Federal Register / Vol. 75, No. 223 / Friday, November 19, 2010 / Proposed Rules 70871 

1Public Law 108–458, 118 Stat. 3638 (Dec. 17, 

2004). 

2Public Law 100–690, 102 Stat. 4181 (Nov. 18, 

1988). 

Issued in Renton, Washington, on 

November 10, 2010. 

Jeffrey E. Duven, 

Acting Manager, Transport Airplane 

Directorate, Aircraft Certification Service. 

[FR Doc. 2010–29236 Filed 11–18–10; 8:45 am] 

BILLING CODE 4910–13–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Parts 61 and 183 

[Docket No. FAA–2010–1127; Notice No. 

2010–16] 

RIN 2120–AJ42 

Photo Requirements for Pilot 

Certificates 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Notice of proposed rulemaking 

(NPRM). 

SUMMARY: This action would require a 

person to carry a pilot certificate with 

photo to exercise the privileges of the 

pilot certificate. This proposal responds 

to section 4022 of the Intelligence 

Reform and Terrorism Prevention Act 

(IRTPA). The FAA previously required 

all pilots to obtain a plastic certificate 

(excepting temporary certificates and 

student pilot certificates). This proposal 

furthers the fulfillment of IRTPA by 

requiring a photo of the pilot to be on 

all pilot certificates. The FAA also 

proposes to require student pilots to 

obtain a plastic certificate with photo. 

Student pilot certificates would also 

have the same duration as other pilot 

certificates. Additionally, because of the 

new photo requirements, this proposal 

modifies the application process and the 

fee structure for pilot certificates. 

DATES: Send your comments on or 

before February 17, 2011. 

ADDRESSES: You may send comments 

identified by Docket Number FAA– 

2010–1127 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, 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. 

For more information on the 

rulemaking process, see the 

SUPPLEMENTARY INFORMATION section of 

this document. 

Privacy: The FAA will post all 

comments received, without change, to 

http://www.regulations.gov, including 

any personal information you provide. 

Using the search function of our docket 

Web site, anyone can find and read the 

electronic form of all comments 

received into any of our dockets, 

including the name of the individual 

sending the comment (or signing the 

comment for an association, business, 

labor union, etc.). You may review 

DOT’s complete Privacy Act Statement 

in the Federal Register published on 

April 11, 2000 (65 FR 19477–78) or you 

may visit http://DocketsInfo.dot.gov. 

Docket: To read background 

documents or comments received, go to 

http://www.regulations.gov at any time 

and 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 

proposed rule contact Lance Nuckolls, 

Certification and General Aviation 

Operations Branch, AFS–810, Flight 

Standards Service, Federal Aviation 

Administration, 800 Independence 

Avenue, SW., Washington, DC 20591; 

telephone (202) 267–8212; facsimile 

(202) 267–5094, e-mail 

lance.nuckolls@faa.gov. For legal 

questions concerning this proposed rule 

contact Robert Hawks, Air Traffic and 

Airman/Airport Certification Law 

Branch, AGC–240, Office of the Chief 

Counsel, Federal Aviation 

Administration, 800 Independence 

Avenue, SW., Washington, DC 20591; 

telephone (202) 267–7143; facsimile 

(202) 267–7971, e-mail 

rob.hawks@faa.gov. 

SUPPLEMENTARY INFORMATION: Later in 

this preamble under the Additional 

Information section is a discussion of 

how you can comment on this proposal 

and how the FAA will handle your 

comments. Included in this discussion 

is related information about the docket, 

privacy, the handling of proprietary or 

confidential business information, and 

accessing related rulemaking 

documents. 

Authority for This Rulemaking 

The FAA’s 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 in more detail the 

scope of the agency’s authority. 

Under Subtitle VII, Part A, Subpart iii, 

Section 44703(b)(1)(C), the FAA may 

define the terms of an airman certificate 

the FAA Administrator finds necessary 

to ensure safety in air commerce. 

Additionally, Subtitle VII, Part A, 

Subpart iii, Section 44703(g)(1) permits 

modifications to the airman certification 

system to make the system more 

efficient in serving the needs of those 

enforcing laws related to combating acts 

of terrorism by ensuring verifiable 

identification of individuals applying 

for airman certificates. In Section 4022 

of the Intelligence Reform and 

Terrorism Prevention Act of 2004 

(IRTPA),1 Congress required the FAA to 

promulgate regulations for the issuance 

of improved pilot licenses. 

This rulemaking is within the scope 

of that authority because it prescribes 

the inclusion of a photo of the pilot on 

the pilot certificate in accordance with 

the IRTPA mandate. This rulemaking 

aids in preventing terrorism and in 

ensuring safety in air commerce by 

issuing certificates that conform to the 

IRTPA requirements. 

Background 

On March 12, 1990, the FAA 

published the Drug Enforcement 

Assistance notice of proposed 

rulemaking (55 FR 9270). That NPRM 

proposed changes to requirements for 

registration of aircraft, certification of 

pilots, and certification violations. The 

FAA intended this proposal to correct 

deficiencies in the FAA’s aircraft 

registration and pilot certification 

systems identified in the Federal 

Aviation Administration Drug 

Enforcement Assistance Act of 1988 

(‘‘the DEA Act’’).2 After the close of the 

comment period, the FAA determined 

that technological improvements could 

accomplish most requirements of the 

DEA Act. The FAA withdrew the NPRM 

on December 5, 2005 (70 FR 72403). 

As part of the technological 

improvements, the FAA discontinued 

issuing paper certificates and began 

issuing plastic airman certificates in 

2003. The plastic certificates are of high 

quality plastic card stock and have 

micro printing that contains certain 


emcdonald on DSK2BSOYB1PROD with PROPOSALS
70872 Federal Register / Vol. 75, No. 223 / Friday, November 19, 2010 / Proposed Rules 

3 IRTPA § 4022(b). 

words and phrases, a hologram, and an 

UV-sensitive layer to resist tampering, 

altering, and counterfeiting. 

On January 5, 2007, the FAA 

published the Drug Enforcement 

Assistance notice of proposed 

rulemaking (‘‘the 2007 DEA NPRM’’) (72 

FR 489). That NPRM proposed changes 

to the airman certification and aircraft 

registration requirements to comply 

with the mandates of the DEA Act that 

could not be completed without 

rulemaking. Among other requirements, 

the NPRM proposed requiring holders of 

pilot certificates and other airmen 

certificates to hold a plastic certificate to 

exercise the privileges of that certificate. 

While the FAA was developing the 

2007 DEA NPRM, IRTPA became law 

and added to the FAA’s obligations 

regarding pilot certificates. Section 4022 

of IRTPA requires the FAA to issue 

improved pilot certificates that (1) are 

resistant to tampering, alteration, or 

counterfeiting; (2) include a photograph 

of the individual to whom the certificate 

is issued; and (3) are capable of 

accommodating a digital photograph, a 

biometric identifier, or any other unique 

identifier the FAA Administrator 

considers necessary. 

On February 28, 2008, the FAA 

published the Drug Enforcement 

Assistance final rule (‘‘the DEA final 

rule’’) (73 FR 10662). In that rule, the 

FAA required all pilots, except student 

pilots, to obtain a plastic certificate by 

March 31, 2010. After that date, pilots 

without plastic certificates may not 

exercise the privileges of their 

certificates. The FAA continued the use 

of paper temporary pilot certificates and 

student pilot certificates. The DEA final 

rule also satisfies the IRTPA 

requirement to issue pilot certificates 

that are resistant to tampering, 

alteration, and counterfeiting. 

Other Airman Certificate-Related 

Rulemaking Activity 

Currently, the Department of 

Homeland Security’s Transportation 

Security Administration (TSA) is 

engaged in ongoing efforts to improve 

identification, credentialing, and 

security vetting of persons involved in 

transportation (49 U.S.C. 44903). Under 

existing FAA programs, the TSA uses 

information from the Airman Registry to 

crosscheck certification records against 

a variety of terrorism-related databases. 

Currently, the TSA is considering a 

rulemaking to improve security vetting 

of airman certificate holders and 

applicants for airman certificates. In the 

interest of reducing burdens on the 

certificate holder and government, the 

FAA will continue to consult and 

collaborate with TSA and other Federal 

agencies to reduce potential 

redundancies or duplication in Federal 

certification, vetting, and credentialing 

processes. If the TSA issues a final rule 

regarding airman security vetting, the 

FAA may issue conforming 

requirements in any final rule resulting 

from this proposal, subsequent to a 

supplemental notice of proposed 

rulemaking, or as part of a new 

rulemaking project, depending on the 

scope and timing of the TSA’s actions. 

Discussion of the Proposal 

The FAA proposes to further fulfill 

the requirements of section 4022 of the 

IRTPA by requiring a photo of the pilot 

on all plastic pilot certificates. This 

proposal also requires student pilots to 

have a plastic certificate with photo in 

order to exercise student pilot 

privileges. The FAA would continue to 

allow the use of a paper temporary pilot 

certificate when upgrading a pilot 

certificate (such as going from a student 

to a sport, recreational, or private pilot 

certificate) or adding a rating (such as an 

instrument rating). However, the 

temporary paper certificate evidencing 

the added authority must be 

accompanied by the underlying pilot 

certificate with photo. 

The FAA proposes a 5-year phased 

implementation schedule. This 

schedule includes a ‘‘trigger-based’’ 

approach to issue pilot certificates with 

photos to people interacting with the 

FAA during the implementation period. 

The schedule also includes a ‘‘nontrigger-based’’ approach that requires 

pilots to obtain a pilot certificate with 

photo during a 3-, 4-, or 5-year period 

depending on the type of certificate. 

This proposal would not revoke or 

otherwise cancel a previously issued 

paper or plastic certificate. It simply 

would require the pilot to have a pilot 

certificate with photo to exercise pilot 

privileges. 

The FAA proposes to add a new 

§ 61.6 to prescribe the requirements 

related to a pilot certificate with photo. 

This proposal also amends the 

application process in § 61.85 to require 

submission of a photo with an 

application for a pilot certificate. The 

FAA also proposes to modify the fee 

structure related to an application for a 

pilot certificate with photo to recover 

some costs associated with issuing a 

pilot certificate with photo. The FAA 

also proposes to amend § 61.3 to remove 

the requirement to carry a separate 

government-issued photo identification 

for persons carrying a pilot certificate 

with photo. The FAA has determined 

two photo identifications are 

unnecessary and do not serve a safety or 

security interest. However, persons with 

special purpose pilot authorizations, 

foreign pilot licenses, or limited-term 

facsimile pilot certificates still must 

carry government-issued photo 

identification. Finally, the FAA 

proposes minor editorial changes, 

including some changes to section 

numbering, to improve ease of use. 

The following sections discuss in 

greater detail the proposals related to 

the fees for issuing or replacing a pilot 

certificate with photo, the 

implementation approach, applying for 

a pilot certificate with photo, photo 

requirements, duration of pilot 

privileges for pilot certificates with 

photos, student pilot certificates, and 

other issues. 

Fees for Issuing or Replacing a Pilot 

Certificate With Photo 

Currently, the FAA charges a $2 fee to 

replace a lost or destroyed airman 

certificate. There is no charge for 

issuing, upgrading, or adding ratings to 

an airman certificate. 14 CFR 61.29(a). 

Although the FAA has statutory 

authority to charge a fee for issuing a 

pilot certificate, the FAA previously has 

not exercised that authority. 49 U.S.C. 

45302. That authority permits the FAA 

to charge a maximum fee of $22.00 

($12.00 adjusted according to the 

Consumer Price Index of All Urban 

Consumers published by the Secretary 

of Labor). 49 U.S.C. 45302(b)–(c). 

Congress required the FAA to change 

from issuing paper pilot certificates to 

issuing plastic certificates with photos 

and other security measures.3 The cost 

of issuing these new certificates is 

substantial. To recover some of these 

costs, the FAA proposes to exercise its 

statutory authority to collect a fee when 

issuing a pilot certificate with a photo 

and other security features. 

Specifically, the FAA proposes to 

charge a $22 fee to process an 

application for: (1) Exchanging an 

existing certificate without a photo for 

a certificate with photo; (2) issuing a 

new pilot certificate or student pilot 

certificate; and (3) replacing a pilot 

certificate with photo whenever a 

replacement certificate is requested by a 

pilot or required by regulation. 

Examples of events which would 

require a replacement certificate include 

renewing expired photos, achieving new 

ratings or certificate levels, changing 

name or citizenship information, and 

replacing lost or destroyed certificates. 

As shown in the regulatory evaluation, 

the $22 fee does not recover fully the 

cost of issuing pilot certificates, but the 

FAA may not exceed its statutory 

authority to recover costs. Accordingly, 


emcdonald on DSK2BSOYB1PROD with PROPOSALS
Federal Register / Vol. 75, No. 223 / Friday, November 19, 2010 / Proposed Rules 70873 

the FAA proposes to include this fee 

schedule for a pilot certificate with 

photo in the new § 61.6. 

The FAA also proposes to adjust this 

fee periodically to correspond with 

changes in the Consumer Price Index, as 

permitted by 49 U.S.C. 45302(c). Any 

fee adjustment would not occur more 

than once a year and would not exceed 

the FAA’s cost for issuing a certificate. 

Any calculation of issuance cost would 

be performed in the same manner as 

that performed for this proposed rule. 

The Federal Aviation Administration 

Reauthorization bill (H.R. 915), if 

enacted as passed by the House of 

Representatives on May 21, 2009, would 

provide authority to increase fees for 

airman certificates. This legislation 

would allow the FAA to recover the 

costs related to airman certification, and 

the legislation sets the fee for issuing an 

airman certificate at $50 and for issuing 

a replacement airman certificate at $25. 

Once the outcome of the reauthorization 

legislation is known, the FAA would 

decide whether additional rulemaking is 

necessary. 

Since this proposal would require inperson identity verification, the FAA 

anticipates allowing designees to accept 

and verify applications for pilot 

certificates with photos to lessen the 

inconvenience to certificate holders and 

new applicants. The FAA anticipates 

that designees would charge a fee, in 

addition to the fee charged by the FAA, 

to accept and verify the applications. 

The FAA cannot set or limit fees 

charged by designees. This fee likely 

would be independent of any fee 

charged by a designee for testing 

services provided to the applicant. 

Implementation Approach 

The FAA would begin issuing a pilot 

certificate with photo to an applicant for 

a new pilot certificate once the rule 

becomes effective. For the FAA to 

comply with IRPTA, it must reissue all 

existing pilot certificates with a pilot 

certificate with photo. To minimize the 

burden of reissuance on certificate 

holders, the FAA proposes a concurrent 

‘‘trigger-based’’ and ‘‘non-trigger-based’’ 

implementation approach. 

Many pilots already would interact 

with the FAA during the 

implementation period of this proposed 

rule because of a ‘‘triggering event.’’ 

They would be required to apply for a 

pilot certificate with photo as a result of 

that interaction. One triggering event 

would be applying for a new pilot 

certificate or rating, including a student 

pilot certificate. A pilot obtaining a new 

flight instructor certificate or renewing 

a flight instructor certificate would also 

be required to apply for a pilot 

certificate with photo for the underlying 

pilot certificate. The FAA does not 

propose requiring all persons requesting 

replacement pilot certificates during the 

implementation period to apply for a 

pilot certificate with photo. However, 

replacement activity requiring an inperson interaction with the FAA (for 

example, change of name, citizenship, 

date of birth, or gender) would be a 

triggering event. The FAA proposes to 

require pilots interacting with the FAA 

during one of these triggering events to 

provide a photo with the application. 

These pilots would not be subject to the 

proposed phase-in requirements 

because they would already comply 

with the proposed rule. 

Because not all pilots will have a 

triggering event during the 

implementation period, the FAA 

proposes a phased approach for 

requiring an application for a pilot 

certificate with photo. A pilot with an 

airline transport pilot (ATP) certificate 

would have 3 years after the final rule 

becomes effective to obtain a pilot 

certificate with photo. A person with a 

commercial pilot certificate would have 

4 years after the effective date of the 

final rule. Finally, a private, 

recreational, or sport pilot certificate 

holder would have 5 years after the 

effective date of the final rule. Pilots 

who do not obtain a certificate with 

photo during the appropriate period 

would not be able to exercise pilot 

privileges after the cut-off date. 

The FAA chose different cut-off dates 

based on certificate level to provide the 

most time for private, sport, and 

recreational pilots. Those pilots are the 

least likely to have regular contact with 

the FAA. ATP and commercial pilot 

certificate holders usually have more 

regular contact with the FAA than other 

types of pilots. 

The FAA believes that these periods 

are reasonable to allow for the timely 

replacement of pilot certificates. The 

phased implementation approach 

balances the FAA’s ability to receive 

and process applications for 

replacement certificates and to maintain 

the FAA’s existing range of services. 

The FAA assumes that applications 

would be evenly spread throughout the 

implementation period. If all pilots wait 

until close to the end of the period to 

apply for the certificate, there 

undoubtedly would be delays in 

processing and receipt of the new 

certificate. A pilot may apply for a 

certificate with photo after the specific 

implementation period ends, but he or 

she would not be able to exercise pilot 

privileges until he or she has a pilot 

certificate with photo. The FAA 

proposes to add this implementation 

schedule to § 61.19. 

Applying for a Pilot Certificate With 

Photo 

The FAA would require a pilot to 

submit an application for a new or 

replacement pilot certificate with 

photos in person in certain cases. For 

these in-person applications, a pilot 

must appear at a FSDO or other FAA 

designee (such as a Knowledge Testing 

Center or designated pilot examiner 

(DPE)). All certificate holders applying 

for a pilot certificate for the first time 

would submit that application in person 

for purposes of identity verification. 

After a person holds a pilot certificate 

with photo, there would be certain 

situations for which an in-person 

application is required. If the photo 

would expire within 90 days of the 

application, a pilot would submit the 

application in person. A pilot changing 

vital information on the certificate, such 

as name, date of birth, citizenship, or 

gender, would still be required to apply 

in person so the FAA could verify the 

applicant’s identity. Finally, a pilot who 

upgrades his or her certificate or adds a 

rating would still apply for a new 

certificate in person. 

A pilot who wants to add or update 

the photo on the certificate may do so 

using one of two methods. The first 

method would be to submit a paper 

photo with a paper 8710–1 Airman 

Certificate and/or Rating Application 

form. The second method would be to 

use the Web-based Integrated Airman 

Certificate and/or Rating Application 

(IACRA) form. However, regardless of 

the method used, a pilot must appear inperson to either a FSDO or any 

authorized FAA-designee to have his or 

her photo and identification validated 

whenever a photo is required as part of 

the application. Currently, the FAA 

operates 96 FSDOs in the U.S. and has 

approximately 2,700 designees 

worldwide that can process applications 

for pilot certificates with photo. A pilot 

residing outside of the U.S. must use an 

FAA-designee who is authorized to 

service his or her area. Alternately, the 

pilot may come to the U.S. and use any 

FAA-designee or FSDO. 

In some cases, the FAA would allow 

a pilot to submit an application for a 

pilot certificate with photo by mail. 

These instances would not require an 

in-person application because the pilot 

has established his or her identity with 

the FAA, and the changes to the 

certificate do not affect the pilot’s 

identity. For example, a pilot could 

submit an application to replace a lost 

or destroyed certificate with photo 

without an in-person interaction. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS
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4Public Law 109–13, 119 Stat. 231 (May 11, 

2005). 

Additionally, a pilot could notify the 

FAA of a change of address by mail or 

via the FAA website. Although not 

required by regulation, the pilot could 

request a replacement certificate when 

making the change of address. When 

requesting a replacement pilot 

certificate with photo in these 

situations, the pilot must have a photo 

on file that does not expire within 90 

days of the application. 

Photo Requirements 

The FAA proposes a new § 61.6 to 

prescribe the photo requirements for 

pilot certificates. The FAA would 

require an applicant to submit a 2 x 2- 

inch photo with the application. The 

photo must be unretouched and in 

color. The photo must be of only the 

applicant and must have been taken 

within the last six months. It also must 

show a full front view of the applicant’s 

face in such a way that the area from the 

bottom of the applicant’s chin to the top 

of the applicant’s head (including hair) 

covers more than 50 percent but not 

more than 75 percent of the total area 

of the photo. The photo must show the 

applicant in front of a plain lightcolored background and in normal street 

attire. If an applicant chose to wear a 

pilot uniform, the FAA would consider 

that applicant to be wearing normal 

street attire, provided the photo did not 

show the applicant wearing a hat, head 

covering, or dark glasses as prescribed 

in § 61.6. These requirements are 

consistent with Department of State 

guidelines for passport photos. 

Therefore, an applicant for a pilot 

certificate with photo should be able to 

obtain the required photo from any 

passport photo vendor. 

At this time, the FAA is prepared to 

accept only a hard copy of a photo, 

similar to the Department of State’s 

passport model. In the future, however, 

the FAA anticipates accepting a digital 

photo. The FAA would revise its 

guidance material as technology 

advances and additional methods are 

available for photo submission. 

Currently the FAA is considering 

three methods of acquiring a digital 

photo. One way would be for an 

applicant to upload a digital photo into 

FAA’s Integrated Airman Certificate 

and/or Rating Application (IACRA) subsystem. IACRA is an Internet-based 

database program providing a fullyelectronic method of applying for an 

airman certificate or rating. IACRA can 

accommodate submission of digital 

images. 

The second method to acquire a 

digital photo would be for an applicant 

to go to a Knowledge Testing Center, 

which is a logical venue for verifying 

identity and taking digital photos. 

Currently there are two major testing 

companies that are authorized to 

perform knowledge testing for the FAA 

via Knowledge Testing Centers. These 

testing centers are located to serve a 

wide geographic range (approximately 

960 nationwide centers and 9 

international locations). Usually, people 

do not have to travel more than 100 

miles to get to a testing center. 

The third method to acquire a digital 

photo would be for an applicant to go 

to a DPE or a FSDO that has the 

capability to take digital photos. 

Currently, FSDOs have this capability, 

but DPEs do not. However, the FAA 

anticipates they would have this 

capability in the future. 

Duration of Pilot Privileges for a Pilot 

Certificate With Photo 

Because the accuracy of a photo 

degrades over time, the FAA proposes to 

include a photo expiration date on the 

pilot certificate with photo. As under 

current regulations, the actual pilot 

certificate would not expire but would 

remain valid unless surrendered, 

suspended, or revoked. However, the 

pilot may not exercise the privilege of 

the certificate after the photo expiration 

date. Therefore, the pilot must renew 

the photo in order to continue to 

exercise the pilot privileges of the 

certificate past the photo expiration 

date. 

The FAA considered different photo 

durations, specifically an 8-year 

duration (similar to that required by the 

Real ID Act) and a 10-year duration 

(similar to that used for passports). The 

Real ID Act of 2005 4 imposes certain 

security, authentication, and issuance 

procedure standards for state driver’s 

licenses and identification cards for 

them to be accepted by the federal 

government for official purposes. The 

FAA acknowledges that the Real ID Act 

does not require the FAA to set any 

specific duration with respect to a pilot 

certificate with photo. The Department 

of State traditionally has issued 

passports that are valid for 10 years. 

This practice was established well 

before the Real ID Act became law and 

was established in response to different 

concerns than those to which the Real 

ID Act responds. The FAA proposes an 

8-year duration. This duration is 

consistent with the Real ID Act, which 

is Congress’s latest expression on the 

appropriate period of validity for 

government identification. The FAA 

proposes to amend § 61.19 to prescribe 

a photo expiration date of 8 years after 

the month in which the FAA issues the 

pilot certificate. The FAA also proposes 

to place the photo expiration date on the 

pilot certificate with photo to remind 

certificate holders of when a new photo 

must be submitted. 

Under this proposal, it would be the 

pilot’s responsibility to apply for a 

replacement certificate and provide a 

new, current photo before the photo 

expiration date. It is important to note 

that the issuance of a pilot certificate 

with photo could take up to 6 to 8 

weeks. Therefore, a pilot should plan to 

submit an application, with a new 

photo, well before the photo expiration 

date on the current pilot certificate. If 

the photo expiration date passes before 

the pilot receives a replacement pilot 

certificate with photo, the FAA would 

not issue temporary privileges, and the 

pilot could not exercise pilot privileges. 

For applications received in the 180 

days before the photo expiration date, 

the FAA would issue a certificate with 

a photo expiration date that is 8 years 

from the previous certificate’s photo 

expiration date. If a pilot requests 

changes to a certificate, such as 

changing the certificate level or adding 

a rating, the FAA would issue a new 

certificate with the current photo on 

file. That certificate would have the 

same photo expiration date as the 

certificate that it is replacing. However, 

if a pilot wishes to submit a new photo, 

the FAA would issue a certificate with 

a photo expiration date of 8 years from 

the month of issue. If the photo would 

expire within the next 90 days, the pilot 

must submit a new photo with the 

application for a certificate. 

Student Pilot Certificates 

The FAA includes student pilot 

certificates in this proposal to meet the 

IRTPA requirements that apply to all 

pilot certificates. The Drug Enforcement 

Assistance final rule, which required 

plastic pilot certificates, did not include 

student pilot certificates. Therefore, the 

FAA proposes to require all student 

pilot certificates to be made of plastic 

and include a photo of the certificate 

holder. As a result, only the FAA’s 

Airman Certification Branch (AFS–760) 

would issue student pilot certificates. 

The FAA proposes to discontinue use 

of an Aviation Medical Examiner (AME) 

for the application and issuance of a 

student pilot certificate. Currently, 

AMEs may issue both a medical 

certificate and a student pilot certificate 

(often referred to as a combination 

certificate). Except in the case of glider, 

balloon, and light sport aircraft, a 

student pilot’s first contact with the 

FAA usually is through an AME because 

of the medical certificate requirement. It 


emcdonald on DSK2BSOYB1PROD with PROPOSALS
Federal Register / Vol. 75, No. 223 / Friday, November 19, 2010 / Proposed Rules 70875 

5Currently, the Airman Certification Branch 

issues a paper temporary certificate, a faxed 

temporary authority, or an e-mail temporary 

authority. 

is convenient for a student pilot to 

apply for a student pilot certificate at 

the same time as for a medical 

certificate. However, under this 

proposal, student pilots must obtain a 

student pilot certificate with photo. 

Because an AME’s principal function is 

to perform the medical evaluation, the 

FAA has determined that it is 

inappropriate to burden the AME with 

information-gathering and photoverification duties. Accordingly, under 

this proposal, a person wishing to 

obtain a student pilot certificate would 

still obtain a medical certificate from an 

AME; however, that person may not 

apply for a student pilot certificate with 

an AME. A student pilot would obtain 

a student pilot certificate with photo 

that is issued by the FAA Airman 

Certification Branch (AFS–760) prior to 

conducting solo flights. The FAA 

proposes to amend § 61.85 to prescribe 

the application process for student pilot 

certificates and § 183.21 to relieve AMEs 

from issuing student pilot certificates. 

Also, under this proposal, Designated 

Pilot Examiners (DPEs) no longer would 

issue student pilot certificates. 

However, DPEs would be authorized to 

accept an application for a student pilot 

certificate. In addition, designated 

knowledge testing centers, designated 

airmen certification representatives, 

local Flight Standards District Offices 

(FSDOs), and International Field Offices 

would be authorized to accept an 

application for a student pilot 

certificate. 

Because the student pilot certificate 

would be issued by the FAA’s Airmen 

Certification Branch instead of by 

Aviation Safety Inspectors or FAA 

designees, student pilots, instructors, 

and pilot schools should plan 

accordingly for the additional time it 

would take to receive a plastic student 

pilot certificate with photo. At this time, 

the FAA estimates that it could take up 

to 6 to 8 weeks for the FAA to issue a 

student pilot certificate. As under the 

current regulations, students still can 

receive instruction, but they may not 

engage in solo flight before receiving a 

student pilot certificate. 

Currently, a student pilot certificate 

expires either 24 or 60 calendar months 

after issuance depending on the age of 

the student pilot or on the rating sought. 

Because of the proposed change in 

procedure to obtain a student pilot 

certificate, the FAA proposes to issue 

student pilot certificates that do not 

expire. Like other pilot certificates, a 

student pilot certificate would remain 

valid unless surrendered, suspended, or 

revoked. However, the student pilot 

certificates would have a photo 

expiration date of 8 years after the 

month of issuance. This duration is 

consistent with the duration of other 

pilot certificates because the FAA has 

concluded there is no purpose to 

treating student pilot certificates 

differently from other pilot certificates. 

A student pilot would not be able to 

exercise the privileges of the certificate 

after the photo expiration date unless he 

or she submitted a new photo. 

A student pilot certificate issued prior 

to the effective date of this rule would 

continue to be valid until the expiration 

date shown on the face of that 

certificate. If a person wishes to obtain 

a replacement student pilot certificate, 

he or she may apply for a student pilot 

certificate with photo. Because student 

pilot certificates currently expire after 

either 24 or 60 months, all student 

pilots would be using a student pilot 

certificate with photo before the end of 

the 5-year implementation period 

established by this proposal for 

obtaining a pilot certificate with photo. 

The FAA also proposes to make 

conforming changes regarding the 

placement of solo flight endorsements 

on student pilot certificates. Because it 

is not possible to make the currentlyrequired solo flight endorsements on a 

plastic student pilot certificate, the FAA 

proposes to amend §§ 61.87, 61.93, and 

61.133 to require that those 

endorsements be made in only the 

student pilot’s logbook. The FAA also 

proposes to amend §§ 61.189 and 61.195 

to require flight instructors to place 

those endorsements in only the student 

pilot’s logbook. The FAA proposes to 

amend § 61.13(a)(2)(i)(A) so that it 

would apply to an application for a 

student pilot certificate because student 

pilot certificates would be issued only 

by the FAA Airman Certification Branch 

(AFS–760). 

Other Issues 

Currently § 61.29(e) allows a person to 

obtain a facsimile airman certificate 5 if 

the original certificate is lost or 

destroyed. The FAA Airman 

Certification Branch issues facsimile 

certificates so that an airman may 

continue to exercise privileges until a 

replacement pilot certificate is issued. 

This facsimile is valid for 60 days. 

Although this facsimile does not meet 

the IRTPA requirements, the FAA 

proposes to leave the facsimile 

provision unchanged. The replacement 

of a pilot certificate with photo would 

take up to 6 to 8 weeks during which 

time a pilot effectively would be 

grounded. The FAA has concluded that 

grounding a pilot for an extended time 

period is unnecessary. The FAA would 

treat the facsimile pilot certificate as a 

special purpose pilot authorization that 

may be used in conjunction with a 

government-issued photo identification 

under § 61.3. This treatment would 

allow a pilot whose identity has been 

certified by the FAA to continue to 

exercise pilot privileges while allowing 

security agencies to verify the pilot’s 

identity against a government-issued 

identification. 

Comments Invited 

The FAA is specifically interested in 

receiving comments on the following 

questions: 

(1) While this proposal does not 

outline specific identity verification 

standards and processes, the FAA may 

include such standards and processes in 

a final rule. The FAA seeks comment on 

standards that should be used for 

identity verification to issue pilot photo 

certificates, either in person or remotely. 

Should the FAA require applicants to 

produce fraud-resistant documents to 

verify identity? If so, which documents 

or other identity verification procedures 

should the FAA implement to ensure a 

high level of confidence in the 

verification process? 

(2) Should the FAA consider an 

alternative implementation approach to 

the ‘‘trigger’’ and ‘‘non-trigger’’ approach 

set forth in the proposal? Should the 

FAA set one deadline, regardless of 

certificate level, for pilots to have a pilot 

certificate with photo to exercise the 

privileges of that certificate rather than 

implement the phased ‘‘non-trigger’’ 

approach set forth in this proposal? 

What is the basis and supporting data 

for a single deadline? If the FAA were 

to implement a single deadline, what 

time period for conversion to a pilot 

certificate with photo adequately 

balances the FAA’s need to comply with 

the statutory mandate and the burden 

on certificate holders? Would 

lengthening the implementation period 

significantly reduce burden on a pilot? 

What is the basis and supporting data 

for a longer time period? 

(3) Currently, the FAA envisions 

using Knowledge Testing Centers, DPEs, 

and FSDOs to accept pilot certificate 

applications and validate applicant 

identity. Are there alternative, 

potentially less burdensome, methods 

for pilots within the U.S. and outside of 

the U.S. the FAA should consider? In 

addition, what should the FAA consider 

when designating service providers with 

identity verification authority? 

(4) Is the proposed 8-year duration for 

the photo, based on the photo duration 


emcdonald on DSK2BSOYB1PROD with PROPOSALS
70876 Federal Register / Vol. 75, No. 223 / Friday, November 19, 2010 / Proposed Rules 

for state driver’s licenses under the Real 

ID Act, a reasonable period of time that 

balances the security needs expressed in 

IRTPA and the burden on certificate 

holders? Are there other standards or 

guidance for photo accuracy the FAA 

should consider? What is the basis and 

supporting data for a shorter or longer 

duration? 

(5) Is there any reason why student 

pilot certificates should not be treated 

like other pilot certificates for the 

purposes of meeting the IRTPA 

requirements? What is the basis and 

supporting data for your response? 

(6) With respect to the photo that is 

placed on the pilot certificate, should 

the FAA accept only hard copy photos, 

only digitally-captured photos, or either 

hard copy or digitally-captured photos? 

What is the basis and supporting data 

for your response? 

(7) If the FAA accepts digitallycaptured photos, what are the 

advantages and disadvantages of the 

following methods of acquiring the 

photo: (a) An applicant uploading a selfcaptured photo to the IACRA subsystem; (b) a FSDO capturing the photo 

when the application is submitted; (c) a 

Knowledge Testing Center capturing the 

photo when an application is submitted; 

and (d) a DPE capturing the photo when 

an application is submitted? What is the 

basis and supporting data for your 

response? 

Paperwork Reduction Act 

This proposal contains the following 

revisions to existing information 

collection requirements. As required by 

the Paperwork Reduction Act of 1995, 

the FAA has submitted the information 

requirements associated with this 

proposal to the Office of Management 

and Budget for its review. See 44 U.S.C. 

3507(d). 

Title: Photo Requirements for Pilot 

Certificates 

Summary: This action would require 

a person to carry a pilot certificate with 

photo to exercise the privileges of the 

pilot certificate. This proposal responds 

to section 4022 of the Intelligence 

Reform and Terrorism Prevention Act 

(IRTPA). The FAA previously required 

all pilots to obtain a plastic certificate 

(excepting temporary certificates and 

student pilot certificates), and after 

March 31, 2010, all pilots must carry a 

plastic certificate. This proposal furthers 

the fulfillment of IRTPA by requiring a 

photo of the pilot to be on all pilot 

certificates. The FAA also proposes to 

require student pilots to obtain a plastic 

certificate with photo and treats student 

pilot certificates equally with other pilot 

certificates for durational purposes. 

Additionally, because of the photo 

requirement on pilot certificates, this 

proposal modifies the process for 

obtaining a pilot certificate and the fee 

structure for processing an application 

for a pilot certificate with photo. This 

revision affects the existing information 

collection requirements of FAA Form 

8710–1 ‘‘Airman Certificate and/or 

Rating Application’’ (OMB Approval 

Number 2120–0021). 

Use of: This proposed rule is in direct 

response to section 4022 of the 

Intelligence Reform and Terrorism 

Prevention Act (IRTPA). This request for 

clearance reflects requirements 

necessary under Title 14 CFR part 61 to 

require a person to carry a pilot 

certificate with photo to exercise the 

privileges of the pilot certificate. The 

FAA will use the information it collects 

and reviews to ensure compliance and 

adherence to regulations and, where 

necessary, to take enforcement action on 

violators of the regulations. 

Respondents (including number of): 

The FAA estimates there are 740,442 

pilots who would be required to provide 

information in accordance with the 

proposed rule. The respondents to this 

proposed information requirement are 

pilots regulated under part 61. 

Frequency: The FAA estimates 

certificate holders will have a one-time 

information collection, and will then 

collect or report information 

occasionally thereafter. 

Annual Burden Estimate: This 

proposal would result in a 20-year 

recordkeeping and reporting burden as 

follows: 

Summary of time and costs (20-year): 

The following table sums up the costs 

and time: 

Total cost Annual cost Total time Annual time 

Pilot-related costs: 

Trigger—Initial Registration ...................................... $4,221,982 $211,099 82,923.34 4,146.17 

Non-Trigger—Initial Registration .............................. 191,555,276 9,577,764 3,521,734.67 176,086.73 

Non-Trigger—Renewal ............................................. 149,053,511 7,452,676 2,740,341.74 137,017.09 

Additional/Replacement ............................................ 9,654,806 482,740 363,509.25 18,175.46 

Portals: 

KTC ........................................................................... 10,100,840 505,042 655,048.00 32,752.40 

DPE .......................................................................... 17,545,925 877,296 233,945.67 11,697.28 

FAA Contractor ................................................................ 5,328,284 266,414 N/A N/A 

Total .......................................................................... 387,460,624 19,373,031 7,597,502.66 379,875.13 

The agency is soliciting comments 

to— 

(1) Evaluate whether the proposed 

information requirement is necessary for 

the proper performance of the functions 

of the agency, including whether the 

information will have practical utility; 

(2) Evaluate the accuracy of the 

agency’s estimate of the burden; 

(3) Enhance the quality, utility, and 

clarity of the information to be 

collected; and 

(4) Minimize the burden of collecting 

information on those who are to 

respond, including by using appropriate 

automated, electronic, mechanical, or 

other technological collection 

techniques or other forms of information 

technology. 

Individuals and organizations may 

send comments on the information 

collection requirement by January 18, 

2011 and should direct them to the 

address listed in the Addresses section 

at the beginning of this preamble. 

Comments also should be submitted to 

the Office of Information and Regulatory 

Affairs, OMB, New Executive Building, 

Room 10202, 725 17th Street, NW., 

Washington, DC 20053, Attention: Desk 

Officer for FAA. 

According to the 1995 amendments to 

the Paperwork Reduction Act (5 CFR 

§ 1320.8(b)(2)(vi)), an agency may not 

collect or sponsor the collection of 

information, nor may it impose an 

information collection requirement 

unless it displays a currently valid OMB 

control number. The OMB control 

number for this information collection 

will be published in the Federal 

Register, after the Office of Management 

and Budget approves it. 


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International Compatibility 

In keeping with U.S. obligations 

under the Convention on International 

Civil Aviation, it is FAA policy to 

comply with International Civil 

Aviation Organization (ICAO) Standards 

and Recommended Practices to the 

maximum extent practicable. The FAA 

has determined that this rulemaking is 

consistent with ICAO Standards and 

Recommended Practices. 

Regulatory Evaluation, Regulatory 

Flexibility Determination, International 

Trade Impact Assessment, and 

Unfunded Mandates Assessment 

Changes to Federal regulations must 

undergo several economic analyses. 

First, Executive Order 12866 directs 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) 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 final rule. The 

FAA suggests readers seeking greater 

detail read the full regulatory 

evaluation, a copy of which is in the 

docket for this rulemaking. 

In conducting these analyses, FAA 

has determined that this rule: (1) Has 

benefits that justify its costs, (2) is not 

an ‘‘economically significant regulatory 

action’’ but is a ‘‘significant regulatory 

action’’ for other reasons as defined in 

section 3(f) of Executive Order 12866, 

(3) is ‘‘significant’’ as defined in DOT’s 

Regulatory Policies and Procedures; (4) 

would not have a significant economic 

impact on a substantial number of small 

entities; (5) would not create 

unnecessary obstacles to the foreign 

commerce of the United States; and 

(6) would not impose an unfunded 

mandate on state, local, or tribal 

governments, or on the private sector by 

exceeding the threshold identified 

above. These analyses are summarized 

below. 

Summary 

In this analysis, the FAA estimated 

future costs for a 20-year period, from 

2010 through 2029. All costs in this 

analysis are in 2008 dollars. 

There are currently about 740,000 

pilots and 93,000 CFIs that would be 

covered by this proposal. Given future 

projected growth in all pilot categories 

and given the requirement to renew 

every 8 years, the FAA anticipates that 

the FAA would process 4.40 million 

photo IDs from 2010 to 2029. 

Costs to pilots would sum to $445.8 

million ($235.8 million, present value) 

over the above 20-year period. This 

includes the costs of the pilots 

providing hard copy photos and a Form 

8710–1 to a portal designee, either a 

Knowledge Testing Center, Designated 

Pilot Examiner, or Flight Service District 

Office. These portals would incur costs 

of $33.2 million ($17.6 million, present 

value) to process this information and 

pass it on to the Airman Registry at the 

FAA. The FAA would incur costs of 

$239.8 million ($126.7 million, present, 

value) to process the certificates. Total 

costs, over 20 years, sum to $718.7 

million ($380.1 million, present value). 

This proposal responds to IRTPA by 

requiring digital photos on all pilot 

certificates. Congress has mandated that 

the FAA improve pilot licenses by 

including a photo on the license. The 

proposal requiring owners to personally 

appear before authorized persons and to 

produce proof of identity including 

photo identification would be a 

significant help in the prevention of 

fraudulent and fictitious registration. 

Initial Regulatory Flexibility 

Determination 

The Regulatory Flexibility Act of 1980 

(RFA) establishes ‘‘as a principle of 

regulatory issuance that agencies shall 

endeavor, consistent with the objective 

of the rule and of applicable statutes, to 

fit regulatory and informational 

requirements to the scale of the 

business, organizations, and 

governmental jurisdictions subject to 

regulation.’’ To achieve that principle, 

the RFA requires agencies to solicit and 

consider flexible regulatory proposals 

and to explain the rationale for their 

actions. 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 proposed or final 

rule will have a significant economic 

impact on a substantial number of small 

entities. If the determination is that it 

will, the agency must prepare a 

regulatory flexibility analysis as 

described in the RFA. 

However, if an agency determines that 

a proposed or final rule is not expected 

to have a significant economic impact 

on a substantial number of small 

entities, section 605(b) of the 1980 act 

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. 

A number of commercial pilots are 

employed as crop dusters, as passenger 

and freight charter operators, in aerial 

photography and mapmaking 

businesses, in sightseeing businesses, 

and/or in flight schools, many of which 

are small businesses. The FAA does not 

have data as to how many such pilots 

are employed in each of these 

businesses. While in a rural setting, the 

entire process may take half a day, the 

pilot would have large latitude in 

choosing which day to get the 

certificate. These types of small 

businesses are often seasonal, meaning 

that in almost all cases, the pilot would 

not have to miss a day of work in order 

to get a pilot certificate with photo. 

The cost impact to any one pilot and 

to any business would not be large. The 

average cost to a pilot in a ‘‘non-trigger’’ 

event is higher than that of a ‘‘trigger’’ 

event as the time and mileage needs to 

be taken into account as well as the 

portal costs. The average cost for a ‘‘nontrigger’’ event is about $175. These 

commercial pilots would have a phasein period of 4 years and then would 

have to renew every 8 years. Thus, over 

a 20-year period, such a pilot would 

have to get 3 pilot certificates, for a cost 

of about $375; the average annual cost 

is $19, which is not a significant impact. 

Therefore, the FAA certifies that this 

proposed rule would not have a 

significant economic impact on a 

substantial number of small entities. 

The FAA solicits comments regarding 

this determination. 

International Trade Impact Statement 

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. 


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70878 Federal Register / Vol. 75, No. 223 / Friday, November 19, 2010 / Proposed Rules 

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 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. The FAA has assessed 

the potential effect of this proposed rule 

and determined that it would have only 

a domestic impact and therefore would 

not create unnecessary obstacles to the 

foreign commerce of the United States. 

Unfunded Mandates Determination 

Title II of the Unfunded Mandates 

Reform Act of 1995 (the Act) 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) 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 $136.1 

million in lieu of $100 million. 

This proposed rule does not contain 

such a mandate. The requirements of 

Title II do not apply. 

Executive Order 13132, Federalism 

The FAA has analyzed this proposed 

rule under the principles and criteria of 

Executive Order 13132, Federalism. The 

FAA has determined that this action 

would not have a substantial direct 

effect on the States, on the relationship 

between the national Government and 

the States, or on the distribution of 

power and responsibilities among the 

various levels of government, and, 

therefore, would not have federalism 

implications. 

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 proposed 

rulemaking action qualifies for the 

categorical exclusion identified in 

paragraph 312f and involves no 

extraordinary circumstances. 

Regulations That Significantly Affect 

Energy Supply, Distribution, or Use 

The FAA has analyzed this NPRM 

under Executive Order 13211, Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use (May 18, 2001). The 

FAA has determined that it is not a 

‘‘significant energy action’’ under the 

executive order because it is not likely 

to have a significant adverse effect on 

the supply, distribution, or use of 

energy. 

Additional Information 

Comments Invited 

The FAA invites interested persons to 

participate in this rulemaking by 

submitting written comments, data, or 

views on any issue raised in this 

rulemaking. The FAA also invites 

comments relating to 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 the proposal, explain 

the reason for any recommended 

change, and include supporting data. To 

ensure the docket does not contain 

duplicate comments, please send only 

one copy of written comments, or if you 

are filing comments electronically, 

please submit your comments only one 

time. 

All comments received will be filed in 

the docket, as well as a report 

summarizing each substantive public 

contact with FAA personnel concerning 

this proposed rulemaking. Before acting 

on this proposal, 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 FAA may change 

this proposal in light of the comments 

received. 

Availability of Rulemaking Documents 

You can get an electronic copy of 

rulemaking documents using 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.gpoaccess.gov/fr/index.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, notice 

number, or amendment number of this 

rulemaking. 

You may access all documents the 

FAA considered in developing this 

proposed rule, including economic 

analyses and technical reports, from the 

internet through the Federal 

eRulemaking Portal referenced in 

paragraph (1). 

List of Subjects in 14 CFR Parts 61 and 

183 

Aircraft, Airmen, Aviation safety, 

Reporting and recordkeeping 

requirements, Security measures. 

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 61—CERTIFICATION: PILOTS, 

FLIGHT INSTRUCTORS, AND GROUND 

INSTRUCTORS 

1. The authority citation for part 61 

continues to read as follows: 

Authority: 49 U.S.C. 106(G), 40113, 44701– 

44703, 44707, 44709–44711, 45102–45103, 

45301–45302. 

2. Amend § 61.3 by revising 

paragraphs (a), (d)(2)(iv), and paragraph 

(l) introductory text to read as follows: 

§ 61.3 Requirement for certificates, 

ratings, and authorizations. 

(a) Pilot certificate. (1) A person may 

not serve as a required pilot flight 

crewmember of a civil aircraft of the 

United States, unless that person: 

(i) Has a pilot certificate issued under 

this part and in accordance with § 61.19; 

(ii) Has a special purpose pilot 

authorization issued under § 61.77; 

(iii) Has a temporary certificate issued 

under § 61.17; 

(iv) Has a facsimile certificate issued 

under § 61.29; or 

(v) When operating an aircraft within 

a foreign country, has a pilot license 

issued by that country. 

(2) The pilot certificate or special 

authorization must be in the person’s 

physical possession or readily 

accessible in the aircraft when 

exercising the privileges of that pilot 

certificate or authorization. 

(3) If the pilot certificate or 

authorization is not a pilot certificate 

with photo, a person may not serve as 

a required pilot flight crewmember of a 

civil aircraft of the United States, unless 

that person has a photo identification in 

that person’s physical possession or 

readily accessible in the aircraft when 

exercising the privileges of that pilot 

certificate or authorization. The photo 

identification must be a: 


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Federal Register / Vol. 75, No. 223 / Friday, November 19, 2010 / Proposed Rules 70879 

(i) Driver’s license issued by a State, 

the District of Columbia, or a territory or 

possession of the United States; 

(ii) Government identification card 

issued by the Federal government, a 

State, the District of Columbia, or a 

territory or possession of the United 

States; 

(iii) U.S. Armed Forces’ identification 

card; 

(iv) Official passport; 

(v) Credential that authorizes 

unescorted access to a security 

identification display area at an airport 

regulated under 49 CFR part 1542; or 

(vi) Other form of identification that 

the Administrator finds acceptable. 

* * * * * 

(d) * * * 

(2) * * * 

(iv) Endorse a logbook for solo 

operating privileges. 

* * * * * 

(l) Inspection of certificate. Each 

person who holds an airman certificate, 

medical certificate, authorization, or 

license required by this part must 

present it and, unless the pilot 

certificate contains a photo, a photo 

identification as described in paragraph 

(a)(2) of this section for inspection upon 

a request from: 

* * * * * 

3. Add a new § 61.6 to read as follows: 

§ 61.6 Pilot certificate with photo and 

photo requirements. 

(a) Trigger-based implementation. 

Except as provided in § 61.19(h)(2), after 

[effective date of final rule], all persons 

must apply for a pilot certificate with 

photo and provide a photo that 

conforms to the requirements prescribed 

in paragraph (b) of this section when: 

(1) Obtaining a new pilot certificate or 

rating (including student pilot 

certificate); 

(2) Obtaining a new flight instructor 

certificate; 

(3) Renewing a flight instructor 

certificate; or 

(4) Obtaining a replacement pilot 

certificate resulting from a change of 

name, citizenship, date of birth, or 

gender. 

(b) Photo Requirements. (1) A photo 

provided with an application for a new 

or replacement pilot certificate with 

photo must— 

(i) Be unretouched and in color; 

(ii) Be a recent likeness of only the 

applicant (taken within the last six 

months) and show a full front view of 

the applicant’s face in such a way that 

the area from the bottom of the 

applicant’s chin to the top of the 

applicant’s head (including hair) covers 

more than 50 percent but not more than 

75 percent of the total area of the photo; 

and 

(iii) Show the applicant in front of a 

plain light-colored background and in 

normal street attire, without a hat, head 

covering, or dark glasses unless a signed 

statement is submitted by the applicant 

verifying the item is worn daily for 

religious purposes or a signed doctor’s 

statement is submitted verifying the 

item is used daily for medical purposes. 

(2) A photo provided with an 

application for a pilot certificate or 

rating must measure 2 x 2 inches in size. 

(c) Application for new or 

replacement pilot certificate with photo. 

(1) A photo of the applicant that 

conforms to the requirements prescribed 

in paragraph (b) of this section must 

accompany each application for a new 

or replacement pilot certificate with 

photo unless the applicant previously 

submitted a photo and that photo has 

not expired or will not expire within 90 

days of the application. 

(2) An applicant for a pilot certificate 

with photo must make an application 

accompanied by a photo at a place 

designated by the Administrator. 

(3) An applicant for a replacement 

pilot certificate with photo who has a 

current photo on file may make an 

application that is not accompanied by 

a photo at a place designated by the 

Administrator or by mail to the 

Department of Transportation, FAA, 

Airman Certification Branch, P.O. Box 

25082, Oklahoma City, OK 73125. 

(4) Payment to the FAA of the fee 

specified in paragraph (d) of this section 

by check, money order, or other 

payment method approved by the 

Administrator must accompany each 

application for a new or replacement 

pilot certificate with photo. 

(d) Fee for issuance of pilot certificate 

with photo. The fee for processing an 

application for a new or replacement 

pilot certificate with photo is $22. The 

FAA periodically may increase this fee 

to correspond with changes in the 

Consumer Price Index. 

4. Amend § 61.13 by revising 

paragraphs (a)(1) and (a)(2)(i)(A) to read 

as follows: 

§ 61.13 Issuance of airman certificates, 

ratings, and authorizations. 

(a) Application. (1) An applicant for 

an airman certificate, rating, or 

authorization under this part must make 

that application on a form acceptable to 

the Administrator and at a place 

designated by the Administrator. In 

addition, an applicant for a pilot 

certificate with photo must make that 

application as prescribed in § 61.6. 

(2) * * * 

(i) * * * 

(A) Application for student pilot 

certificate that is received outside the 

United States; or 

* * * * * 

5. Amend § 61.19 by revising 

paragraphs (a), (b), and (c), and (g) to 

read as follows: 

§ 61.19 Duration of pilot and instructor 

certificates and privileges. 

(a) General. (1) Except for a student 

pilot certificate or flight instructor 

certificate issued with an expiration 

date, a pilot certificate is valid unless it 

is surrendered, suspended, or revoked. 

(2) A pilot certificate with photo is 

issued with a photo expiration date after 

which the holder of the certificate may 

not exercise the privileges of that 

certificate. 

(b) Paper student pilot certificate. A 

student pilot certificate issued under 

this part prior to [effective date of final 

rule] expires: 

(1) For student pilots who have not 

reached their 40th birthday, 60 calendar 

months after the month of the date of 

examination shown on the medical 

certificate. 

(2) For student pilots who have 

reached their 40th birthday, 24 calendar 

months after the month of the date of 

examination shown on the medical 

certificate. 

(3) For student pilots seeking a glider 

rating, balloon rating, or a sport pilot 

certificate, 60 calendar months after the 

month of the date issued, regardless of 

the person’s age. 

(c) Pilot certificates. (1) A pilot 

certificate (other than a student pilot 

certificate) issued under this part prior 

to [effective date of final rule] is issued 

without a specific expiration date. 

(2) A pilot certificate, including a 

student pilot certificate, issued under 

this part after [effective date of final 

rule] contains a photo expiration date 

that is 96 months from the month in 

which a photo is submitted for 

inclusion on the certificate. 

(3) The holder of a pilot certificate 

issued on the basis of a foreign pilot 

license may exercise the privileges of 

that certificate only while that person’s 

foreign pilot license is effective. 

* * * * * 

(g) Duration of pilot certificates. 

(1) Except for a temporary certificate 

issued under § 61.17 or a student pilot 

certificate issued under paragraph (b) of 

this section, the holder of a paper pilot 

certificate issued under this part may 

not exercise the privileges of that 

certificate after March 31, 2010. 

(2) Except for a temporary certificate 

issued under § 61.17 or a facsimile 

certificate issued under § 61.29, no 

person may exercise the privileges of a 


emcdonald on DSK2BSOYB1PROD with PROPOSALS
70880 Federal Register / Vol. 75, No. 223 / Friday, November 19, 2010 / Proposed Rules 

particular certificate as pilot in 

command or in any other capacity as a 

required pilot flight crewmember of a 

civil aircraft of U.S. registry unless that 

person has a photo on his or her pilot 

certificate after: 

(i) [Date 3 years after publication of 

final rule] for a pilot holding an airline 

transport pilot certificate; 

(ii) [Date 4 years after publication of 

final rule] for a pilot holding a 

commercial pilot certificate; or 

(iii) [Date 5 years after publication of 

final rule] for a pilot holding a private, 

recreational or sport pilot certificate. 

6. Amend § 61.25 by adding 

paragraph (c) to read as follows: 

§ 61.25 Change of name. 

* * * * * 

(c) For applications for a pilot 

certificate with photo, an applicant 

must make that application as 

prescribed in § 61.6. 

7. Amend § 61.29 by revising the 

section heading, revising paragraphs (a), 

(b), (c), (d) introductory text, and (e) 

introductory text to read as follows: 

§ 61.29 Replacement of a pilot certificate 

with photo and replacement of lost or 

destroyed airman or medical certificate or 

knowledge test report. 

(a)(1) Pilot certificate with photo. A 

request for the replacement of a pilot 

certificate with photo issued under this 

part must be made as prescribed in 

§ 61.6. 

(2) Other airman certificate. A request 

for the replacement of a lost or 

destroyed airman certificate issued 

under this part must be made by letter 

to the Department of Transportation, 

FAA, Airman Certification Branch, P.O. 

Box 25082, Oklahoma City, OK 73125, 

and must be accompanied by a check or 

money order for the appropriate fee 

payable to the FAA. 

(b) Medical certificate. A request for 

the replacement of a lost or destroyed 

medical certificate must be made by 

letter to the Department of 

Transportation, FAA, Aerospace 

Medical Certification Division, P.O. Box 

26200, Oklahoma City, OK 73125, and 

must be accompanied by a check or 

money order for the appropriate fee 

payable to the FAA. 

(c) Knowledge test report. A request 

for the replacement of a lost or 

destroyed knowledge test report must be 

made by letter to the Department of 

Transportation, FAA, Airman 

Certification Branch, P.O. Box 25082, 

Oklahoma City, OK 73125, and must be 

accompanied by a check or money order 

for the appropriate fee payable to the 

FAA. 

(d) Request for replacement. The 

letter requesting replacement of a pilot 

certificate with photo or a lost or 

destroyed airman certificate, medical 

certificate, or knowledge test report 

must state: 

* * * * * 

(e) Facsimile airman certificate, 

medical certificate, or knowledge test 

report. A person who has lost an airman 

certificate, medical certificate, or 

knowledge test report may obtain a 

facsimile from the FAA Aeromedical 

Certification Branch or the Airman 

Certification Branch, as appropriate, 

confirming that it was issued and the: 

* * * * * 

8. Revise § 61.85 to read as follows: 

§ 61.85 Application. 

An applicant for a student pilot 

certificate: 

(a) Must make that application in a 

form acceptable to the Administrator; 

(b) Must provide a photo of the 

applicant that conforms to the photo 

requirements set forth in § 61.6 with the 

application; 

(c) Must submit the application to a 

designee authorized by the 

Administrator or to a Flight Standards 

District Office; and 

(d) Must submit payment for the 

application fee as directed in § 61.6. 

9. Amend § 61.87 by revising 

paragraph (n), by adding the word ‘‘and’’ 

after the semicolon in paragraph (p)(3), 

removing paragraph (p)(4), and 

redesignating paragraph (p)(5) as 

paragraph (p)(4) to read as follows: 

§ 61.87 Solo requirements for student 

pilots. 

* * * * * 

(n) Limitations on student pilots 

operating an aircraft in solo flight. A 

student pilot may not operate an aircraft 

in solo flight unless that student pilot 

has received an endorsement in the 

student’s logbook for the specific make 

and model aircraft to be flown by an 

authorized instructor who gave the 

training within the 90 days preceding 

the date of the flight. 

* * * * * 

10. Amend § 61.93 by revising 

paragraphs (c)(1) and (c)(2) and adding 

paragraph (c)(3) to read as follows: 

§ 61.93 Solo cross-country flight 

requirements. 

* * * * * 

(c) * * * 

(1) A student pilot must have a solo 

cross-country endorsement from the 

authorized instructor who conducted 

the training that is placed in that 

person’s logbook for the specific 

category of aircraft to be flown. 

(2) A student pilot must have a solo 

cross-country endorsement from an 

authorized instructor that is placed in 

that person’s logbook for the specific 

make and model of aircraft to be flown. 

(3) For each cross-country flight, the 

authorized instructor who reviews the 

cross-country planning must make an 

endorsement in the person’s logbook 

after reviewing that person’s crosscountry planning, as specified in 

paragraph (d) of this section. The 

endorsement must— 

(i) Specify the make and model of 

aircraft to be flown; 

(ii) State that the student’s preflight 

planning and preparation is correct and 

that the student is prepared to make the 

flight safely under the known 

conditions; and 

(iii) State that any limitations required 

by the student’s authorized instructor 

are met. 

* * * * * 

11. Amend § 61.133 by revising 

paragraphs (a)(2)(i)(C) and (a)(2)(ii)(C) to 

read as follows: 

§ 61.133 Commercial pilot privileges and 

limitations. 

(a) * * * 

(2) * * * 

(i) * * * 

(C) Endorse a pilot’s logbook for solo 

operating privileges in an airship; 

* * * * * 

(ii) * * * 

(C) Endorse a pilot’s logbook for solo 

operating privileges in a balloon; and 

* * * * * 

12. Amend § 61.189 by revising 

paragraph (b)(1) to read as follows: 

§ 61.189 Flight instructor records. 

* * * * * 

(b) * * * 

(1) The name of each person whose 

logbook that instructor has endorsed for 

solo flight privileges, and the date of the 

endorsement; and 

* * * * * 

13. Amend § 61.195 by revising 

paragraphs (d)(1) introductory text and 

(d)(2) to read as follows: 

§ 61.195 Flight instructor limitations and 

qualifications. 

* * * * * 

(d) * * * 

(1) Student pilot’s logbook for solo 

flight privileges, unless that flight 

instructor has— 

* * * * * 

(2) Student pilot’s logbook for a solo 

cross-country flight, unless that flight 

instructor has determined the student’s 

flight preparation, planning, equipment, 

and proposed procedures are adequate 

for the proposed flight under the 

existing conditions and within any 


emcdonald on DSK2BSOYB1PROD with PROPOSALS
Federal Register / Vol. 75, No. 223 / Friday, November 19, 2010 / Proposed Rules 70881 

1See Dodd-Frank Act, Public Law 111–203, 124 

Stat. 1376 (2010). The text of the Dodd-Frank Act 

may be accessed at: http://www.cftc.gov/ucm/ 

groups/public/@swaps/documents/file/hr4173_

enrolledbill.pdf. 

2 7 U.S.C. 1 et seq. 

3 7 U.S.C. 6d(d), 6s(k)(1). 

4 7 U.S.C. 6s(k)(2). 

5 7 U.S.C. 6s(k)(3)(A–B). 

6 7 U.S.C. 6s(k)(3)(A). 

7 7 U.S.C. 6d(d). 

limitations listed in the logbook that the 

instructor considers necessary for the 

safety of the flight; 

* * * * * 

PART 183—REPRESENTATIVES OF 

THE ADMINISTRATOR 

14. The authority citation for part 183 

continues to read as follows: 

Authority: 31 U.S.C. 9701; 49 U.S.C. 

106(g), 40113, 44702, 45303. 

15. Amend § 183.21 by revising 

paragraph (c) and removing and 

reserving paragraph (d) to read as 

follows: 

§ 183.21 Aviation Medical Examiners. 

* * * * * 

(c) Issue or deny medical certificates 

in accordance with part 67 of this 

chapter, subject to reconsideration by 

the Federal Air Surgeon or his or her 

authorized representatives within the 

FAA; and 

* * * * * 

Issued in Washington, DC, on November 

10, 2010. 

John M. Allen, 

Director, Flight Standards Service. 

[FR Doc. 2010–29192 Filed 11–18–10; 8:45 am] 

BILLING CODE 4910–13–P 

COMMODITY FUTURES TRADING 

COMMISSION 

17 CFR Part 3 

RIN 3038–AC96 

Designation of a Chief Compliance 

Officer; Required Compliance Policies; 

and Annual Report of a Futures 

Commission Merchant, Swap Dealer, 

or Major Swap Participant 

AGENCY: Commodity Futures Trading 

Commission. 

ACTION: Proposed rule. 

SUMMARY: The Commodity Futures 

Trading Commission (Commission or 

CFTC) is proposing rules to implement 

new statutory provisions enacted by 

Title VII of the Dodd-Frank Wall Street 

Reform and Consumer Protection Act 

(Dodd-Frank Act) regarding the 

compliance activities of certain 

registrants. The proposed rules require 

each futures commission merchant, 

swap dealer, and major swap participant 

to designate a chief compliance officer. 

The proposed rules also prescribe 

qualifications and duties of the chief 

compliance officer. Finally, the 

proposed rules require that the chief 

compliance officer prepare, certify, and 

furnish to the Commission an annual 

report containing an assessment of the 

registrant’s compliance activities. 

DATES: Comments must be received on 

or before January 18, 2011. 

ADDRESSES: You may submit comments, 

identified by RIN 3038–AC96 and CCO 

Designation, by any of the following 

methods: 

• Agency web site, via its Comments 

Online process at http:// 

comments.cftc.gov. Follow the 

instructions for submitting comments 

through the Web site. 

• Mail: David A. Stawick, Secretary of 

the Commission, Commodity Futures 

Trading Commission, Three Lafayette 

Centre, 1155 21st Street, NW., 

Washington, DC 20581. 

• Hand Delivery/Courier: Same as 

mail above. 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

Please submit your comments using 

only one method. 

All comments must be submitted in 

English, or if not, accompanied by an 

English translation. Comments will be 

posted as received to http:// 

www.cftc.gov. You should submit only 

information that you wish to make 

available publicly. If you wish the 

Commission to consider information 

that you believe is exempt from 

disclosure under the Freedom of 

Information Act, a petition for 

confidential treatment of the exempt 

information may be submitted according 

to the procedures established in CFTC 

Regulation 145.9, 17 CFR 145.9. 

The Commission reserves the right, 

but shall have no obligation, to review, 

pre-screen, filter, redact, refuse or 

remove any or all of your submission 

from http://www.cftc.gov that it may 

deem to be inappropriate for 

publication, such as obscene language. 

All submissions that have been redacted 

or removed that contain comments on 

the merits of the rulemaking will be 

retained in the public comment file and 

will be considered as required under the 

Administrative Procedure Act and other 

applicable laws, and may be accessible 

under the Freedom of Information Act. 

FOR FURTHER INFORMATION CONTACT: 

Sarah E. Josephson, Associate Director, 

Division of Clearing and Intermediary 

Oversight, (202) 418–5684, 

sjosephson@cftc.gov; or Claire Noakes, 

Attorney Advisor, Division of Clearing 

and Intermediary Oversight, (202) 418– 

5444, cnoakes@cftc.gov; Commodity 

Futures Trading Commission, Three 

Lafayette Centre, 1155 21st Street, NW., 

Washington, DC 20581. 

SUPPLEMENTARY INFORMATION: 

I. Introduction 

On July 21, 2010, President Obama 

signed the Dodd-Frank Act.1 Title VII of 

the Dodd-Frank Act amended the 

Commodity Exchange Act (CEA) 2 to 

establish a comprehensive new 

regulatory framework to reduce risk, 

increase transparency, and promote 

market integrity within the financial 

system by, among other things: 

(1) Providing for the registration and 

comprehensive regulation of swap 

dealers and major swap participants; 

(2) imposing clearing and trade 

execution requirements on standardized 

derivative products; (3) creating 

rigorous recordkeeping and real-time 

reporting regimes; and (4) enhancing the 

Commission’s rulemaking and 

enforcement authorities with respect to 

all registered entities and intermediaries 

subject to the Commission’s oversight. 

The Dodd-Frank Act addresses the 

compliance activities of certain 

registrants in detail by requiring each 

futures commission merchant, swap 

dealer, and major swap participant to 

designate a chief compliance officer.3

The Dodd-Frank Act also establishes 

duties of the chief compliance officer of 

a swap dealer or major swap 

participant,4 and requires that the chief 

compliance officer of a swap dealer or 

major swap participant annually 

prepare, sign, and certify a report that is 

furnished to the Commission discussing 

the registrant’s compliance policies and 

activities.5 The Dodd-Frank Act requires 

the Commission to prescribe rules 

regarding the annual report prepared by 

the chief compliance officer of a swap 

dealer or major swap participant.6 With 

regard to futures commission 

merchants, the Dodd-Frank Act does not 

set forth specific duties for the chief 

compliance officer or establish specific 

procedures for the preparation and 

submission of an annual report. Rather, 

the Dodd-Frank Act states that the chief 

compliance officer shall ‘‘perform such 

duties and responsibilities as shall be 

set forth in regulations to be adopted by 

the Commission.’’ 7

The Commission has determined to 

apply the same duties and 

responsibilities to a chief compliance 

officer of a futures commission 

merchant as are required for a chief 


emcdonald on DSK2BSOYB1PROD with PROPOSALS