Source: https://www.federalregister.gov/documents/2014/12/29/2014-30365/prohibition-against-certain-flights-in-the-simferopol-ukfv-and-dnipropetrovsk-ukdv-flight
Timestamp: 2019-10-21 13:46:14
Document Index: 264429722

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Federal Register :: Prohibition Against Certain Flights in the Simferopol (UKFV) and Dnipropetrovsk (UKDV) Flight Information Regions (FIRs)
77857-77862 (6 pages)
2120-AK56
I. Overview of Immediately Adopted Final Rule Amending SFAR No. 113
https://www.federalregister.gov/d/2014-30365 https://www.federalregister.gov/d/2014-30365
Section 553(b)(3)(B) of title 5, U.S. Code, authorizes agencies to dispense with notice and comment procedures for rules when the agency for “good cause” finds that those procedures are “impracticable, unnecessary, or contrary to the public interest.” In this instance, the FAA finds that notice and public comment to this immediately adopted final rule, as well as any delay in the effective date of this rule, are contrary to the public interest due to the immediate need to address the potential hazard to civil aviation that now exists in the Simferopol (UKFV) and Dnepropetrovsk (UKDV) FIRs, as described in the Background section of this Notice.
The FAA is responsible for the safety of flight in the United States (U.S.) and for the safety of U.S. civil operators, U.S.-registered civil aircraft, and U.S.-certificated airmen throughout the world. The FAA's authority to issue rules on aviation safety is found in title Start Printed Page 7785849, U.S. Code. Subtitle I, section 106(f), describes the authority of the FAA Administrator. Subtitle VII of title 49, Aviation Programs, describes in more detail the scope of the agency's authority. Section 40101(d)(1) provides that the Administrator shall consider in the public interest, among other matters, assigning, maintaining, and enhancing safety and security as the highest priorities in air commerce. Section 40105(b)(1)(A) requires the Administrator to exercise his authority consistently with the obligations of the U.S. Government under international agreements.
This rulemaking is promulgated under the authority described in Subtitle VII, Part A, subpart III, section 44701, General requirements. Under that section, the FAA is charged broadly with promoting safe flight of civil aircraft in air commerce by prescribing, among other things, regulations and minimum standards for practices, methods, and procedures that the Administrator finds necessary for safety in air commerce and national security. This regulation is within the scope of that authority, because it prohibits the persons subject to paragraph (a) of SFAR No. 113 from conducting flight operations in the entirety of the Simferopol (UKFV) and Dnipropetrovsk (UKDV) FIRs due to the potential hazard to the safety of such persons' flight operations, as described in the “Background” section of this document.
This action prohibits flight operations in the entirety of the Simferopol (UKFV) and Dnipropetrovsk (UKDV) FIRs by all U.S. air carriers; U.S. commercial operators; persons exercising the privileges of a U.S. airman certificate, except when such persons are operating a U.S.-registered aircraft for a foreign air carrier; and operators of U.S.-registered civil aircraft, except when such operators are foreign air carriers. The FAA finds this action necessary to prevent a potential hazard to persons and aircraft engaged in such flight operations.
On April 23, 2014, the FAA issued SFAR No. 113, § 91.1607, which prohibited flight operations in a portion of the Simferopol (UKFV) FIR by all U.S. air carriers; U.S. commercial operators; persons exercising the privileges of a U.S. airman certificate, except when such persons are operating a U.S.-registered aircraft for a foreign air carrier; and operators of U.S.-registered civil aircraft, except when such operators are foreign air carriers. On March 28, 2014, the Russian Federation had issued a Notice-to-Airmen (NOTAM) purporting to establish unilaterally a new FIR, effective April 3, 2014, in a significant portion of the Simferopol (UKFV) FIR, which included sovereign Ukrainian airspace over the Crimean Peninsula and the associated Ukrainian territorial sea, as well as international airspace managed by Ukraine over the Black Sea and the Sea of Azov. Ukraine rejected the Russian Federation's purported establishment of a new FIR within the existing Simferopol (UKFV) FIR, established a prohibited area over the Crimean Peninsula for flight operations below flight level 290, and closed various air traffic services (ATS) route segments.
The Russian Federation responded by issuing a NOTAM that rejected and directly conflicted with Ukrainian NOTAMs concerning the establishment of the prohibited area and the route segment closures. On April 2, 2014, the International Civil Aviation Organization's (ICAO's) Regional Director for Europe and the North Atlantic Regions issued a state letter to countries and their civil aviation authorities highlighting the possible existence of serious risks to the safety of international civil flights and recommending that consideration be given to implementing measures to avoid the airspace and to circumnavigate the Simferopol (UKFV) FIR with alternative routings.
When SFAR No. 113, § 91.1607, was issued, the FAA viewed the possibility of civil aircraft receiving confusing and conflicting air traffic control instructions from both Ukrainian and Russian ATS providers when operating in the portion of the Simferopol (UKFV) FIR covered by SFAR No. 113, § 91.1607, as an unsafe condition that presented a potential hazard to civil flight operations in the disputed airspace. Because political and military tensions between Ukraine and the Russian Federation remained high, the FAA was also concerned that compliance with air traffic control instructions issued by the authorities of one country could result in a civil aircraft being misidentified as a threat and intercepted or otherwise engaged by air defense forces of the other country. The FAA continues to have these concerns.
The FAA is now expanding SFAR No. 113, § 91.1607, due to safety and national security concerns regarding flight operations in the Simferopol (UKFV) and Dnipropetrovsk (UKDV) FIRs. The ongoing conflict in the region poses a significant threat to civil aviation operations in these FIRs. In addition to a series of attacks on fixed-wing and rotary-wing military aircraft flying at lower altitudes, a Ukrainian An-26 flying at 21,000 feet southeast of Luhansk was shot down on July 14, 2014, and a Malaysia Airlines Boeing 777 was shot down on July 17, 2014, while flying over Ukraine at 33,000 feet just west of the Russian border. Approximately 290 passengers and crew perished. The use of weapons capable of targeting and shooting down aircraft flying on civil air routes at cruising altitudes poses a significantly dangerous threat to civil aircraft flying in the Simferopol (UKFV) and Dnipropetrovsk (UKDV) FIRs.
In response to this situation, the FAA issued a NOTAM on July 18, 2014 (UTC), to prohibit operations within the Simferopol (UKFV) and Dnipropetrovsk (UKDV) FIRs by all U.S. air carriers; U.S. commercial operators; persons exercising the privileges of a U.S. airman certificate, except when such persons are operating a U.S.-registered aircraft for a foreign air carrier; and operators of U.S.-registered civil aircraft, except when such operators are foreign air carriers. Given the uncertainty about when the conflict in the region will end, this amendment follows up on that action.
The FAA will continue to actively evaluate the area and the airports in the region to determine to what extent U.S. civil operators may be able to safely operate in the region. Amendments to the SFAR may be appropriate if the risk to aviation safety and security changes. The FAA may amend or rescind the SFAR as necessary prior to its expiration date. This amendment also makes a few technical corrections to SFAR No. 113, § 91.1607.
Because the circumstances described herein warrant immediate action by the FAA, I find that notice and public comment under 5 U.S.C. 553(b)(3)(B) are impracticable and contrary to the public interest. However, we will accept any comments regarding the impact of this action for consideration in any future rulemaking action to amend or rescind this SFAR. Further, I find that good cause exists under 5 U.S.C. 553(d) for making this rule effective immediately upon issuance. I also find that this action is fully consistent with the obligations under 49 U.S.C. 40105 to ensure that I exercise my duties consistently with the obligations of the United States under international agreements.Start Printed Page 77859
On April 23, 2014, the FAA put an approval process in place as part of SFAR No. 113, § 91.1607. In this rule, the approval process has been expanded to address flight operations by persons covered by SFAR No. 113, § 91.1607, in the entirety of the Simferopol (UKFV) and Dnipropetrovsk (UKDV) FIRs. If a department, agency, or instrumentality of the U.S. Government determines that it has a critical need to engage any person covered under SFAR No. 113, § 91.1607, including a U.S. air carrier or a U.S. commercial operator, to conduct a charter to transport civilian or military passengers or cargo in the Simferopol (UKFV) FIR and/or the Dnipropetrovsk (UKDV) FIR, that department, agency, or instrumentality may request the FAA to approve persons covered under SFAR No. 113, § 91.1607, to conduct such operations. An approval request must be made to the FAA in a letter signed by an appropriate senior official of the requesting department, agency, or instrumentality of the U.S. Government. The letter must be sent to the Associate Administrator for Aviation Safety (AVS-1), Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591. Electronic submissions are acceptable, and the requesting entity may request that the FAA notify it electronically as to whether the approval request is granted. If a requestor wishes to make an electronic submission to the FAA, the requestor should contact the Air Transportation Division, Flight Standards Service, at (202) 267-8166, to obtain the appropriate email address. A single letter may request approval from the FAA for multiple persons covered under SFAR No. 113, § 91.1607, and/or for multiple flight operations. To the extent known, the letter must identify the person(s) expected to be covered under the SFAR on whose behalf the U.S. Government department, agency, or instrumentality is seeking FAA approval, and it must describe—
To the extent known, the specific locations within the Simferopol (UKFV) FIR and/or the Dnipropetrovsk (UKDV) FIR covered by this SFAR where the proposed operation(s) will be conducted; and
The request for approval must also include a list of operators with whom the U.S. Government department, agency, or instrumentality requesting FAA approval has a current contract(s), grant(s), or cooperative agreement(s) (or with whom its prime contractor has a subcontract(s)) for specific flight operations in the Simferopol (UKFV) FIR and/or the Dnipropetrovsk (UKDV) FIR. Additional such operators may be identified to the FAA at any time after the FAA approval is issued. Updated lists should be sent to the email address to be obtained from the Air Transportation Division, (202) 267-8166.
FAA approval of an operation under SFAR No. 113, § 91.1607, does not relieve persons subject to this SFAR of their responsibility to comply with all applicable FAA rules and regulations. Operators of civil aircraft will have to comply with the conditions of their certificate and Operations Specifications (OpSpecs). Operators will also have to comply with all rules and regulations of other U.S. Government departments or agencies that may apply to the proposed operation, including, but not limited to, the Transportation Security Regulations issued by the Transportation Security Administration, Department of Homeland Security.
On April 23, 2014, the FAA put approval conditions in place as part of SFAR No. 113, § 91.1607. The approval conditions will now apply to flight operations conducted by persons covered by SFAR No. 113, § 91.1607, in the entirety of the Simferopol (UKFV) and Dnipropetrovsk (UKDV) FIRs. If the FAA approves the request, the FAA's Aviation Safety Organization (AVS) will send an approval letter to the requesting department, agency, or instrumentality informing it that the FAA's approval is subject to all of the following conditions:
(2) The approval will specify that the operation is not eligible for coverage under a premium war risk insurance policy issued by the FAA under chapter 443 of title 49, U.S. Code.[1]
(3) If the proposed operation would have been covered by a premium war risk insurance policy issued by the FAA under chapter 443 of title 49, U.S. Code, but for SFAR No. 113, § 91.1607, the FAA will issue an endorsement to that premium policy that specifically excludes coverage for any operations into, out of, within, or through the Simferopol (UKFV) and Dnipropetrovsk (UKDV) FIRs, including operations under a flight plan that contemplates landing in or taking off from Ukrainian territory within those two FIRs. The endorsement to the premium policy will take effect before the approval's effective date. The exclusion specified in the endorsement will remain in effect as long as this SFAR remains in effect, notwithstanding the issuance of any approval under, or exemption from, this SFAR (the chapter 443 premium policy refers to such approval as a “waiver” and such exemption as an “exclusion”).
(4) Before any approval takes effect, the operator must submit to the FAA a written release of the U.S. Government (including but not limited to the United States of America, as Insurer) from all damages, claims, and liabilities, including without limitation legal fees and expenses, and the operator's agreement to indemnify the U.S. Government (including but not limited to the United States of America, as Insurer) with respect to any and all third-party damages, claims, and liabilities, including without limitation legal fees and expenses, relating to any event arising from or related to the approved operations in the Simferopol (UKFV) FIR and/or Dnipropetrovsk (UKDV) FIR. The release and agreement to indemnify do not preclude an operator from raising a claim under an applicable non-premium war risk insurance policy issued by the FAA under chapter 443.
(5) Other conditions that the FAA may specify, including those that may be imposed in OpSpecs.
If the proposed operation or operations are approved, the FAA will issue OpSpecs to the certificate holder Start Printed Page 77860authorizing these operations and will notify a department, agency, or instrumentality that requests FAA approval of civil flight operations to be conducted by one or more persons described in paragraph (a) of SFAR No. 113, § 91.1607, of any additional conditions beyond those contained in the approval letter, if the operations are approved. The requesting department, agency, or instrumentality must have a contract, grant, or cooperative agreement (or its prime contractor must have a subcontract) with the person(s) described in paragraph (a) of SFAR No. 113, § 91.1607, on whose behalf the department, agency, or instrumentality requests FAA approval.
The FAA included a section about requests for exemption when it issued SFAR No. 113, § 91.1607, on April 23, 2014. The section concerning requests for exemption has been expanded to address flight operations by persons covered by SFAR No. 113, § 91.1607, in both the Simferopol (UKFV) and the Dnipropetrovsk (UKDV) FIRs. Any operations not conducted under the approval process set forth above must be conducted under an exemption from SFAR No. 113, § 91.1607. A request by any person covered under SFAR No. 113, § 91.1607, for an exemption must comply with 14 CFR part 11, and will require exceptional circumstances beyond those contemplated by the approval process set forth above. In addition to the information required by 14 CFR § 11.81, at a minimum, the requestor must describe in its submission to the FAA—
The specific locations within the Simferopol (UKFV) FIR and/or the Dnipropetrovsk (UKDV) FIR where the proposed operation(s) will be conducted; and
Additionally, FAA's endorsement of any premium war risk insurance policy issued under chapter 443 of title 49, U.S. Code, and the release and agreement to indemnify, all as referred to above, will be required as a condition of any exemption that may be issued under SFAR No. 113, § 91.1607.
The FAA recognizes that operations that may be affected by SFAR No. 113, § 91.1607, including this amendment, may be planned for the governments of other countries with the support of the U.S. Government. While these operations will not be permitted through the approval process, the FAA will process exemption requests for such operations on an expedited basis and prior to any private exemption requests.
This rule prohibits flights in both the Simferopol (UKFV) and Dnipropetrovsk (UKDV) FIRs due to the significant hazards to civil aviation described in the Background section of this preamble. The alternative flight routes result in some additional fuel and operations costs to the operators, as well as some costs attributed to passenger time. However, no U.S. operators are now operating in the portion of the Simferopol (UKFV) FIR for which flight operations have already been prohibited by SFAR No. 113. Moreover, almost all U.S. operators had already voluntarily ceased their operations in these two FIRs prior to the issuance of the FAA NOTAM on July 18, 2014 (UTC), because of the significant hazards involved. Accordingly, the incremental costs of this proposed amendment to SFAR No. 113 are minimal. By prohibiting unsafe flights, the benefits of this rule will exceed the minimal flight deviation costs.
The Regulatory Flexibility Act of 1980 (Public Law 96-354, “RFA”) establishes “as a principle of regulatory issuance that agencies shall endeavor, consistent with the objectives of the rule and of applicable statutes, to fit regulatory and informational requirements to the scale of the businesses, organizations, and governmental jurisdictions subject to regulation. To achieve this principle, agencies are required to solicit and consider flexible regulatory proposals and to explain the rationale for their actions to assure that such proposals are given serious consideration.” The RFA covers a wide-range of small entities, including small businesses, not-for-profit organizations, and small governmental jurisdictions.
Agencies must perform a review to determine whether a rule will have a significant economic impact on a substantial number of small entities. If the agency determines that it will, the agency must prepare a regulatory flexibility analysis as described in the RFA.Start Printed Page 77861
U.S. certificate holders affected by this final rule are predominately large passenger and all-cargo carriers. There are some small entity operators flying under U.S. government contract and some operators providing flights that support oil operations that the FAA anticipates will also be affected. Many of these operations are conducted by small entities, but due to the immediacy of the potential harm to U.S. certificate holders, their passengers, crew, and cargo, there is not a sufficient amount of time to ascertain exact numbers. There are likely to be enough such operators to be considered a substantial number of small entities. The incremental costs of this amendment are minimal because operators have largely stopped overflying this area voluntarily.
The Trade Agreements Act of 1979 (Pub. L. 96-39), as amended by the Uruguay Round Agreements Act (Pub. L. 103-465), prohibits Federal agencies from establishing standards or engaging in related activities that create unnecessary obstacles to the foreign commerce of the United States. Pursuant to these Acts, the establishment of standards is not considered an unnecessary obstacle to the foreign commerce of the United States, so long as the standard has a legitimate domestic objective, such as 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 final rule and determined that its purpose is to protect the safety of U.S. civil aviation from a potential hazard outside the U.S. Therefore, the rule is in compliance with the Trade Agreements Act.
In keeping with U.S. obligations under the Convention on International Civil Aviation (the “Chicago Convention”), it is FAA policy to conform to ICAO Standards and Recommended Practices to the maximum extent practicable. The FAA has determined that there are no ICAO Standards and Recommended Practices that correspond to these proposed regulations.
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 (“NEPA”) in the absence of extraordinary circumstances. The FAA has determined this rulemaking action qualifies for the categorical exclusion identified in paragraph 312(f) and involves no extraordinary circumstances.
The FAA has reviewed the implementation of the proposed SFAR and determined it is categorically excluded from further environmental review according to FAA Order 1050.1E, “Environmental Impacts: Policies and Procedures,” paragraph 312(f). The FAA has examined possible extraordinary circumstances and determined that no such circumstances exist. After careful and thorough consideration of the proposed action, the FAA finds that the Federal action does not require preparation of an EA or EIS in accordance with the requirements of NEPA, Council on Environmental Quality (CEQ) regulations, and FAA Order 1050.1E.
2. Visit the FAA's Regulations and Policies Web page at http://www.faa.gov/​regulations_​policies/​ orStart Printed Page 77862
The Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA) requires FAA to comply with small entity requests for information or advice about compliance with statutes and regulations within its jurisdiction. A small entity with questions regarding this document may contact its local FAA official, or the person listed under the FOR FURTHER INFORMATION CONTACT section at the beginning of the preamble. To find out more about SBREFA on the Internet, visit: http://www.faa.gov/​regulations_​policies/​rulemaking/​sbre_​act/​.
Special Federal Aviation Regulation No. 113—Prohibition Against Certain Flights in the Simferopol (UKFV) and the Dnipropetrovsk (UKDV) Flight Information Regions (FIRs).
(c) Permitted operations. This section does not prohibit persons described in paragraph (a) of this section from conducting flight operations in either or both of the Simferopol (UKFV) and the Dnipropetrovsk (UKDV) FIRs, provided that such flight operations are conducted under a contract, grant, or cooperative agreement with a department, agency, or instrumentality of the U.S. government (or under a subcontract between the prime contractor of the department, agency, or instrumentality, and the person subject to paragraph (a)), with the approval of the FAA, or under an exemption issued by the FAA. The FAA will process requests for approval or exemption in a timely manner, with the order of preference being: First, for those operations in support of U.S. government-sponsored activities; second, for those operations in support of government-sponsored activities of a foreign country with the support of a U.S. government department, agency, or instrumentality; and third, for all other operations.
(e) Expiration. This SFAR will remain in effect until October 27, 2015. The FAA may amend, rescind, or extend this SFAR as necessary.
[FR Doc. 2014-30365 Filed 12-24-14; 8:45 am]