[Federal Register Volume 77, Number 233 (Tuesday, December 4, 2012)]
[Rules and Regulations]
[Pages 71691-71695]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-29276]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 21
[Docket No. FAA-2001-8994; Amdt. No. 21-96]
RIN 2120-AK19
Type Certification Procedures for Changed Products
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Final rule; request for comments.
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SUMMARY: The FAA is revising a final rule published on June 7, 2000 (65
FR 36244). In that final rule, the FAA amended its regulations for the
certification of changes to type-certificated products. That amendment
was to enhance safety by applying the latest airworthiness standards,
to the extent practical, for the certification of significant design
changes of aircraft, aircraft engines, and propellers. The existing
rule requires the applicant show that the ``changed product'' complies
with applicable standards. This action revises that requirement so that
an applicant is required to show compliance only for the change and
areas affected by the change. The intended effect of this action is to
make the regulation consistent with the FAA's
[[Page 71692]]
intent and with the certification practice both before and after the
adoption of the existing rule.
DATES: Effective date: This rule becomes effective February 4, 2013.
Comment date: Send comments on or before January 3, 2013.
ADDRESSES: Send comments identified by docket number FAA-2001-8994
using any of the following methods:
Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for sending your
comments electronically.
Mail: Send comments to Docket Operations, M-30; U.S.
Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room
W12-140, West Building Ground Floor, Washington, DC 20590-0001.
Hand Delivery or Courier: Take comments to Docket
Operations in Room W12-140 of the West Building Ground Floor at 1200
New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.
Fax: Fax comments to Docket Operations at 202-493-2251.
Privacy: The FAA will post all comments it receives, without
change, to http://www.regulations.gov, including any personal
information the commenter provides. Using the search function of the
docket Web site, anyone can find and read the electronic form of all
comments received into any FAA docket. This includes the name of the
individual sending the comment (or signing the comment for an
association, business, labor union, etc.). DOT's complete Privacy Act
Statement can be found in the Federal Register published on April 11,
2000 (65 FR 19477-19478), as well as at http://DocketsInfo.dot.gov.
Docket: Background documents or comments received may be read at
http://www.regulations.gov at any time. Follow the online instructions
for accessing the docket or go to the Docket Operations in Room W12-140
of the West Building Ground Floor at 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays.
FOR FURTHER INFORMATION CONTACT: For technical questions concerning
this action, contact Victor Powell, Certification Procedures Office
(AIR-110), Aircraft Certification Service, Federal Aviation
Administration, 950 L'Enfant Plaza SW., Washington, DC 20024; telephone
(202) 385-6326; email victor.powell@faa.gov; or Randall Petersen,
Certification Procedures Office (AIR-110), Aircraft Certification
Service, Federal Aviation Administration, 950 L'Enfant Plaza SW.,
Washington, DC 20024; telephone (202) 385-6325, email
randall.petersen@faa.gov.
For legal questions concerning this action, contact Douglas
Anderson, Northwest Mountain Region--Deputy Regional Counsel (ANM-7),
Office of the Chief Counsel, Federal Aviation Administration Northwest
Mountain Regional Office, 1601 Lind Ave. SW., Renton, WA 98057;
telephone (425) 227-2166; facsimile (425) 227-1007; email
douglas.anderson@faa.gov.
SUPPLEMENTARY INFORMATION:
Authority for This Rulemaking
The Federal Aviation Administration's (FAA) authority to issue
rules on aviation safety is found in Title 49 of the United States
Code. Subtitle I, section 106, describes the authority of the FAA
Administrator. Subtitle VII, Aviation Programs, describes the scope of
the FAA Administrator's authority.
This rulemaking is promulgated under the authority described in
subtitle VII, part A, subpart III, chapter 447, section 44701. Under
that section, Congress charges the FAA with promoting the safe flight
of civil aircraft in air commerce by prescribing regulations for
practices, methods, and procedures the FAA Administrator finds
necessary for safety in air commerce. This regulation is within the
scope of that authority because it will clarify existing requirements
for an applicant's showing of compliance of an altered type-
certificated product.
I. Overview of Final Rule
The FAA has recognized over time the wording of current Sec.
21.101 may establish a requirement for a compliance showing that is too
broad for an applicant for a major design change. The current Sec.
21.101(a) requires an applicant to show the ``changed product'' meets
applicable airworthiness requirements.\1\ The purpose of Sec. 21.101
is to require an applicant to evaluate the proposed design change and
its effect on the product rather than the re-evaluation (certification)
of the entire changed product. Therefore, Sec. 21.101 is amended to
replace ``changed product'' with ``change and areas affected by the
change'' to accurately limit the scope of compliance responsibility for
the applicant. That change is also made in Sec. 21.97 for the same
reason.
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\1\ The term ``product'' is defined in Sec. 21.1(b) as
``aircraft, aircraft engine, or propeller.''
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II. Background
On June 7, 2000, the FAA published a final rule entitled, ``Type
Certification Procedures for Changed Products'' (65 FR 36244). In that
final rule, the FAA revised the procedural requirements for the
certification of changes to type-certificated products. The revision
required the applicant to apply the latest airworthiness standards in
effect, to the extent practical, for the certification of significant
design changes of aircraft, aircraft engines, and propellers. Before
this final rule, many changes to aeronautical products were not
required to show compliance with the latest airworthiness standards.
This rule was needed because incremental design approval changes
accumulated into significant differences from the original product. The
final rule was intended to expand under what conditions the latest
airworthiness amendments needed to be applied to changes to
aeronautical products.
A. Statement of the Problem
Section 21.101 requires that applicants show the ``changed
product'' meets the applicable requirements to obtain an amended type
certificate, supplemental type certificate, or amended supplemental
type certificate. While the purpose of the rule was to enhance safety
by requiring compliance with the latest amendments, we intended to
limit an applicant's responsibility to those areas affected by the
change. Areas not affected by the change, as described in Sec.
21.101(b)(2) need not be resubstantiated.
The preambles to the notice of proposed rulemaking (NPRM) (62 FR
24294, May 2, 1997) and the subsequent final rule entitled ``Type
Certification Procedures for Changed Products'' (65 FR 36244, June 7,
2000) established parameters of an applicant's responsibility for
showing compliance with the latest amendments to the change and those
areas affected by the change of a type-certificated product. However,
the term ``product'' is defined in Sec. 21.1(b) to mean ``aircraft,
aircraft engine, or propeller.'' By requiring applicants to show the
``changed product'' meets applicable requirements, we inadvertently
required the entire product be shown to meet at least the requirements
that applied to the original type certificate. This was not our intent
and was neither the FAA's practice before the adoption of that rule,
nor has it been our practice since its adoption.
B. Revision to the Regulation
The term ``changed product'' is replaced with ``change and areas
affected by the change'' in Sec. 21.101 to be consistent with the rule
language as established in Sec. 21.101(b)(2) and (b)(3)
[[Page 71693]]
and to clarify the responsibility of the applicant. The ``change''
refers to the design change proposed by the applicant. ``Areas affected
by the change'' refers to aspects of the type design the applicant may
not be proposing to change directly, but that are affected by the
applicant's proposal. For example, changing an airframe's structure,
such as adding a cargo door in one location, may affect the frame or
floor loading in another area. Further, upgrading engines with new
performance capabilities could require additional showing of compliance
for minimum control speeds and airplane performance requirements. For
many years the FAA has required applicants to consider these effects,
and this practice is unchanged by this rulemaking.
During efforts to revise Sec. 21.101, the FAA discovered that
Sec. 21.97(a)(2), Approval of major changes in type design, contains
similar language to Sec. 21.101 in the case of a ``changed product.''
The FAA has therefore determined that Sec. 21.97(a)(2) should also be
changed by this amendment.
IV. Regulatory Notices and Analyses
A. Regulatory Evaluation
Changes to Federal regulations must undergo several economic
analyses. First, Executive Orders 12866 and 13563 direct that each
Federal agency shall propose or adopt a regulation only upon a reasoned
determination the benefits of the intended regulation justify its
costs. Second, the Regulatory Flexibility Act of 1980 (Pub. L. 96-354)
requires agencies to analyze the economic impact of regulatory changes
on small entities. Third, the Trade Agreements Act (Pub. L. 96-39)
prohibits agencies from setting standards that create unnecessary
obstacles to the foreign commerce of the United States. In developing
U.S. standards, this Trade Act requires agencies to consider
international standards and, where appropriate, that they be the basis
of U.S. standards. Fourth, the Unfunded Mandates Reform Act of 1995
(Pub. L. 104-4) requires agencies to prepare a written assessment of
the costs, benefits, and other effects of proposed or final rules that
include a federal mandate likely to result in the expenditure by state,
local, or tribal governments, in the aggregate, or by the private
sector, of $100 million or more annually (adjusted for inflation with
base year of 1995). This portion of the preamble summarizes the FAA's
analysis of the economic impacts of this rule.
In conducting these analyses, the FAA determined that this rule:
(1) Has benefits that justify its costs, (2) is not an economically
``significant regulatory action'' as defined in section 3(f) of
Executive Order 12866, (3) is not ``significant'' as defined in DOT's
Regulatory Policies and Procedures, (4) will not have a significant
economic impact on a substantial number of small entities, (5) will not
create unnecessary obstacles to the foreign commerce of the United
States, and (6) will not impose an unfunded mandate on state, local, or
tribal governments, or on the private sector by exceeding the threshold
identified above.
Department of Transportation Order DOT 2100.5 prescribes policies
and procedures for simplification, analysis, and review of regulations.
If the expected cost impact is so minimal that a proposed or final rule
does not warrant a full evaluation, this order allows that a statement
to that effect and the basis for it to be included in the preamble if a
full regulatory evaluation of the cost and benefits is not prepared.
Such a minimal cost determination has been made on this final rule
because this requirement reflects current practices.
B. Regulatory Flexibility Determination
The Regulatory Flexibility Act of 1980 (Pub. L. 96-354) (RFA)
establishes ``as a principle of regulatory issuance that agencies shall
endeavor, consistent with the objectives of the rule and of applicable
statutes, to fit regulatory and informational requirements to the scale
of the businesses, organizations, and governmental jurisdictions
subject to regulation. To achieve this principle, agencies are required
to solicit and consider flexible regulatory proposals and to explain
the rationale for their actions to assure that such proposals are given
serious consideration.'' The RFA covers a wide range of small entities,
including small businesses, not-for-profit organizations, and small
governmental jurisdictions.
Agencies must perform a review to determine whether a final rule
will have a significant economic impact on a substantial number of
small entities. If the agency determines that it will, the agency must
prepare an initial regulatory flexibility analysis as described in the
RFA. However, if an agency determines that a final rule will not have a
significant economic impact on a substantial number of small entities,
section 605(b) of the RFA provides that the head of the agency may so
certify and a regulatory flexibility analysis is not required. The
certification must include a statement providing the factual basis for
this determination, and the reasoning should be clear.
The net economic impact of this rule is expected to be minimal. As
this rule is clarifying in nature, the acting FAA Administrator
certifies that this rule will not have a significant economic impact on
a substantial number of small entities.
C. International Trade Impact Assessment
The Trade Agreements Act of 1979 (Pub. L. 96-39), as amended by the
Uruguay Round Agreements Act (Pub. L. 103-465), prohibits Federal
agencies from establishing standards or engaging in related activities
that create unnecessary obstacles to the foreign commerce of the United
States. Pursuant to these Acts, the establishment of standards is not
considered an unnecessary obstacle to the foreign commerce of the
United States, so long as the standard has a legitimate domestic
objective, such as protection of safety, and does not operate in a
manner that excludes imports that meet this objective. The statute also
requires consideration of international standards and, where
appropriate, that they be the basis for U.S. standards. We assessed the
potential effect of this rule and determined that it will not
constitute an obstacle to the foreign commerce of the United States,
and, thus, is consistent with the Trade Assessments Act.
D. Unfunded Mandates Assessment
Title II of the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-
4) requires each Federal agency to prepare a written statement
assessing the effects of any Federal mandate in a proposed or final
agency rule that may result in an expenditure of $100 million or more
(adjusted annually for inflation with the base year 1995) in any one
year by state, local, and tribal governments, in the aggregate, or by
the private sector; such a mandate is deemed to be a ``significant
regulatory action.'' The FAA currently uses an inflation-adjusted value
of $143.1 million in lieu of $100 million. This rule does not contain
such a mandate; therefore, the requirements of Title II do not apply.
E. Paperwork Reduction Act
The Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)) requires
that the FAA consider the impact of paperwork and other information
collection burdens imposed on the public. The FAA has determined that
there is no new requirement for information collection associated with
this final rule.
[[Page 71694]]
F. International Compatibility and Cooperation
In keeping with U.S. obligations under the Convention on
International Civil Aviation, it is FAA policy to conform to
International Civil Aviation Organization (ICAO) Standards and
Recommended Practices to the maximum extent practicable. The FAA has
reviewed the corresponding ICAO Standards and Recommended Practices and
has identified no differences with these regulations.
Executive Order 13609, Promoting International Regulatory
Cooperation, promotes international regulatory cooperation to meet
shared challenges involving health, safety, labor, security,
environmental, and other issues and to reduce, eliminate, or prevent
unnecessary differences in regulatory requirements. The FAA has
analyzed this action under the policies and agency responsibilities of
Executive Order 13609, and has determined that this action would have
no effect on international regulatory cooperation.
G. Environmental Analysis
FAA Order 1050.1E identifies FAA actions that are categorically
excluded from preparation of an environmental assessment or
environmental impact statement under the National Environmental Policy
Act in the absence of extraordinary circumstances. The FAA has
determined this rulemaking action qualifies for the categorical
exclusion identified in paragraph 312(f) of the Order and involves no
extraordinary circumstances.
V. Executive Order Determinations
A. Executive Order 12866
See the ``Regulatory Evaluation'' discussion in the ``Regulatory
Notices and Analyses'' section elsewhere in this preamble.
B. Executive Order 13132, Federalism
The FAA has analyzed this final rule under the principles and
criteria of Executive Order 13132, Federalism. We determined that this
action will not have a substantial direct effect on the States, or the
relationship between the Federal Government and the States, or on the
distribution of power and responsibilities among the various levels of
government, and, therefore, will not have Federalism implications.
C. Executive Order 13211, Regulations That Significantly Affect Energy
Supply, Distribution, or Use
The FAA has analyzed this final rule under Executive Order 13211,
Actions Concerning Regulations that Significantly Affect Energy Supply,
Distribution, or Use (May 18, 2001). We have determined that it is not
a ``significant energy action'' under the executive order and it is not
likely to have a significant adverse effect on the supply,
distribution, or use of energy.
VI. Additional Information
A. Comments Invited
The FAA invites interested persons to participate in this
rulemaking by submitting written comments, data, or views. The agency
also invites comments relating to the economic, environmental, energy,
or federalism impacts that might result from adopting the amendments in
this document. The most helpful comments reference a specific portion
of the rulemaking, explain the reason for any recommended change, and
include supporting data. To ensure the docket does not contain
duplicate comments, commenters should send only one copy of written
comments, or if comments are filed electronically, commenters should
submit only one time.
The FAA will file in the docket all comments it receives, as well
as a report summarizing each substantive public contact with FAA
personnel concerning this rulemaking. Before acting on this rulemaking,
the FAA will consider all comments it receives on or before the closing
date for comments. The FAA will consider comments filed after the
comment period has closed if it is possible to do so without incurring
expense or delay. The agency may change this proposal in light of the
comments it receives.
Proprietary or Confidential Business Information: Commenters should
not file proprietary or confidential business information in the
docket. Such information must be sent or delivered directly to the
person identified in the FOR FURTHER INFORMATION CONTACT section of
this document, and marked as proprietary or confidential. If submitting
information on a disk or CD ROM, mark the outside of the disk or CD
ROM, and identify electronically within the disk or CD ROM the specific
information that is proprietary or confidential.
Under 14 CFR 11.35(b), if the FAA is aware of proprietary
information filed with a comment, the agency does not place it in the
docket. It is held in a separate file to which the public does not have
access, and the FAA places a note in the docket that it has received
it. If the FAA receives a request to examine or copy this information,
it treats it as any other request under the Freedom of Information Act
(5 U.S.C. 552). The FAA processes such a request under Department of
Transportation procedures found in 49 CFR part 7.
B. Availability of Rulemaking Documents
An electronic copy of a rulemaking document my be obtained by using
the Internet--
1. Search the Federal eRulemaking Portal (http://www.regulations.gov);
2. Visit the FAA's Regulations and Policies Web page at http://www.faa.gov/regulations_policies/; or
3. Access the Government Printing Office's Web page at http://www.gpo.gov/fdsys/.
Copies may also be obtained by sending a request (identified by
notice, amendment, or docket number of this rulemaking) to the Federal
Aviation Administration, Office of Rulemaking, ARM-1, 800 Independence
Avenue SW., Washington, DC 20591, or by calling (202) 267-9680.
C. Comments Submitted to the Docket
Comments received may be viewed by going to http://www.regulations.gov and following the online instructions to search the
docket number for this action. Anyone is able to search the electronic
form of all comments received into any of the FAA's dockets by the name
of the individual submitting the comment (or signing the comment, if
submitted on behalf of an association, business, labor union, etc.).
C. Small Business Regulatory Enforcement Fairness Act
The Small Business Regulatory Enforcement Fairness Act (SBREFA) of
1996 requires FAA to comply with small entity requests for information
or advice about compliance with statutes and regulations within its
jurisdiction. A small entity with questions regarding this document,
may contact its local FAA official, or the person listed under the FOR
FURTHER INFORMATION CONTACT heading at the beginning of the preamble.
To find out more about SBREFA on the Internet, visit http://www.faa.gov/regulations_policies/rulemaking/sbre_act/.
List of Subjects in 14 CFR Part 21
Aircraft, Aviation safety, Exports, Imports, Reporting and
recordkeeping requirements.
The Amendments
In consideration of the foregoing, the Federal Aviation
Administration amends chapter I of Title 14, Code of Federal
Regulations as follows:
[[Page 71695]]
PART 21--CERTIFICATION PROCEDURES FOR PRODUCTS AND PARTS
0
1. The authority citation for part 21 continues to read as follows:
Authority: 42 U.S.C. 7572; 49 U.S.C. 106(g), 40105, 40113,
44701-44702, 44704, 44707, 44709, 44711, 44713, 44715, 45303.
0
2. In Sec. 21.97, revise paragraph (a)(2) to read as follows:
Sec. 21.97 Approval of major changes in type design.
(a) * * *
(2) Show that the change and areas affected by the change comply
with the applicable requirements of this subchapter, and provide the
FAA the means by which such compliance has been shown; and
* * * * *
0
3. In Sec. 21.101, revise paragraphs (a), (b) introductory text,
(b)(3), and (c) to read as follows:
Sec. 21.101 Designation of applicable regulations.
(a) An applicant for a change to a type certificate must show that
the change and areas affected by the change comply with the
airworthiness requirements applicable to the category of the product in
effect on the date of the application for the change and with parts 34
and 36 of this chapter. Exceptions are detailed in paragraphs (b) and
(c) of this section.
(b) Except as provided in paragraph (g) of this section, if
paragraphs (b)(1), (2), or (3) of this section apply, an applicant may
show that the change and areas affected by the change comply with an
earlier amendment of a regulation required by paragraph (a) of this
section, and of any other regulation the FAA finds is directly related.
However, the earlier amended regulation may not precede either the
corresponding regulation incorporated by reference in the type
certificate, or any regulation in Sec. Sec. 23.2, 25.2, 27.2, or 29.2
of this subchapter that is related to the change. The applicant may
show compliance with an earlier amendment of a regulation for any of
the following:
* * * * *
(3) Each area, system, component, equipment, or appliance that is
affected by the change, for which the FAA finds that compliance with a
regulation described in paragraph (a) of this section would not
contribute materially to the level of safety of the product or would be
impractical.
(c) An applicant for a change to an aircraft (other than a
rotorcraft) of 6,000 pounds or less maximum weight, or to a non-turbine
rotorcraft of 3,000 pounds or less maximum weight may show that the
change and areas affected by the change comply with the regulations
incorporated by reference in the type certificate. However, if the FAA
finds that the change is significant in an area, the FAA may designate
compliance with an amendment to the regulation incorporated by
reference in the type certificate that applies to the change and any
regulation that the FAA finds is directly related, unless the FAA also
finds that compliance with that amendment or regulation would not
contribute materially to the level of safety of the product or would be
impractical.
* * * * *
Issued in Washington, DC on November 21, 2012.
Michael P. Huerta,
Acting Administrator.
[FR Doc. 2012-29276 Filed 12-3-12; 8:45 am]
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