20696 Federal Register / Vol. 61, No. 89 / Tuesday, May 7, 1996 / Rules and Regulations

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 21

[Docket No. 28334; Amendment No. 21–73]

RIN 2120–AF10

Amendment of the Type Certification

Procedures for Changes in Helicopter

Type Design to Attach or Remove

External Equipment

AGENCY: Federal Aviation

Administration (FAA), DOT.

ACTION: Final rule.

SUMMARY: This final rule amends the

existing helicopter noise certification

procedures with respect to certain

changes in type designs. The

applicability of the noise certification

procedures is amended to exclude those

changes in type design that involve the

attachment or removal of external

equipment, floats and skis, and certain

airframe and operational changes made

to accommodate such changes in type

design (acoustical change requirements).

Also excluded from the applicability of

the acoustical change requirements are

helicopter flight operations with doors

and/or windows removed or in an open

position. This amendment also makes

U.S. helicopter noise certification

regulations more consistent with the

International Civil Aviation

Organization (ICAO) standards.

EFFECTIVE DATE: May 7, 1996.

FOR FURTHER INFORMATION CONTACT:

Mr. Kenneth E. Jones, Research and

Engineering Branch (AEE–110),

Technology Division, Office of

Environment and Energy, FAA, 800

Independence Avenue, SW.,

Washington, D.C. 20591; telephone

(202) 267–8933, facsimile (202) 267–

5594.

SUPPLEMENTARY INFORMATION: The

purpose of this rulemaking is to amend

the applicability of the helicopter noise

certification procedures to exclude

those changes in helicopter type design

that involve the attachment or removal

of external equipment, floats and skis,

and certain airframe and operational

changes made to accommodate such

changes in type design (acoustical

change requirements). Also excluded

from the acoustical change requirements

are helicopter flight operations with

doors and/or windows removed or in an

open position. This amendment is based

on Notice of Proposed Rulemaking

(NPRM) Notice No. 95–15 (60 FR 48790,

September 20, 1995; Docket No. 28334)

in which comments were invited. No

comments were received in the docket

in response to the NPRM. Accordingly,

the final rule is adopted as proposed in

the NPRM.

Background

Statement of the Problem

The certification procedures for

aeronautical products and parts are

contained in 14 CFR part 21. Under part

21, an applicant for approval of a

change to a helicopter type certificate

must show compliance with the noise

regulations in 14 CFR part 36 (part 36)

if the change in type design may

increase the noise level of the helicopter

(an acoustical change). Section 21.93

defines an ‘‘acoustical change’’ and

classifies the aircraft which must

demonstrate compliance with part 36

following an acoustical change. Section

21.93(b)(4) describes helicopters

required to demonstrate compliance

with part 36 for an acoustical change,

and specifically excludes helicopters

designated exclusively for ‘‘agricultural

aircraft operations,’’ ‘‘dispensing

firefighting materials,’’ or ‘‘carrying

external loads.’’ The intent of the

existing § 21.93(b)(4) is to exclude

helicopters designated exclusively to

carry external loads from the

requirement to demonstrate compliance

with part 36.

This amendment addresses type

certification (including noise

requirements) procedures for changes to

helicopter type designs to configure

helicopters for carriage of external

equipment. External equipment is

defined herein as any instrument,

mechanism, part, apparatus, or

accessory that is attached to or extends

from the helicopter exterior but is not

used nor is intended to be used in

operating or controlling a helicopter in

flight and its not part of an airframe or

engine. Examples of external equipment

are spotlights, cameras, airborne signs,

and cargo tanks and baskets.

External equipment may be attached

to a helicopter as a Class A Rotorcraft

External Load Combination under 14

CFR part 133 (part 133) ‘‘Rotorcraft

External Load Operations’’, or

alternatively, the external equipment

may be attached to the helicopter as a

change in type design under Subpart D

of part 21. The noise certification

requirements do not apply to any

helicopter, regardless of airworthiness

certification category, that is designated

exclusively for carrying external loads

pursuant to part 133. Section 133.51

states that ‘‘[a] Rotocraft External-Load

Operator Certificate is a current and

valid airworthiness certificate for each

rotocraft . . . listed by registration

number on a list attached to the

certificate, when the rotocraft is being

used in operations conducted under

[part 133].’’ However, when the original

helicopter noise certification rules were

adopted in part 21, external equipment

was not excluded from the acoustical

change provisions of § 21.93. Thus,

except for helicopters operated under

part 133, the addition of external

equipment was, prior to this

amendment, subject to the acoustical

change provisions of § 21.93. This

amendment of § 21.93 reconciles the

procedural treatment of external

equipment added to helicopters with

the intent of § 21.93(b)(4) by expanding

the acoustical change exception to

include carriage of external equipment.

History of Aircraft Noise Certification

Regulations Relevant to This

Amendment

On November 3, 1969, the

Administrator of the FAA adopted part

36 entitled ‘‘Noise Standards: Aircraft

Type Certification.’’ That action

implemented the FAA’s regulatory noise

abatement program by prescribing type

certification noise standards for

subsonic turbojet powered airplanes.

Procedural changes were concurrently

made to part 21, ‘‘Certification

Procedures for Products and Parts,’’ to

provide criteria and requirements for

demonstrating compliance with the

specifications in part 36 (34 FR 18355,

November 18, 1969). The noise

certification requirements of parts 21

and 36 are designed to promote the

incorporation of noise abatement

technology into aircraft design. Parts 21

and 36 have been amended as

appropriate to add new aircraft types to

the certification requirements or change

the technical specifications as

necessary. Subsequently, helicopter

noise certification requirements were

adopted with amendment 36–14 to part

36 and amendment 21–61 to part 21 (53

FR 3534, February 5, 1988).

The first amendment to part 21

relevant to the original aircraft noise

certification regulation was amendment

21–27 (34 FR 18355, November 10,

1969). That amendment established the

general requirement that an applicant

must demonstrate compliance with the

applicable provisions of the part 36

procedures prior to issuance of an

original, amended, or supplemental type

certificate. The same amendment to part

21 included the addition under

§ 21.93(b) that specified an ‘‘acoustical

change’’ as any voluntary change in type

design of a transport category or

turbojet-powered airplane that may

increase the noise levels of that

airplane. Section 21.93 was

subsequently amended in response to
Federal Register / Vol. 61, No. 89 / Tuesday, May 7, 1996 / Rules and Regulations 20697

the promulgation of part 36 noise

standards for propeller-driven airplanes

(Amdt. 21–42; 40 FR 1029, January 6,

1975), supersonic airplanes (Amdt. 21–

47; 43 FR 28406, June 29, 1978),

commuter category airplanes (Amdt.

21–59; 52 FR 1806, January 15, 1987),

and helicopters (Admt. 21–61; 53 FR

3534, February 5, 1988).

Section 21.93 has also been amended

to exclude certain changes in aircraft

type design from the acoustical change

requirements. The necessity for

excluding these changes in type design

became apparent only after experience

was gained from implementation of the

original noise certification regulations

for the aircraft type in question. For

turbojet-powered airplanes, amendment

21–56 (47 FR 756, January 7, 1982)

excludes time-limited engine and/or

nacelle changes, where the change in

type design specifies that the airplane

may not be operated for a period of

more than 90 days, and amendment 21–

62 (53 FR 16360, May 6, 1988) excludes

both gear down flight with one or more

retractable landing gear down during

the entire flight and spare engine and

nacelle carriage external to the skin of

the aircraft. For propeller-driven

commuter category and propeller-driven

small airplanes, amendment 21–63 (53

FR 47394, November 22, 1988) excludes

‘‘antique’’ airplanes (i.e., those airplanes

that have flight time before January 1,

1955) and land configurated aircraft

reconfigured with floats and skis.

Synopsis of the Amendment

This amendment changes the

acoustical change provisions of § 21.93

to exclude helicopters that have been

modified by the addition or removal of

external equipment mounted on the

helicopter airframe or floats (rigid or

bag) and skis. This amendment also

excludes certain changes in helicopter

type design from the acoustical change

requirements otherwise applicable to

certain airframe changes made to

accommodate the external equipment

and to helicopter flight operations with

doors and/or windows removed or in an

open position. This amendment also

applies to any operating limitations

placed on, or removed from the

helicopter as a consequence of the

addition or removal of external

equipment, floats, and skis.

The FAA recognizes the utility aspect

of the helicopter as an aerial platform of

external equipment. It is a common

practice in the helicopter industry to

add or remove external equipment as

mission requirements vary. Although

external equipment may be offered by

the original manufacturer of the

helicopter, it is usually added as an

after-market addition by individual

operators to meet specific mission

needs. Given the potential variety of

external equipment, the nature of the

external equipment is not considered

part of the basic design of a given

helicopter and does not influence the

basic aerodynamic design or the

incorporation of noise abatement

technology into the helicopter design.

As stated in the preamble of the final

rule (cited previously) for the original

helicopter noise certification

rulemaking, ‘‘. . . the [helicopter] noise

standards apply [only] to internal load

configurations.’’

This amendment is consistent with a

similar provision in the applicability

section of the helicopter noise

certification standard approve by the

ICAO under its International Standards

and Recommended Practices:

Environmental Protection; Annex 16,

Volume 1, Chapters 8 and 11 (Third

Edition-July 1993). This amendment

brings the acoustical change provision

in the U.S. noise certification

regulations into closer harmony with

that used by foreign noise certification

authorities.

The FAA has determined that this

amendment will provide benefits in the

form of regulatory relief to the

helicopter industry and to individual

helicopter operators. This amendment

will result in little or no increase of

public exposure to helicopter noise

emissions. Prior to this amendment,

type certification procedures and the

helicopter regulations changed by this

amendment imposed an undue financial

burden on the helicopter industry and

operators without providing any

measurable benefit to the public.

Details of the amendment and

limitations of the amendment are

provided in the following analysis.

§ 21.93 Classification of changes in type

design.

Part 21 prescribes that certain types of

aircraft, including helicopters, must

demonstrate compliance with the

applicable requirements of part 36 if a

change in type design results in an

acoustical change. Section 21.93

specifies an ‘‘acoustical change’’ as any

voluntary change in type design

(including operational limitations) that

may increase the noise levels of an

aircraft. This amendment, applicable

only to helicopters, excludes the

installation or removal of external

equipment from being considered an

acoustical change. The amendment

specifically excludes from the acoustical

change provision the addition or

removal of all external equipment where

‘‘external equipment’’ means any

instrument, mechanism, part, apparatus,

appurtenance, or accessory (e.g.,

spotlights, cameras and other optical

devices, public address systems, hoists,

airborne signs, tow banners, cargo tanks

and baskets, emergency flotation gear,

personnel platforms, wire strike kits,

crop spraying equipment, scientific

apparatus and their accessories) that is

not used or intended to be used in

operating or controlling an aircraft in

flight, that is attached to the helicopter,

and is not part of an airframe or engine.

This amendment applies to changes in

the airframe made to:

(1) Accommodate the addition or

removal of external equipment:

(2) Facilitate the use of external

equipment; or

(3) Facilitate the safe operation of the

helicopter with external equipment

mounted on the helicopter.

Examples of airframe changes that are

excepted include fairings, attachment

hardware, cavities constructed in the

airframe to accommodate conformally

attached equipment, and bubble

windows. This amendment also

excludes from the acoustical change

provision external load attaching means,

the airworthiness certification of which

is specified in §§ 27.865 and 29.865.

This amendment excludes the

addition or removal of floats and skis on

helicopters from the acoustical change

provision. This amendment makes it

clear that any changes in the operating

limitations placed on the helicopter as

a consequence of the addition or

removal of external equipment, floats,

and skis is not an acoustical change.

Similarly, it also excludes flight

operations conducted with one or more

doors and/or windows removed or in an

open position.

The FAA has included addition or

removal of floats and skis on helicopters

under this amendment in order to

provide the same provision for

helicopters as is currently provided

small propeller driven airplanes and

propeller driven commuter category

airplanes under § 21.93(b)(3). The

acoustical change requirements of

§ 21.93 do not require a noise

certification compliance demonstration

for such airplanes because the FAA did

not have a rational basis to consider

such design configurations in the

original rulemaking that established

noise certification requirements for

theses aircraft. While the addition of

floats and skis adversely affects the

aerodynamic performance, and

consequently the noise levels, of both

small airplanes and helicopters, the

FAA lacks the acoustical and

performance data necessary to develop
20698 Federal Register / Vol. 61, No. 89 / Tuesday, May 7, 1996 / Rules and Regulations

noise certification regulations relevant

to small airplanes and helicopters that

are reconfigured by the addition of

floats or skis.

If a noise compliance demonstration

is otherwise required for compliance

with part 36, the noise flight test must

be conducted without any external

equipment, floats, or skis mounted to

the helicopter and with doors and

windows mounted and closed (i.e.,

aerodynamically clean configuration)

unless otherwise approved or required

by the FAA. In granting such approvals

or establishing such requirements, the

rationale for the FAA’s decision will be

based on whether or not the measured

helicopter noise levels from a proposed

noise compliance demonstration would

be representative of a ‘‘clean

configured’’ helicopter. For example,

assume a cavity was created in the

fuselage (as a related airframe change) to

accommodate a conformally (flush)

fitted camera. Under this amendment,

both the camera and the cavity are

excluded from the acoustical change

requirements of part 21. However, in the

event of any future noise testing of that

helicopter for a change in type design

unrelated to the camera and cavity, such

a noise test without the camera mounted

and the cavity exposed would likely

lead to unrepresentative noise levels

due to alternation of the aerodynamic

performance of the helicopter. In this

example, during the actual noise test for

the unrelated change in type design, the

FAA would probably require that the

flush-mounted camera be inserted in its

associated fuselage cavity or that the

fuselage cavity be covered in a manner

that would return the fuselage to its

original aerodynamic shape. Similarly,

any analysis for the purpose of

demonstrating a ‘‘non-acoustical

change’’ under § 21.93 must assume

performance levels consistent with an

aerodynamically clean helicopter

(relative to the changes in type design

excluded under this amendment). That

is, a decrease in a noise certification

level effected by the addition of

equipment excluded under this

amendment may not be used to

‘‘mathematically’’ offset an increase in

noise from a change in type design not

affected by this amendment. For

example, assuming the certification

basis for a given helicopter is part 36

Appendix J, an increase in the flyover

noise certification level caused by the

upgrade of a transmission may not be

offset by the decrease in noise from the

assumed addition of external

equipment, floats or skis as part of the

change in type design for the

transmission.

The FAA also deletes by this

amendment the previous text in

§ 21.93(b)(4)(i) and (ii). Those

paragraphs indicated examples of

design changes which would be

considered acoustical changes. Since

§ 21.93(b) already makes it clear that

‘‘any voluntary change in the type

design of an aircraft that may increase

the noise levels of the aircraft is an

‘acoustical change’ . . . .’’ paragraphs

§ 21.93(b)(4)(i) and (ii) could have been

erroneously interepreted to indicate that

(any) change to a muffler (including a

change to a quieter muffler) is by

regulation an acoustical change.

Paragraphs (i) and (ii) did not represent

a regulatory requirement and added

nothing toward the interpretation of the

acoustical change requirements for

helicopters. The amended text addresses

the definition of external equipment and

the exclusions discussed earlier in this

synopsis.

The FAA has examined such factors

as the utility aspect of the helicopter

mission, the necessity for the addition

or removal of external equipment to

meet mission needs, the relevance of

such equipment with regard to the

incorporation of noise abatement

technology in the design of the

helicopter, and the desire for

commonality of U.S. noise certification

regulations with relevant international

standards and foreign national

regulations. After consideration of these

factors, the Administrator determined

that the amendment is consistent with

the criteria set forth for proposing and

amending aircraft noise abatement

regulations under the authority of

§ 611(d) of the Federal Aviation Act of

1958.

International Compatibility

The FAA has reviewed corresponding

ICAO standards and JAA regulations,

were they exist. This amendment makes

U.S. helicopter noise certification

regulations more consistent with the

ICAO standards.

Paper Reduction Act

In accordance with the Paperwork

Reduction Act of 1980 (Pub. L. 96–511),

there are no requirements for

information collection associated with

this amendment.

Regulatory Evaluation Summary

Three principal requirements pertain

to the economic impacts of changes to

the Federal Regulations. First, Executive

Order 12866 directs Federal agencies to

promulgate new regulations or modify

existing regulations only if the expected

benefits to society outweigh the

expected costs. Second, the regulatory

Flexibility Act of 1980 requires agencies

to analyze the economic impact of

regulatory changes on small entities.

Finally, the Office of Management and

Budget directs agencies to assess the

effect of regulatory changes on

international trade. In conducting these

analyses, the FAA has determined that

this rule: (1) Will generate benefits

exceeding costs; (2) is not ‘‘significant’’

as defined in the Executive Order and

DOT’s policies and procedures; (3) will

not have a significant impact on a

substantial number of small entities; (4)

will lessen restraints on international

trade. These analyses, available in the

docket, are summarized below.

Benefits

The final rule will provide regulatory

relief and a cost savings of $31,690,468

(non-discounted) or $23,409,159

discounted, over a ten year period, to

helicopter manufacturers, modifers, and

operators. Of this amount, the projected

cost savings for part 36 noise

certification testing are as follows:

Appendix H testing for helicopter

manufacturers is $4,800,000 (nondiscounted) or $4,264,244 discounted;

Appendix J testing for helicopter

manufacturers is $3,000,000 (nondiscounted) or $2,330,305 discounted;

and Appendix J Testing for modifers,

$22,500,000 (non-discounted) or

$15,803,025 discounted. The FAA will

also realize administrative cost savings

under these appendices as follows:

Appendix H, $222,460 (non-discounted)

or $178,312 discounted; Appendix J,

$231,740 (non-discounted) or $173,525

discounted; and Appendix J (for

modifiers), $936,268 (non-discounted)

or $659,748 discounted.

Costs

From a number of noise certification

studies, the FAA has learned that

allowing applicants to attach external

equipment to their helicopters will

result in no net increase in helicopter

noise or, at worst, insignificant

increases in noise levels.

Regulatory Flexibility Determination

The Regulatory Flexibility Act of 1980

(RFA) was enacted by Congress to

ensure that small entities are not

unnecessarily and disproportionately

burdened by government regulations.

The RFA requires a Regulatory

Flexibility Analysis if a rule will have

a significant economic impact, either

detrimental or beneficial, on a

substantial number of small entities.

FAA Order 2100.14A, Regulatory

Flexibility Criteria and Guidance

prescribes standards for complying with

RFA review requirements in FAA
Federal Register / Vol. 61, No. 89 / Tuesday, May 7, 1996 / Rules and Regulations 20699

rulemaking actions. The order defines

‘‘small entities’’ in terms of size

thresholds, ‘‘significant economic

impact’’ in terms of annualized cost

threshold, and ‘‘substantial number’’ as

a number that is not less than eleven

and that is more than one-third of the

small entities subject to the final rule.

The FAA has determined that, in

accordance with the above order, the

final rule to part 21 will not have a

significant economic impact on a

substantial number of small entities.

The final rule will directly affect two

types of entities: (1) Light helicopter

manufacturers, and (2) small helicopter

modifiers.

For small aircraft and aircraft parts

manufacturers, Order 2100.14A

specifies a size threshold for

classification as a small entity as 75 or

fewer employees. Based upon this size

threshold, all of the affected U.S.

manufacturers are large. For the purpose

of the regulatory flexibility

determination, an aircraft modifier is

considered a small entity if it has 200

on fewer employees.

The FAA concludes that a substantial

number of small entities (less than one

third) will not be significantly affected

by the final rule. Therefore, the final

rule will not impose a significant

economic impact on a substantial

number of small entities, and a

regulatory flexibility analysis is not

required.

Trade Impact Assessment

The FAA has determined that the

final rule will neither affect the sale of

foreign aviation products and services

in the United States nor the sale of U.S.

products and services in foreign

countries. This determination is based

on the FAA’s contention that the final

rule will align the U.S. standards more

closely with foreign standards for noise

certification of external equipment.

Federalism Implications

The regulations herein will not have

a substantial direct effects 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. Therefore, in

accordance with Executive Order 12612,

it is determined that this proposed rule

would not have sufficient federalism

implications to warrant the preparation

of a Federalism Assessment.

Environmental Analysis

Pursuant to the Department of

Transportation ‘‘Policies and Procedures

for Considering Environmental Impacts’’

(FAA Order 1050.1D), the FAA has

determined that this rule does not

significantly affect the human

environment. A Finding of No

Significant Impact has been prepared

and placed in the docket.

Justification for Immediate Adoption

The FAA has determined that further

delay in the adoption of this rule would

cause undue burden to U.S.

manufacturers, modifiers, and operators

of helicopters. This final rule does not

impose new regulatory requirements;

rather, it corrects an oversight in the

original helicopter noise certification

rulemaking, which unnecessarily

applied acoustical change noise

certification requirements to some

external load configurations. Although

the preamble of that original rulemaking

stated that the noise certification

regulations applied only to internal load

configurations, the necessary

amendatory language that would effect

that applicability was not made in all of

the relevant portions of the noise

certification regulations. At present,

there are several applications pending

for changes in helicopter type design

which call for the addition of external

equipment. Without this rule, those

applicants are unintentionally subject to

costly noise certification testing.

Accordingly, the FAA has determined

that good cause exist to make this rule

effective in less than 30 days.

Conclusion

The FAA has determined that this

final rule: (1) is not a significant

regulatory action under Executive Order

12866; (2) is not a significant regulatory

action under DOT Regulatory Policies

and Procedures (44 FR 11034, February

26, 1979); and (3) will not have a

significant economic impact, positive or

negative, on a substantial number of

small entities under the criteria of the

Regulatory Flexibility Act. In addition,

this final rule will have little or no affect

on trade opportunities for U.S. firms

doing business overseas, or on foreign

firms doing business in the United

States.

List of Subjects in 14 CFR Part 21

Aircraft, Helicopters, Noise control.

The Amendment

Accordingly, the Federal Aviation

Administration amends 14 CFR part 21

as follows:

PART 21—CERTIFICATION

PROCEDURES FOR PRODUCTS AND

PARTS

1. The authority citation for part 21

continues to read as follows:

Authority: 42 U.S.C. 7572; 49 U.S.C.

106(g), 40105, 40113, 44701–44702, 44707,

44709, 44711, 44713, 44715, 45303.

2. Section 21.93 is amended by

revising paragraph (b)(4) to read as

follows:

§ 21.93 Classification of changes in type

design.

* * * * *

(b) * * *

(4) Helicopters except:

(i) Those helicopters that are

designated exclusively:

(A) for ‘‘agricultural aircraft

operations’’, as defined in § 137.3 of this

chapter, as effective on January 1, 1966;

(B) for dispensing fire fighting

materials; or

(C) for carrying external loads, as

defined in § 133.1(b) of this chapter, as

effective on December 20, 1976.

(ii) Those helicopters modified by

installation or removal of external

equipment. For purposes of this

paragraph, ‘‘external equipment’’ means

any instrument, mechanism, part,

apparatus, appurtenance, or accessory

that it attached to, or extends from, the

helicopter exterior but is not used nor

is intended to be used in operating or

controlling a helicopter in flight and is

not part of an airframe or engine An

‘‘acoustical change’’ does not include:

(A) addition or removal of external

equipment;

(B) changes in the airframe made to

accommodate the addition or removal of

external equipment, to provide for an

external load attaching means, to

facilitate the use of external equipment

or external loads, or to facilitate the safe

operation of the helicopter with external

equipment mounted to, or external

loads carried by, the helicopter;

(C) reconfiguration of the helicopter

by the addition or removal of floats and

skis;

(D) flight with one or more doors and/

or windows removed or in an open

position; or

(E) any changes in the operational

limitations placed on the helicopter as

a consequence of the addition or

removal of external equipment, floats,

and skis, or flight operations with doors

and/or windows removed or in an open

position.

* * * * *

Issued in Washington DC on May 1, 1996.

David R. Hinson,

Administrator.

[FR Doc. 96–11374 Filed 5–6–96; 8:45 am]

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