[Federal Register Volume 84, Number 36 (Friday, February 22, 2019)]
[Proposed Rules]
[Pages 5605-5608]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-02634]
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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. 84, No. 36 / Friday, February 22, 2019 /
Proposed Rules
[[Page 5605]]
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 21
[Docket No.: FAA-2018-1052; Notice No. 18-09]
RIN 2120-AL10
Foreign Civil Aviation Authority Certifying Statements
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Notice of proposed rulemaking (NPRM).
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SUMMARY: The FAA proposes to revise a regulation that imposes a
duplicative requirement on foreign applicants for type certificates of
import products. Existing FAA regulations require all applicants to
submit two documents: A compliance listing to document the means of
compliance with applicable standards; and a corresponding statement of
compliance from the applicant certifying that all the requirements in
the certification basis have been complied with. These compliance
documents are duplicative and redundant to the certifying statement
that the FAA already requires from the foreign civil aviation authority
of the country or jurisdiction having State of Design responsibility
for the design approval holder of the product. The FAA proposes to no
longer require either the compliance listing or the accompanying
statement of compliance from the foreign applicant.
DATES: Send comments on or before April 23, 2019.
ADDRESSES: Send comments identified by docket number FAA-2018-1052
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 website, anyone can find and read the electronic form of all
comments received into any FAA docket, including 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), 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 questions concerning this action,
contact Steve Flanagan, Policy and Innovation Division Certification
Procedures Branch (AIR-6C0), Aircraft Certification Service, Federal
Aviation Administration, 800 Independence Ave. SW, Washington, DC
20027; telephone (202) 267-1602; email [email protected].
SUPPLEMENTARY INFORMATION:
Authority for This Rulemaking
The FAA's authority to issue rules 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 in
more detail the scope of the agency's authority.
This rulemaking is promulgated under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701. Under that section,
the FAA is charged with promoting safe flight of civil airplanes in air
commerce by prescribing minimum standards required in the interest of
safety for the design and performance of airplanes. The FAA also has
the authority to prescribe regulations for other practices, methods,
and procedures it finds necessary for safety in air commerce. This
rulemaking is within the scope of that authority because the proposed
rule would eliminate duplication and promote efficiency in the issuance
of type certificate approvals for import products certified by
bilateral partners of the FAA, while continuing to meet the FAA's
charge to promote safe flight.
I. Overview of the Proposal
The FAA proposes to amend 14 CFR 21.20, ``Compliance with
applicable requirements,'' to exclude its applicability to import
products that have been type certificated outside of the United States
by a bilateral partner civil aviation authority (``CAA''). These
products are validated by the FAA consistent with the requirements in
14 CFR 21.29, ``Issue of type certificate: import products.'' This
proposed rule change would eliminate the necessity for redundant
compliance documents to the FAA by both the CAA and the foreign
applicant. The FAA would no longer require the foreign applicant to
submit either the means of compliance listing or the accompanying
statement of compliance because the FAA already requires that the
applicant provide technical data to show compliance and for the
bilateral partner CAA to provide a certifying statement of compliance.
In addition to streamlining the application process for import
products, this proposal would eliminate a burden to the FAA of
accepting and reviewing redundant and duplicative information. This
rule does not propose any changes to substantive type certification
requirements applicable to foreign applicants. bnm
II. Background
The United States has bilateral aviation agreements with numerous
foreign countries for the acceptance of aeronautical products for
export and import. The FAA and the foreign civil aviation authority
(CAA) are responsible for implementing these agreements. Before making
an agreement, the FAA thoroughly reviews the certification and
production systems of the foreign
[[Page 5606]]
authority, including its organization, personnel, processes and
regulations. Approval of the bilateral agreement makes the foreign
authority (the CAA) a bilateral partner. The FAA does not sign an
agreement unless the FAA has confidence in the CAA's system for
certifying aviation products and overseeing the design organizations
and manufacturers under its authority. Under these bilateral
agreements, the CAA's type certification of a product is accepted by
the FAA for import through a ``validation'' process to ensure all
applicable requirements are met, including the procedural requirements
in Sec. 21.29, ``Issue of type certificate: import products.'' \1\
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\1\ For additional information on the validation process, see
FAA Order 8110.52B, Type Validation and Post-type Validation
Procedures, available online at https://www.faa.gov/regulations_policies/orders_notices/index.cfm/go/document.information/documentid/1031946.
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Section 21.29(a)(1) provides in pertinent part that the FAA may
issue a type certificate (``TC'') for an import product if the
applicable State of Design (i.e. the bilateral partner) ``certifies
that the product has been examined, tested, and found to meet,''
applicable requirements for aircraft noise, fuel venting, exhaust
emissions, and airworthiness. Therefore, in order for a product to
receive a validated TC from the FAA for import of the product, the
applicable foreign CAA must submit to the FAA a certifying statement
that the product complies with the requirements and standards which are
identified in the product's certification basis.
In accordance with Sec. 21.29(a)(2), the FAA requires further that
the foreign applicant provide to the CAA technical data to show that
the product meets the applicable airworthiness and environmental
requirements. In practice, this requirement is accomplished when the
applicant submits to its CAA the technical data necessary for the CAA
to certificate the product. Through the typical terms of a bilateral
agreement, the FAA has access to this compliance data upon request to
the CAA.
Section 21.20, ``Compliance with applicable requirements,'' was
issued in 2009 rule (74 FR 53385, October 16, 2009). That provision
requires an applicant for a type certificate, including an amended or
supplemental type certificate, to show and certify compliance with all
applicable requirements by submitting to the FAA two different
compliance documents: A compliance listing (Sec. 21.20(a)); and a
corresponding applicant statement of compliance \2\ (Sec. 21.20(b))
certifying the applicant complies with the applicable requirements in
its certification basis. In most cases, the Sec. 21.20(a) statement
takes the form of a compliance listing to document the means of
compliance, as described in Advisory Circular (AC) No. 21-51,
Applicant's Showing of Compliance and Certifying Statement of
Compliance (Sep. 28, 2011). At a minimum, the compliance listing
contains the following information: The design data; all the
requirements to be complied with; the means of compliance, whether by
analysis, test (flight, ground, or other), design similarity,
equivalent level of safety, or exemption, etc.; and a reference to the
substantiating data and documentation used to show compliance.
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\2\ The FAA has previously referred to the statement required
under Sec. 21.20(b) as the applicant ``certifying statement.''
However, in order to distinguish between the foreign CAA
``certifying statement'' under Sec. 21.29(a), the FAA now refers to
the Sec. 21.20(b) statement as the applicant ``statement of
compliance.''
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Section 21.20(b) establishes the FAA requirement for the TC
applicant's statement of compliance with applicable requirements, the
second of the two documents required by Sec. 21.20 from an applicant
for an FAA TC. An FAA TC applicant typically submits this statement of
compliance upon completion of its FAA TC program.\3\ Like the Sec.
21.29(a)(1) certifying statement from the foreign CAA, the Sec.
21.20(b) applicant statement of compliance contributes to product
safety and compliance by the FAA applicant's certification document
stating that the product being certified complies with minimum safety,
environmental, and other requirements identified in the product's FAA
certification basis.
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\3\ For additional information on type certification programs,
see FAA Order 8110.4C, Type Certification, available online at
https://www.faa.gov/regulations_policies/orders_notices/index.cfm/go/document.information/documentid/15172.
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As written, Sec. 21.20 requires compliance documents from all
applicants for type certificates, including foreign applicants seeking
validation by the FAA of the foreign CAA's TC of the import product
under Sec. 21.29. Section 21.20, therefore, requires foreign
applicants to generate and submit to the FAA the two applicant
compliance documents described above. These redundant and duplicative
data are in addition to the Sec. 21.29(a)(1) and (2) requirements
which request the same information.
III. Discussion of the Proposal
The FAA proposes to eliminate the requirement on foreign applicants
of import products to submit the compliance listing and applicant
statement of compliance. Both of these documents are duplicative and
redundant of the foreign CAA certifying statement. The FAA is amending
Sec. 21.20 to specifically exclude its applicability to those
applicants seeking FAA validation TCs for import products under Sec.
21.29.
The foreign CAA's certifying statement required in Sec.
21.29(a)(1) and the applicant's statement of compliance required in
Sec. 21.20(b) are substantively the same and duplicative. They both
provide certification that a product complies with the applicable
airworthiness, environmental, and other requirements in its
certification basis. Whether it is the foreign applicant or the CAA
that makes the statement is of no regulatory or legal significance.
Regardless of which person submits the statement, a fraudulent,
intentionally false, or misleading statement is a basis for denying
issuance of a type certificate and suspending or revoking an existing
type certificate. See 14 CFR 21.2, ``Falsification of applications,
reports, or records.'' Moreover, as stated above, the FAA enters into a
bilateral aviation agreement only if it has confidence in the foreign
CAA's certification system. This confidence extends to that CAA's
capability to certify that an import product has been examined, tested,
and found to meet applicable requirements. The additional statement of
compliance to the FAA by the foreign applicant is superfluous in light
of the bilateral partner's responsibilities.
The compliance listing required under Sec. 21.20(a) is also
unnecessary for foreign applicants of type certificates of import
products. When a foreign applicant seeks type certification through the
validation process set forth in Sec. 21.29, it will have already
acquired, or is concurrently applying for, type certification through
its own CAA. As required by Sec. 21.29(a)(2), the foreign applicant
must have provided, or is concurrently providing, technical data to its
own CAA to show that the product meets all applicable airworthiness,
environmental, and other requirements documented in the certification
basis of the TC issued by the CAA. This information is available to the
FAA during validation if needed under the terms of the bilateral
agreement. Therefore, an additional compliance listing from the foreign
applicant is redundant in light of the requirements
[[Page 5607]]
in Sec. 21.29(a) and the CAA's work during its TC program.
This proposed rule would eliminate the burden on foreign applicants
to produce and submit redundant documentation and would relieve the FAA
from the administrative burden associated with processing this
redundant paperwork. This proposal would apply to all type certificate
applications under Sec. 21.29, including product type, amended type,
supplemental, and amended supplemental type certificates. This proposal
would streamline the TC process for import products, thereby
facilitating U.S. industry access to aeronautical products.
IV. Regulatory Notices and Analyses
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 that the benefits of the intended regulation justify its
costs. Second, the Regulatory Flexibility Act of 1980 (Pub. L. 96-354),
as codified in 5 U.S.C. 603 et seq., requires agencies to analyze the
economic impact of regulatory changes on small entities. Third, the
Trade Agreements Act of 1979 (Pub. L. 96-39), as amended, 19 U.S.C.
Chapter 13, prohibits agencies from setting standards that create
unnecessary obstacles to the foreign commerce of the United States. In
developing U.S. standards, the Trade Agreements 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), as codified in 2 U.S.C. 1532, 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 a base year of
1995). This portion of the preamble summarizes the FAA's analysis of
the economic impacts of this proposed rule.
In conducting these analyses, the FAA has determined that this
proposal is not a ``significant regulatory action,'' as defined in
section 3(f) of Executive Order 12866. The rule is also not
``significant'' as defined in the Department of Transportation's
(DOT's) Regulatory Policies and Procedures. The proposed rule will not
have a significant economic impact on a substantial number of small
entities, will not create unnecessary obstacles to international trade,
and will not impose an unfunded mandate on State, local, or tribal
governments, or on the private sector.
A. Regulatory Evaluation
DOT Order 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 permits a statement to that
effect and the basis for it to be included in the preamble if a full
regulatory evaluation of the costs and benefits is not prepared. Such a
determination has been made for this proposed rule. The reasoning for
this determination follows:
By adding rule language which excludes the applicability of 14 CFR
21.20 ``Compliance with applicable requirements'' to products type
certificated outside of the United States by a bilateral partner, this
proposed rule will result in minor cost savings to the FAA.
The FAA may issue a type certificate for a product that is type
certificated outside of the United States by a foreign CAA with which
the United States has a bilateral agreement. Validation of the CAA's TC
allows import of the product into the U.S. if the applicant and its CAA
complies with 14 CFR 21.29. These applicants have also been required to
comply with Sec. 21.20,\4\ which requires the applicant show
compliance with all applicable requirements and provide its statements
to the FAA showing and certifying compliance. Changing the rule to
exclude applications for type certificates of import products under
Sec. 21.29 from having to comply with Sec. 21.20 will have a small
reduction in burden on the FAA and on the manufacturer of such
products.
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\4\ While the current Sec. 21.20 does not specify whether the
applicants who must comply with that section are domestic, foreign,
or both, AC 21-51 indicates that foreign applicants need to comply
with 21.20 and make a statement directly to the FAA. AC 21-51 is
being revised, and will reflect this proposed rule change.
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These manufacturers will not have to submit documentation to the
FAA under Sec. 21.20, which is redundant to documentation provided by
the CAA to the FAA under Sec. 21.29. This will result in small cost
savings to the FAA, which will no longer have to accept and review the
documentation.
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 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 a regulatory flexibility analysis as described in the RFA.
However, if an agency determines that a rule is not expected to
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.
As discussed above, this proposed rule would result in minor cost
savings to foreign applicants and to the FAA. Because savings to
foreign entities are not relevant to this analysis and the FAA is not a
small entity there are no small entities affected and the impacts are
minor cost savings.
Therefore, as provided in section 605(b), the head of the FAA
certifies that this rulemaking will not result in 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,
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 this Act, 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 the 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.
[[Page 5608]]
The FAA has assessed the potential effect of this proposed rule and
has determined that the rule is in accord with the Trade Agreements Act
as to the rule expectations and responsibilities for domestic and
foreign persons engaged in aviation activities under 14 CFR.
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
(in 1995 dollars) 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 $155 million in lieu of $100
million.
This proposed rule does not contain such a mandate; therefore, the
requirements of Title II of the Act 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 proposed rule.
F. International Compatibility
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 this regulation.
C. barcasEnvironmental Analysis
FAA Order 1050.1F 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 5-6.6(d), which covers the issuance
of regulatory documents covering administrative or procedural
requirements and involves no extraordinary circumstances.
V. Executive Order Determinations
A. Executive Order 13132, Federalism
The FAA has analyzed this proposed rule under the principles and
criteria of Executive Order 13132, ``Federalism.'' The agency
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, does not have
Federalism implications.
B. Executive Order 13211, Regulations That Significantly Affect Energy
Supply, Distribution, or Use
The FAA analyzed this proposed rule under Executive Order 13211,
``Actions Concerning Regulations that Significantly Affect Energy
Supply, Distribution, or Use'' (May 18, 2001). The agency has
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.
C. Executive Order 13609, International Cooperation
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 adverse effect on international regulatory cooperation.
D. Executive Order 13771, Reducing Regulation and Controlling
Regulatory Costs
VI. This Proposed Rule Is Not Expected To Be an E.O. 13771 Regulatory
Action Because This Proposed Rule Is Not Significant Under E.O. 12866.
How To Obtain Additional Information
A. Rulemaking Documents
An electronic copy of a rulemaking document may be obtained from
the internet by--
1. Searching the Federal eRulemaking Portal (http://www.regulations.gov);
2. Visiting the FAA's Regulations and Policies web page at http://www.faa.gov/regulations_policies/; or
3. Accessing 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.
B. 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 Proposed Amendment
In consideration of the foregoing, the Federal Aviation
Administration proposes to amend chapter I of title 14, Code of Federal
Regulations as follows:
PART 21--CERTIFICATION PROCEDURES FOR PRODUCTS AND ARTICLES
0
1. The authority citation for part 21 continues to read as follows:
Authority: 42 U.S.C. 7572; 49 U.S.C. 106(f), 106(g), 40105,
40113, 44701-44702, 44704, 44707, 44709, 44711, 44713, 44715, 45303.
0
2. Amend Sec. 21.20 by revising the introductory text to read as
follows:
Sec. 21.20 Compliance with applicable requirements.
Except for applications for type certificates of import products
under Sec. 21.29, the applicant for a type certificate, including an
amended or supplemental type certificate, must--
* * * * *
Issued under authority provided by 49 U.S.C. 106(f) and 44701(a)
in Washington, DC, on February 7, 2019.
Earl Lawerence,
Executive Director, Aircraft Certification Service.
[FR Doc. 2019-02634 Filed 2-21-19; 8:45 am]
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