of new aircraft. These people intend to build aircraft
that match a type design under a previously approved TC, but without
the permission of the TC holder to use the design, and without a PC.
Because these aircraft builders do not hold a PC, the FAA has no
assurance preceding issuance of a standard airworthiness certificate
that the individual aircraft produced conforms to the type design. Each
aircraft must be individually evaluated, compared to type design data,
and determined to be in condition for safe operation, which is often
difficult to do. Even assuming the builder can meet this burden for
each aircraft produced, the resulting burden on the FAA to make the
evaluations is significant. Given the limited resources available to
the FAA, such a process is unworkable.
Also, since the builder does not hold a TC, several of the
regulatory responsibilities of a TC holder do not apply. For example,
without a TC, builders of new aircraft who apply for standard
airworthiness certificates under paragraph (d) do not have to:
1. Have access to the supporting data originally used to show
compliance to the airworthiness standards;
2. Provide instructions for continued airworthiness;
3. Establish and maintain an FAA production approval;
4. Report failures, malfunctions, or defects; and
5. Develop design changes to address safety issues identified by an
Airworthiness Directive.
As a result, safety may be compromised, or an undue burden placed on
the FAA to oversee or independently fulfill these functions which
legitimately should remain with the builder of the aircraft.
Obtaining type and production certificates for manufacturing new
products is a fundamental concept in the regulatory framework. Inherent
in this concept is the entitlement for a PC holder to obtain a standard
airworthiness certificate without further showing to the FAA. However,
building new aircraft for the issuance of standard airworthiness
certificates under Sec. 21.183(d) is not consistent with the
regulatory framework or with the requirements for obtaining standard
airworthiness certificates under Sec. 21.183(a), New aircraft
manufactured under a production certificate or Sec. 21.183(b), New
aircraft manufactured under type certificate only.
As mentioned in the ``Background'' discussion, the FAA recognized
this issue in 1966 when it first proposed a change to Sec. 21.183(d)
to remove newly manufactured aircraft from its scope. In part, the FAA
ended the 1966 rulemaking because the size of the problem was
insignificant. But recent applications for standard airworthiness
certificates for newly built aircraft under Sec. 21.183(d) show that
the FAA must now address the issue.
Lastly, another issue involves Annex 8 to the Convention on
International Civil Aviation (ICAO Annex 8). Each standard
airworthiness certificate issued to an aircraft contains the statement
that the aircraft meets ICAO Annex 8 requirements allowing them to be
eligible for export. ICAO Annex 8, Section 2.2.3, states, ``When
approving production of aircraft or aircraft parts, a Contracting State
shall ensure that it is performed in a controlled manner including the
use of a quality system so that construction and assembly are
satisfactory.'' The FAA is considering whether production and standard
airworthiness certification of new aircraft under Sec. 21.183(d) meets
ICAO quality system requirements. A change to Sec. 21.183(d), using
the formal FAA production approval process, might be necessary to
definitively ensure new aircraft production tracks this ICAO provision
and the aircraft produced are eligible for export.
Proposed Definitions, Regulations, and Policy Changes
This advance notice proposes the following new definitions and
regulation and policy changes:
Definitions
The FAA seeks public comments on the definitions of the following
terms:
Manufacturer means the person who holds (or has a license or
similar rights to) the approved type certificate and who controls the
quality of the product (aircraft, engine, propeller, or appliance) or
article produced (or to be produced, in the case of an application),
including the parts of them or any processes or services related to
them that are procured from an outside source; and who holds a
production approval issued by the FAA.
New aircraft means an aircraft may be considered new as long as the
manufacturer, distributor, or dealer retains ownership; if there are no
intervening private owner, lease, or time-sharing arrangements; and the
aircraft has not been used in any Armed Force, pilot school, or air
taxi operation. Aircraft operated for conducting flight tests to meet
the requirements for production flight testing are considered new.
Spare part means an accessory, appurtenance, or part of an
aircraft, aircraft engine, propeller, or appliance that is to be
installed at a later time in an aircraft, aircraft engine, propeller,
or appliance. An aircraft engine, propeller, or appliance is not
considered a spare part to the next higher level assembly. A spare part
must be produced under an appropriate FAA production approval.
Surplus part means an accessory, appurtenance, or part of an
aircraft, aircraft engine, propeller, or appliance that has been
released as surplus by the military, manufacturer, owner/operator,
repair facility, or any other parts supplier. An aircraft engine,
propeller, or appliance is not considered a surplus part to the next
higher level assembly. A surplus part must be produced under an
appropriate FAA production approval or have been produced under
contract to the Armed Forces.
Used aircraft means aircraft with ``time in service'' that have
held an airworthiness certificate or have been operated by the Armed
Forces. ``Time in service'' does not include operations for the purpose
of conducting production flight testing. Used aircraft do not include
aircraft that have been classified as ``demolished'' on the National
Transportation Safety Board (NTSB) Form 6120.1/2, Pilot/Operator
Aircraft Accident Report.
Regulations and Policy Changes
The FAA seeks public comments on the following possible changes.
The FAA also seeks suggestions on other methods to address the problem.
1. Amend 14 CFR part 21 to require a person to hold a TC (or
license to it) and a production approval to be eligible for a standard
airworthiness certificate for new aircraft manufactured in the United
States. Standard airworthiness certificates will only be issued to
these aircraft under existing Sec. 21.183(a), New aircraft
manufactured under a production certificate, or Sec. 21.183(b), New
aircraft manufactured under type certificate only.
2. Amend 14 CFR part 21 to specify that only used aircraft will be
eligible for standard airworthiness certificates under Sec. 21.183(d).
Used aircraft that are eligible and would continue to be eligible under
Sec. 21.183(d) include: a. Surplus military aircraft; and b. Used
aircraft that have not had their airworthiness status maintained, which
includes aircraft reassembled from spare and surplus parts.
3. Revise the associated FAA policy and guidance to reflect the
proposed changes in 1 and 2 above.
These proposed changes would ensure the proper assignment of type
[[Page 16220]]
certificate and production approval holder responsibilities to the
manufacturers of new aircraft produced in the United States. This
advance notice does not propose any changes to Sec. 21.183(a), New
aircraft manufactured under a production certificate, Sec. 21.183(b),
New aircraft manufactured under type certificate only, or Sec.
21.183(c), Import aircraft.
Economic Impact
Proposed changes to Federal regulations must undergo several
economic analyses. Executive Order 12866 directs each Federal agency to
propose or adopt a regulation only if the agency makes a reasoned
determination that the benefits of the intended regulations justify its
cost. In addition, the Regulatory Flexibility Act of 1980, as amended,
required agencies to analyze the economic impact of regulatory changes
on small entities. Other analyses are also required.
To aid the FAA in performing these analyses in the event that we
propose a regulation, we request responses to the following questions:
1. If you are manufacturing or assembling in the United States new
aircraft that received standard airworthiness certification under Sec.
21.183(d), or if you expect to apply for airworthiness certification
under Sec. 21.183(d) to produce new aircraft'
[sbull] What is the name of your company?
[sbull] How many people does your company employ?
[sbull] How many new aircraft certificated under Sec. 21.183(d) do
you expect to produce in the future? If possible, give annual
production estimates.
2. If you are producing or plan to produce new aircraft that are or
would be airworthiness certificated under Sec. 21.183(d), what do you
estimate the cost of airworthiness certification under Sec. 21.183(a)
or (b) would be relative to airworthiness certification under Sec.
21.183(d)? Please be as specific as possible in identifying additional
required tests, analyses, and demonstrations and their estimated costs.
3. If you are producing or plan to produce new aircraft
airworthiness certificated under Sec. 21.183(d), what do you estimate
the cost of manufacture (per aircraft) would be if the aircraft were
airworthiness certificated under Sec. 21.183(a) or (b) compared with
airworthiness certification under Sec. 21.183(d)? Please be as
specific as possible in identifying required changes in equipment,
materials, and manufacturing methods and their estimated costs.
4. If you are producing or plan to produce new aircraft
airworthiness certificated under Sec. 21.183(d), and you had to wait
for the FAA to issue the airworthiness certificate for each aircraft,
what do you estimate the cost would be (per day) once the aircraft was
ready for certification?
5. Please provide any other specific information, data, or analyses
that you believe may be useful in estimating the costs associated with
a potential rulemaking action to preclude the standard airworthiness
certification of new aircraft under Sec. 21.183(d).
Issued in Washington, DC, on March 31, 2003.
John J. Hickey,
Director, Aircraft Certification Service, AIR-1.
[FR Doc. 03-8124 Filed 4-2-03; 8:45 am]
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