[Federal Register Volume 66, Number 9 (Friday, January 12, 2001)]
[Proposed Rules]
[Pages 3382-3385]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-420]



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Part XII





Department of Transportation





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Federal Aviation Administration



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14 CFR Part 39



Airworthiness Directives; Proposed Rules

Federal Register / Vol. 66 , No. 9 / Friday, January 12, 2001 / 
Proposed Rules

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2000-8460; Notice No. 00-15]
RIN 2120-AA64


Airworthiness Directives

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The FAA proposes to move several standard provisions currently 
found in every airworthiness directive into its regulations pertaining 
to airworthiness directives. The FAA will no longer include these 
provisions in individual airworthiness directives. This will shorten 
individual airworthiness directives, making them easier for readers to 
use.

DATES: Submit your comments by February 12, 2001.

ADDRESSES: Address your comments to the Docket Management System, U.S. 
Department of Transportation, Room Plaza 401, 400 Seventh Street, SW., 
Washington, DC 20590-0001. You must identify the docket number FAA-
2000-8460 at the beginning of your comments, and you should submit two 
copies of your comments. If you wish to receive confirmation that FAA 
received your comments, include a self-addressed, stamped postcard.
    You may also submit comments through the Internet to http://dms.dot.gov . You may review the public docket containing comments to 
these proposed regulations in person in the Dockets Office between 9:00 
a.m. and 5:00 p.m., Monday through Friday, except Federal holidays. The 
Dockets Office is on the plaza level of the NASSIF Building at the 
Department of Transportation at the above address. Also, you may review 
public dockets on the Internet at http://dms.dot.gov.

FOR FURTHER INFORMATION CONTACT: Donald Byrne, Assistant Chief Counsel, 
Regulations Division, AGC-200, Federal Aviation Administration, 800 
Independence Ave. SW., Washington, DC 20591; telephone: (202) 267-3073.

SUPPLEMENTARY INFORMATION:

Comments Invited

    Interested persons are invited to participate in the making of the 
proposed action by submitting such written data, views, or arguments as 
they may desire. Comments relating to the environmental, energy, 
federalism, or economic impact that might result from adopting the 
proposals in this document also are invited. Substantive comments 
should be accompanied by cost estimates. Comments must identify the 
regulatory docket or notice number and be submitted in duplicate to the 
DOT Rules Docket address specified above.
    All comments received, as well as a report summarizing each 
substantive public contact with FAA personnel concerning this proposed 
rulemaking, will be filed in the docket. The docket is available for 
public inspection before and after the comment closing date.
    All comments received on or before the closing date will be 
considered by the Administrator before taking action on this proposed 
rulemaking. Comments filed late will be considered as far as possible 
without incurring expense or delay. The proposals in this document may 
be changed in light of the comments received.
    Commenters wishing the FAA to acknowledge receipt of their comments 
submitted in response to this document must include a pre-addressed, 
stamped postcard with those comments on which the following statement 
is made: ``Comments to Docket No. FAA-2000-8460.'' The postcard will be 
date stamped and mailed to the commenter.

Availability of Rulemaking Documents

    You can get an electronic copy using the Internet by taking the 
following steps:
    (1) Go to the search function of the Department of Transportation's 
electronic Docket Management System (DMS) web page (http://dms.dot.gov/search).
    (2) On the search page type in the last four digits of the Docket 
number shown at the beginning of this notice. Click on ``search.''
    (3) On the next page, which contains the Docket summary information 
for the Docket you selected, click on the document number of the item 
you wish to view.
    You can also get an electronic copy using the Internet through 
FAA's web page at http://www.faa.gov/avr/arm/nprm/nprm.htm or the 
Federal Register's web page at http://www.access.gpo.gov/su_docs/aces/aces140.html.
    You can also get a copy by submitting 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.

Background

1. Proposed Substantive Changes

    The FAA proposes to revise part 39 of Title 14, Code of Federal 
Regulations by adding several provisions currently found in many 
airworthiness directives to part 39 and omitting this language from 
most individual airworthiness directives. Removing this language from 
airworthiness directives will place the focus on the unsafe condition 
which created the need for regulatory action. A number of users have 
suggested to FAA that this boilerplate language imposed a burden on the 
reader without contributing to aviation safety. The standard provisions 
made it harder for the reader to focus on the safety aspects of the 
airworthiness directive. The FAA proposes to move the following 
provisions currently found in airworthiness directives to part 39:
    1. Airworthiness directives apply even if products have been 
modified, altered, or repaired in the area addressed by the directive;
    2. The FAA may issue a special flight permit if you can't move your 
product to a repair facility within the time limits imposed by the 
airworthiness directive; and
    3. Specify procedures for asking FAA to approve other methods for 
complying with the airworthiness directive.

2. Clearer Regulatory Format

    Besides the specific provisions discussed above, FAA is proposing 
this regulation in plain language. Plain language helps readers find 
requirements quickly and understand them easily. To do that, we have 
reorganized and reworded the regulation using plain language 
techniques. Plain language elements in the proposal include the 
following:
    1. Our section headings are in the form of questions to help direct 
the readers to specific material they need.
    2. We have used personal pronouns to reduce passive voice and draw 
readers into the writing.
    3. We have used active verbs to make clear who is responsible for 
what actions.
    We are interested in your comments on this format, and on the 
clarity of the proposal.

3. Section-by-Section Discussion of the Proposals

Section 39.1  What is the purpose of this regulation?

    This section would explain that the purpose of the regulation is to 
set up FAA's system of airworthiness directives. This would replace 
similar material found currently in part 39.

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Section 39.3  What are airworthiness directives?

    This section would explain that airworthiness directives are 
legally enforceable rules that apply to aircraft products. Further, it 
would define what products are addressed by airworthiness directives. 
This material is all similar to that in current Sec. 39.1 and 39.3.
    Also, this section would state the conditions under which FAA will 
issue an airworthiness directive. This material is similar to that 
found in current Sec. 39.1

Section 39.5  Who must comply with airworthiness directives?

    This section would clarify that anyone operating a product listed 
in an airworthiness directive must comply with the airworthiness 
directive, and that each flight you take without complying is a 
separate violation. This material is similar to that in current 
Sec. 39.3.

Section 39.7  What actions do airworthiness directives require?

    This section would identify what actions airworthiness directives 
can require. This material is similar to that in current Sec. 39.11. As 
under current part 39, FAA intends to retain broad authority to require 
whatever types of corrective actions we determine to be most effective 
in addressing identified unsafe conditions. This includes inspections, 
repairs, modifications, operating limitations, airworthiness 
limitations, and maintenance program requirements.

Section 39.13  Are airworthiness directives part of the Code of Federal 
Regulations?

    This section would specify that airworthiness directives are 
amendments to Sec. 39.13; however they are not codified in the annual 
edition of the Code of Federal Regulations. Airworthiness Directives 
are published in full in the Federal Register.
    Also, we no longer need the reference currently found in Sec. 39.13 
to airworthiness directives that were formerly in Sec. 507.10. Current 
Sec. 39.19 transferred these directives to this section and they are 
still covered by Sec. 39.19.

Section 39.15  Does an airworthiness directive apply if the product has 
been changed?

    This section would specify that a product is covered even if it has 
been modified, altered, or repaired in the area addressed by the 
airworthiness directive. Further, it would specify that if the change 
prevents you from complying with the airworthiness directive, you must 
ask FAA's permission to use another means of complying, and that your 
request must include specific actions you propose. Although this 
material is new to part 39, it currently appears as a note in most 
individual airworthiness directives.

Section 39.17  May I address the unsafe condition in any way other than 
that set out in the airworthiness directive?

    This section would allow anyone to propose to FAA an alternative 
method of compliance or a change in the time to comply with an 
airworthiness directive, as long as the proposal provides an acceptable 
level of safety. It explains how to ask FAA to approve your proposed 
alternative. This material is new to part 39 but currently appears in 
most individual airworthiness directives.

Section 39.19  Where can I get information about any other approved 
alternative means of compliance that FAA might have approved?

    This section would tell you where you can get information about 
alternative methods of complying with airworthiness directives that FAA 
has already approved for other certificate holders. This material is 
new to part 39 but currently appears in most individual airworthiness 
directives.

Section 39.21  What if I can't get my aircraft to a repair facility 
within the limits specified in an airworthiness directive?

    This section would explain that FAA may issue you a special flight 
permit, often referred to as a ``ferry permit,'' allowing you to fly 
your aircraft to a place where you can comply with the airworthiness 
directive if you cannot do so within the time limits in the 
airworthiness directive. This material is new to part 39 but currently 
appears in most individual airworthiness directives.
    To ensure aviation safety, this section also would provide that FAA 
may add special requirements for operating a specific piece of 
equipment to a repair facility. Furthermore, FAA may specify in 
particular airworthiness directives that we will not issue special 
flight permits for products covered by that particular directive. The 
FAA would take this position when the safety issue addressed by the 
airworthiness directive was so serious that moving an aircraft to a 
repair facility would create an unacceptable safety risk. You should 
also note that even for airworthiness directives for which FAA will 
generally issue special flight permits, we may decline to do so in 
individual cases because of the condition of a specific aircraft.

Section 39.25  What do I do if the airworthiness directive conflicts 
with the Service Bulletin on which it is based?

    This section would clarify that in the case of conflicts between an 
airworthiness directive and a service bulletin, the airworthiness 
directive prevails. This material is new to part 39 but currently 
appears in some individual airworthiness directives.

Paperwork Reduction Act

    The Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)) requires 
that the FAA consider the impact of paperwork and other information 
collection burdens imposed on the public. We have determined that there 
are no new information collection requirements associated with this 
proposed rule.

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 
determined that there are no ICAO Standards and Recommended Practices 
that correspond to these proposed regulations.

Executive Order 12866 and DOT Regulatory Policies and Procedures

    Executive Order 12866, Regulatory Planning and Review, directs the 
FAA to assess both the costs and benefits of a regulatory change. We 
are not allowed to propose or adopt a regulation unless we make a 
reasoned determination that the benefits of the intended regulation 
justify the costs. Our assessment of this proposal indicates that it's 
economic impact is minimal. Since its costs and benefits do not make it 
a ``significant regulatory action'' as defined in the Order, we have 
not prepared a ``regulatory impact analysis.'' Similarly, we have not 
prepared a ``regulatory evaluation,'' which is the written cost/benefit 
analysis ordinarily required for all rulemaking proposals under the DOT 
Regulatory Policies and Procedures. We do not need to do the latter 
analysis where the economic impact of a proposal is minimal.

Economic Evaluation, Regulatory Flexibility Determination, 
International Trade Impact Assessment, and Unfunded Mandates 
Assessment

    Proposed changes to Federal regulations must undergo several 
economic analyses. First, Executive

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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 requires agencies to analyze the economic 
impact of regulatory changes on small entities. Third, the Trade 
Agreements Act (19 U.S.C. section 2531-2533) 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. And fourth, the 
Unfunded Mandates Reform Act of 1995 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, in any one year 
(adjusted for inflation.)
    However, for regulations with an expected minimal impact the above-
specified analyses are not required. The Department of Transportation 
Order DOT 2100.5 prescribes policies and procedures for simplification, 
analysis, and review of regulations. If it is determined that the 
expected impact is so minimal that the proposal does not warrant a full 
Evaluation, a statement to that effect and the basis for it is included 
in proposed regulation. Since this proposed rule revises part 39 by 
moving several provisions currently found in many airworthiness 
directives to part 39, the expected outcome is one of minimal impact. 
The FAA requests comments with supporting justification regarding the 
FAA determination of minimal impact.

Regulatory Flexibility Act

    The Regulatory Flexibility Act of l 980 (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 Act requires agencies to 
solicit and consider flexible regulatory proposals and to explain the 
rationale for their actions. The Act 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 Act.
    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 l 980 act provides that 
the head of the agency may so certify and an 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.
    This proposed action simply moves existing provisions from 
individual airworthiness directives into part 39. As a result, the cost 
is expected to be minimal. Consequently, the FAA certifies that the 
rule will not have a significant economic impact on a substantial 
number of small entities. The FAA requests comments with supporting 
justification regarding the FAA small business impact determination.

Trade Impact Assessment

    The Trade Agreement Act of 1979 prohibits Federal agencies from 
engaging in any standards or related activities that create unnecessary 
obstacles to the foreign commerce of the United States. Legitimate 
domestic objectives, such as safety, are not considered unnecessary 
obstacles. The statute also requires consideration of international 
standards and where appropriate, that they be the basis for U.S. 
standards. In addition, consistent with the Administration's belief in 
the general superiority and desirability of free trade, it is the 
policy of the Administration to remove or diminish to the extent 
feasible, barriers to international trade, including both barriers 
affecting the export of American goods and services to foreign 
countries and barriers affecting the import of foreign goods and 
services into the United States.
    In accordance with the above statute and policy, the FAA has 
assessed the potential effect of this final rule to be minimal and 
therefore has determined that this rule will not result in an impact on 
international trade by companies doing business in or with the United 
States.

Unfunded Mandates Assessment

    The Unfunded Mandates Reform Act of 1995 (the Act), enacted as 
Public Law 104-4 on March 22, 1995, is intended, among other things, to 
curb the practice of imposing unfunded Federal mandates on State, 
local, and tribal governments. Title II of 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 a $100 million or more expenditure (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.'' This final rule does not contain 
such a mandate. Therefore, the requirements of Title II of the Unfunded 
Mandates Reform Act of 1995 do not apply.

Executive Order 13132, Federalism

    The FAA has analyzed this proposed rule under the principles and 
criteria of Executive Order 13132, Federalism. We 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. Therefore, we determined that this notice of proposed 
rulemaking would not have federalism implications.

Plain Language

    In response to the June 1, 1998 Presidential memorandum regarding 
the use of plain language, the FAA re-examined the writing style 
currently used in the development of regulations. The memorandum 
requires federal agencies to communicate clearly with the public. We 
are interested in your comments on whether the style of this document 
is clear, and in any other suggestions you might have to improve the 
clarity of FAA communications that affect you. You can get more 
information about the Presidential memorandum and the plain language 
initiative at http://www.plainlanguage.gov.

Environmental Analysis

    FAA Order 1050.1D defines FAA actions that may be categorically 
excluded from preparation of a National Environmental Policy Act (NEPA) 
environmental impact statement. In accordance with FAA Order 1050.1D, 
appendix 4, paragraph 4(j), this proposed rulemaking action qualifies 
for a categorical exclusion.

Energy Impact

    The energy impact of the proposed rule has been assessed in 
accordance with the Energy Policy and

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Conservation Act (EPCA) Public Law 94-163, as amended (42 U.S.C. 6362) 
and FAA Order 1053.1. It has been determined that the proposed rule is 
not a major regulatory action under the provisions of the EPCA.

List of Subjects in 14 CFR Part 39

    Aircraft, Aviation safety, Reporting and recordkeeping 
requirements.

The Proposed Amendment

    In consideration of the foregoing, the Federal Aviation 
Administration proposes to revise part 39 of Title 14, Code of Federal 
Regulations, to read as follows:

PART 39--AIRWORTHINESS DIRECTIVES

Sec.
39.1   What is the purpose of this regulation?
39.3   What are airworthiness directives?
39.5   Who must comply with airworthiness directives?
39.7   What actions do airworthiness directives require?
39.13   Are airworthiness directives part of the Code of Federal 
Regulations?
39.15   Does an airworthiness directive apply if the product has 
been changed?
39.17   May I address the unsafe condition in any way other than 
that set out in the airworthiness directive?
39.19   Where can I get information about any other means of 
complying approved by FAA?
39.21   How can I get a special flight permit to operate my aircraft 
to a repair facility to do the work required by an airworthiness 
directive?
39.25   What do I do if the airworthiness directive conflicts with 
the Service Bulletin on which it is based?

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


Sec. 39.1  What is the purpose of this regulation?

    The regulations in this part set up FAA's system of Airworthiness 
Directives.


Sec. 39.3  What are airworthiness directives?

    The FAA's airworthiness directives are legally enforceable rules 
that apply to all aircraft products; that is, aircraft, engines, 
propellers, and appliances. We issue an airworthiness directive 
addressing a product when we find that:
    (a) An unsafe condition exists in the product; and
    (b) The condition is likely to exist or develop in other products 
of the same type design.


Sec. 39.5  Who must comply with airworthiness directives?

    Anyone who operates a product covered by an airworthiness directive 
must comply with the airworthiness directive. If you do not meet the 
requirements of an airworthiness directive, each flight you make is a 
separate violation of that airworthiness directive.


Sec. 39.7  What actions do airworthiness directives require?

    Airworthiness directives specify inspections you must carry out, 
conditions and limitations you must comply with, and any actions you 
must take to resolve an unsafe condition.


Sec. 39.13  Are airworthiness directives part of the Code of Federal 
Regulations?

    Yes, airworthiness directives are part of the Code of Federal 
Regulations, but they are not codified in the annual edition. The FAA 
publishes airworthiness directives in full in the Federal Register as 
amendments to Sec. 39.13.


Sec. 39.15  Does an airworthiness directive apply if the product has 
been changed?

    Yes, an airworthiness directive applies to each product identified 
in the airworthiness directive, so the affected products aren't listed 
in the airworthiness directive. We may also just specify a model 
without listing individual aircraft, even if an individual product has 
been changed by modifying, altering, or repairing it in the area 
addressed by the airworthiness directive. If that change affects in any 
way your ability to accomplish the actions required by the 
airworthiness directive, you must request FAA approval for another 
means of complying. Unless you can show that the change eliminated the 
unsafe condition, your request should include specific actions you 
propose to address the unsafe condition. Submit your request in the 
manner described in Sec. 39.17.


Sec. 39.17  May I address the unsafe condition in a way other than that 
set out in the airworthiness directive?

    Yes, anyone may propose to FAA another means of complying or a 
change in the compliance time, as long as the proposal provides an 
acceptable level of safety. Send your proposal to the FAA manager 
identified in the directive. At the same time, if you are an operator, 
provide a copy to your assigned FAA Principal or Aviation Safety 
Inspector. Include the specific actions you are proposing to address 
the unsafe condition. The Inspector may add comments and send them to 
the FAA Manager. You may use the alternative you propose only if the 
Manager approves it.


Sec. 39.19  Where can I get information about any other means of 
complying approved by FAA?

    The office identified in an airworthiness directive as responsible 
for approving alternative means of complying can provide information 
about the existence of any alternatives FAA already has approved.


Sec. 39.21  How can I get a special flight permit to operate my 
aircraft to a repair facility to do the work required by an 
airworthiness directive?

    Unless the airworthiness directive states otherwise, FAA may issue 
you a special flight permit to fly your aircraft to a place where you 
can meet the airworthiness directive's requirements. To ensure aviation 
safety, the FAA may add special requirements for operating your 
aircraft to a place where the repairs or modifications can be 
accomplished. The FAA may also decline to issue a special flight permit 
in particular cases if we determine you cannot move the aircraft 
safely.


Sec. 39.25  What do I do if the airworthiness directive conflicts with 
the Service Bulletin on which it is based?

    In some cases an airworthiness directive incorporates by reference 
a manufacturer's service bulletin. In these cases, the service bulletin 
becomes part of the airworthiness directive. In some cases the 
directions in the service bulletin may be modified by the airworthiness 
directive. If there is a conflict between the service bulletin and the 
airworthiness directive, you must follow the requirements of the 
directive.

    Issued in Washington, DC, on November 29, 2000.
Ronald T. Wojnar,
Acting Director, Aircraft Certification Service.
[FR Doc. 01-420 Filed 1-11-01; 8:45 am]
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