[Federal Register Volume 59, Number 238 (Tuesday, December 13, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-30575]
[[Page Unknown]]
[Federal Register: December 13, 1994]
_______________________________________________________________________
Part V
Department of Transportation
_______________________________________________________________________
Federal Aviation Administration
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14 CFR Parts 121 and 135
Air Carrier and Commercial Operator Training Programs; Proposed Rule
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 121 and 135
[Docket No. 27993; Notice No. 94-35]
RIN: 2120-AC79
Air Carrier and Commercial Operator Training Programs
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Notice of Proposed Rulemaking (NPRM).
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SUMMARY: The FAA proposes to revise the training and qualification
requirements for certain air carriers and commercial operators by: (1)
Requiring certain certificate holders operating under part 135, and
permitting certain others, to comply with part 121 training, checking,
and qualification requirements, and (2) mandating Crew Resource
Management (CRM) training requirements for part 121 and certain part
135 operators. The FAA has proposed these rules in order to make some
part 135 training requirements as comprehensive as part 121
requirements and to incorporate recent knowledge about human
performance factors. The proposed rule would also allow certain part
135 certificate holders to take advantage of sophisticated aircraft
simulator training technologies presently available to part 121
certificate holders. By increasing the training and qualification
requirements for certain operators, the proposed rule is expected to
reduce the risk of accidents and incidents. By mandating CRM training
for certificate holders required to comply with part 121 training
requirements, the proposed rule is expected to reduce the number of
accidents and incidents that could be attributed to a lack of crew
communication and coordination.
DATES: Comments must be received on or before March 14, 1995.
ADDRESSES: Send or deliver comments on this notice in triplicate to:
Federal Aviation Administration, Office of the Chief Counsel,
Attention: Rules Docket (AGC-200), Room 915G, Docket No. 27993, 800
Independence Avenue, SW, Washington, DC 20591. Comments must be marked
Docket No. 27993. Comments may be examined in the Rules Docket between
8:30 a.m. and 5 p.m. on weekdays, except Federal Holidays.
FOR FURTHER INFORMATION CONTACT:
Mr. Larry Youngblut, Project Development Branch (AFS-240), Air
Transportation Division, Flight Standards Service, Federal Aviation
Administration, 800 Independence Avenue, SW, Washington, DC 20591;
telephone (202) 267-8096.
SUPPLEMENTARY INFORMATION:
Comments Invited
Interested persons are invited to participate in the making of this
proposed rule by submitting such written data, views, or arguments as
they may desire. Communications should identify the regulatory docket
or notice number and be submitted in triplicate to the address above.
All communications received on or before the closing date for comments
will be considered by the Administrator before taking further
rulemaking action. Persons wishing the FAA to acknowledge receipt of
their comments submitted in response to this notice must submit with
those comments a pre-addressed, stamped postcard on which the following
statement is made: ``Comments to Docket No. 27993.'' The postcard will
be dated and time stamped and returned to the commenter. All comments
submitted will be available, both before and after the closing date for
comments, in the Rules Docket for examination by interested persons. A
report summarizing each substantive public contact with FAA personnel
concerned with this rulemaking will be filed in the docket.
Availability of NPRM
Any person may obtain a copy of this NPRM by submitting a request
to the Federal Aviation Administration, Office of Public Affairs,
Attention: Public Inquiry Center (APA-230), 800 Independence Avenue,
SW., Washington, DC 20591, or by calling (202) 267-3484. Requests must
identify the notice number of this NPRM. Persons interested in being
placed on the mailing list for future NPRMs should also request a copy
of Advisory Circular No. 11-2A, Notice of Proposed Rulemaking
Distribution System, which describes the application procedures.
Background
Federal Aviation Regulations in parts 121 and 135 of Title 14 of
the Code of Federal Regulations contain rules which specify training
program requirements for air carriers and certain commercial operators.
Those rules specify the qualification requirements of crewmembers,
flight and simulator instructors, check airmen, aircraft dispatchers,
and other operations personnel. The most detailed and rigorous training
and qualification requirements are those contained in subparts N and O
of part 121. Although subparts N and O have been amended a number of
times in recent years, most of the amendments concern the use of
simulators, training devices, or specific training requirements such as
security and the transportation of hazardous materials. No
comprehensive changes have been made to these subparts since December
1969.
The FAA's most immediate concerns regarding the training and
qualification regulations in part 121 and part 135 are twofold. First,
compared to part 121 training regulations, part 135 training
regulations do not provide a balanced mix of training and checking.
Second, current parts 121 and 135 training regulations do not
incorporate recent knowledge about the significance of human
performance factors (e.g., communication, decision-making, leadership,
management) in safe flight operations.
In December, 1986, in response to a Safety Recommendation from the
National Transportation Safety Board (NTSB), the FAA specifically
addressed the human factors training issue by initiating an aviation
behavioral technology program. This ongoing program consists of
projects that, among other things, increase the use of line operational
simulations (LOS) to improve cockpit/cabin communication and
coordination skills, and pilot decision-making skills.
In June 1988, the NTSB issued Safety Recommendation A-88-71
concerning CRM training. The NTSB issued the recommendation as a result
of a Northwest Airlines crash on August 16, 1987, in which 148
passengers, 6 crewmembers, and 2 people on the ground were killed. The
NTSB noted that both pilots had received single-crewmember training
during their last simulator training and proficiency checks and the
last CRM training they had both received was 3.5 hours of ground school
(general) CRM training in 1983. The NTSB implied that the accident
might have been prevented had the flight crew received adequate CRM
training.
After soliciting ideas from other government agencies and from the
aviation community, the FAA published a proposed Special Federal
Aviation Regulation (SFAR) and accompanying draft advisory circular
(AC) in the Federal Register (54 FR 7670, February 22, 1989). These
documents proposed a voluntary, alternative method of complying with
the training requirements in current regulations. The voluntary
alternative training is called an ``advanced qualification program''
(AQP). After considering comments received, the FAA issued a final SFAR
58, Advanced Qualification Program, and an accompanying advisory
circular (55 FR 40262, October 2, 1990). This voluntary program applies
to certificate holders operating under part 121 or part 135 who elect
the alternative requirements of AQP which includes CRM training and
evaluation, increased use of LOS, use of training centers, and the
evaluation of flight training devices and flight simulators.
To date, the larger and more sophisticated air carriers have taken
advantage of the voluntary program. The FAA expects this to be the case
for the foreseeable future. The FAA recognizes that many operators,
particularly smaller operators, may be unable to take advantage of the
voluntary program. Since these operators will elect not to participate
in the voluntary AQP program and will instead comply with current
training requirements in parts 121 and 135, the FAA proposes to amend
the current training requirements of parts 121 and 135 to address the
most immediate concerns regarding improved aircrew training and
qualification standards. In particular, all certificate holders
operating under part 121, and those certificate holders operating under
part 135 who are authorized or required to follow part 121 training and
qualification requirements, would be required to include CRM in their
training programs.
Another recommendation from other government agencies and the
aviation community was that commuter air carriers conducting operations
under part 135 with airplanes that require two pilot crewmembers should
also be required to comply with the training, checking, and
qualification requirements of part 121. Many regional air carriers
operate under both parts 121 and 135. The Regional Airline Association,
on December 10, 1991, petitioned the FAA for an exemption to allow its
members to train, check, and qualify their pilots under part 121 rather
than under part 135. The FAA granted exemption No. 5450 on May 8, 1992,
and now over 60% of those certificate holders that operate under both
parts 121 and 135 have obtained approval to train, check, and qualify
their pilots pursuant to part 121.
The FAA has issued two NPRM's that are relevant to this rulemaking.
Notice No. 92-10 (57 FR 35888, August 11, 1992) relates to the use of
training centers by certificate holders who do not elect to come under
an AQP. The second NPRM, Notice No. 93-1 (58 FR 15730, March 23, 1993),
is of particular importance to those certificate holders who operate
under part 135 that would be affected by the mandatory requirements of
this proposal. If the pilot operating and experience requirements
proposed in Notice No. 93-1 are adopted, the new crew pairing and
consolidation of knowledge and skills requirements would apply to those
part 135 operators who are required or who elect to comply with the
requirements of subparts N and O of part 121. Therefore, affected part
135 certificate holders are invited to consider the applicability of
Notice No. 92-10 and Notice No. 93-1 to their operations when
commenting on this notice. By this notice, the FAA is not reopening the
comment period for those NPRM's. The FAA could adopt the proposals in
those NPRM's and still consider whether to apply those provisions to
part 135 certificate holders in this proposed rulemaking.
The Proposed Rule
General Applicability
The proposed amendments to part 121 would apply to all certificate
holders operating under part 121 and to certain certificate holders
operating under part 135 who would be required to comply with the part
121 training qualification requirements. The proposed requirements
would also apply to certain part 135 certificate holders if they apply
for and receive FAA authorization to comply with the part 121 training
and qualification requirements.
Commuter Operations Conducted Under Part 135
Part 135 commuter operations serving small and medium sized
communities carry millions of passengers every year. The Regional
Airline Association (RAA), whose membership consists primarily of
commuter air carriers, estimates that more than 61 million passengers
will be carried by RAA member airlines in 1997. Comprehensive training
requirements, including CRM training, are important to the safety of
these operations. Part 121 training would benefit these operations
because it provides more emphasis on training, whereas current part 135
rules rely more heavily on the testing and checking requirements set
forth in subparts G and H of part 135. Part 121 also allows greater use
of simulators resulting in two benefits:
(1) Under Sec. 121.407(c), simulator training can be substituted
for repetitive proficiency checks (Sec. 121.441) and certain recency
requirements (Sec. 121.439). This allows for greater flexibility and a
more effective mix of training and checking activities.
(2) Simulator training may include hazardous scenarios that would
be imprudent to be included in inflight training. This also increases
pilot proficiency.
The proposed amendments to Secs. 121.431, 135.3, 135.241, 135.291,
and 135.321(a) require the following certificate holders conducting
commuter operations under part 135 to comply with the training,
checking, and qualification requirements of part 121, subparts N and O,
in place of the requirements of subparts E, G, and H of part 135: (1)
Those that conduct commuter operations with airplanes for which two
pilots are required by aircraft type certification rules, and (2) those
that conduct commuter operations with airplanes having a passenger
seating configuration, excluding any pilot seat, of 10 seats or more.
The term ``commuter operations'' will apply to both intrastate and
interstate operations with the frequency of operations set forth in the
definition of ``Commuter Air Carrier'' in SFAR 38-2. Thus, intrastate
operations as described above with a frequency of operations described
in SFAR 38-2's definition of ``commuter air carrier'' would also be
subject to the proposals in this NPRM.
The proposed rule also allows the Administrator to authorize any
other certificate holders that conduct operations under part 135 to
comply with the training, checking, and qualification requirements of
subparts N and O of part 121. These operations would include commuter
operations using aircraft that do not meet the criteria outlined above
and all unscheduled operations conducted under part 135. However,
because of the size and scope of these operations, the FAA proposes to
permit these certificate holders to comply with the operating
experience requirements in Sec. 135.244 instead of those in
Sec. 121.434.
Each certificate holder operating under part 135 that would be
required under proposed Sec. 135.321(b) to comply with the training and
qualification requirements of part 121, subparts N and O, would also be
required to submit and obtain FAA approval of a transition plan
converting from part 135 to the part 121 training and checking
requirements. In the proposed plan the certificate holder should
address issues such as: (1) whether currently employed crewmembers need
additional training to meet minimum part 121 training and qualification
requirements; and (2) whether and how the certificate holder's training
curriculum will be modified to meet part 121 requirements.
Although not part of the transaction plan, the proposed change to
Sec. 121.405 would also require certain part 135 certificate holders to
modify their training program manual contents. Under proposed
Sec. 121.405(g) a certificate holder may request a reduction in the
programmed hours of ground training from the minimum hours required
under present Sec. 121.419. A reduction may be warranted in cases where
a certificate holder shows that the airplanes it operates under part
135 are less complex than those generally operated under part 121.
Crew Resource Management (CRM) Training
A major objective of this proposed rule is to require all
certificate holders operating under part 121 and certain certificate
holders operating certain airplanes under part 135 to provide CRM
training. Over the last decade, a number of air carrier incidents and
accidents have been attributed, in part, to the lack of CRM skills
(e.g., communication, decision-making, leadership, management). Over
the last decade 24 part 121 accidents were reported by the NTSB as
having resulted, in part, from CRM-related causes. National Aeronautics
and Space Administration (NASA) studies over the last ten years
indicate more than 60% of fatal air carrier accidents were not directly
linked to mechanical failure or lack of pilot skills, but rather to
human error. These NASA studies emphasize a training deficiency in
areas related to human performance factors, such as poor group
decisionmaking, ineffective communication, inadequate leadership, and
poor task and resource management. The NTSB's study, ``A Review of
Flightcrew-involved Major Accidents of U.S. Air Carriers 1978 through
1990,'' states ``a comprehensive CRM program is one tool an air carrier
can use to improve both decisionmaking and monitoring/challenging by
crewmembers.'' Since 1990 the NTSB has issued two safety
recommendations (A-89-124 and A-93-37) that recommend that CRM training
be added to crewmember training programs. For a list of FAA and NASA
publications and reports and related research findings and
publications, see AC 120-51A, as amended, ``Crew Resource Management
Training.''
In addition, certain events may occur during flight where the
activities of flight crewmembers and flight attendants must be
coordinated. One of the prerequisites for crew coordination is
effective communication between all crewmembers. In a 1986 survey of
safety representatives and flight attendants, only 37% of the flight
attendants and 60% of the pilots said that they thought communication
between the flight crew and cabin crew was adequate.
Similarly, clear communication between aircraft dispatchers and
flight crewmembers is essential to flight safety. Poor communication
between dispatchers and the flight crew may jeopardize flight safety.
CRM training teaches crewmembers and aircraft dispatchers to use
effectively all resources available to the crew (e.g. hardware,
software, and all persons involved in aircraft operation) to achieve
safe and efficient flight operations. Proposed amendments to
Secs. 121.404, 121.419(a)(1), 121.421(a)(1), 121.422(a)(1), and
121.427(b)(4) require that each ground training portion of an approved
training program provide approved CRM training to flight crewmembers,
flight attendants, and aircraft dispatchers. If this NPRM becomes a
final rule, part 135 certificate holders who would be required or who
successfully obtain FAA authorization to conduct training under part
121 would also be required to provide CRM training as part of their
approved training programs.
The FAA anticipates that for a CRM training program to be approved
it would include three distinct components: (1) An indoctrination/
awareness component during which CRM issues are defined and discussed;
(2) a recurrent practice and feedback component during which trainees
gain experience with CRM techniques; and (3) a continuing reinforcement
component which ensures that CRM principles are addressed throughout
the trainee's employment with the certificate holder. Advisory Circular
(AC) 120-51, as amended, ``Crew Resource Management Training,'' and AC
121-XX, ``Dispatcher Resource Management Training'' provide basic
guidance in establishing approved CRM training. (In this notice, the
term ``CRM'' includes both crew resource management and dispatcher
resource management.) DOT/FAA/RD-92-26, ``Crew Resource Management: An
Introductory Handbook,'' goes into further detail.
Proposed Sec. 121.404 includes initial CRM training for persons
already employed by the certificate holder, and for new employees of
the certificate holder, unless a new employee has completed the
applicable initial CRM training from another certificate holder. The
FAA anticipates that this component will be very similar for all
certificate holders.
CRM initial indoctrination/awareness training is a curriculum
segment with a variety of instructional methods, which can include
lectures, discussions, films, practice in an operational setting or a
LOS session, and feedback with a facilitator. CRM initial
indoctrination/awareness training must be provided to all crewmembers,
including flight attendants, and to aircraft dispatchers; this training
is in addition to existing training. Under proposed Sec. 121.406, the
FAA may credit some CRM/DRM training received before the compliance
date in the proposed rule. Some operators have been providing CRM/DRM
training under AQP or under voluntary programs. In appropriate
circumstances, the FAA may credit part or all of such training toward
the initial ground CRM/DRM training which would be required by proposed
sections 121.419, 121.421, and 121.422.
The recurrent practice and feedback component of CRM training is
best accomplished through the use of simulators and video equipment.
However, if the use of simulators is not practical, CRM scenarios can
be created without simulators and practice can be tape recorded to
provide feedback. Feedback should be directed by a facilitator who has
had appropriate CRM training. Practice and feedback provide
participants with self and peer critiques to improve communication,
decision-making, and leadership skills.
The FAA would approve a recurrent training program under proposed
Sec. 121.427 that included CRM recurrent practice and feedback and
continuing reinforcement training components, and a refresher
curriculum segment in the principles of CRM. Ideally, for flight
crewmembers continuing reinforcement may be accomplished, as authorized
in proposed Sec. 121.427(b)(4), during an approved simulator line
operational flight training (LOFT) session. This could include use of
special purpose operational training (SPOT) which is a type of line
operational simulation (LOS) that may be used to train coordinated crew
performance in specific subjects such as windshear training, use of
special navigation equipment, etc. CRM reinforcement may be
incorporated into existing SPOT scenarios. It may also be incorporated
into LOS-like scenarios that do not use simulators. Advisory Circular
(AC) 120-35B, Line Operational Simulators: Line Oriented Flight
Training, Special Purpose Operational Training, Line Operational
Evaluation, provides suggested guidelines for the design and
implementation of LOS. Recurrent CRM training will be provided to all
crewmembers and aircraft dispatchers.
The FAA estimates that the proposed CRM training requirement will
increase the present minimum programmed hours of instruction for
initial and recurrent training. For initial training for pilots and
flight engineers, the FAA estimates that CRM training will add 12 hours
to present requirements. For initial training for flight attendants and
aircraft dispatchers, the increase is estimated to be 8 hours. For
recurrent training, the estimated increase is 4 hours for pilots and
flight engineers and 2 hours for flight attendants and aircraft
dispatchers. To reflect these estimated increases in programmed hours
of training, changes are proposed to Sec. Sec. 121.419(b) (1) and (2),
121.421(c) (1) and (2), 1212.422(c) (1) and (2) and 121.427(c). The FAA
invites comments on these estimates and, if adequate justification is
received, will consider reducing the increases in minimum required
hours in the final rule. In this regard, the FAA points out that under
existing regulations (i.e., Sec. 121.405(d)) individual certificate
holders may be granted reductions in programmed hours when justified
under that paragraph. When the Administrator approves a request to
reduce programmed hours of training, a copy of the Administrator's
statement is included in the training program curriculum pursuant to
Sec. 121.403(b)(6).
Editorial Change
A proposed change to Sec. 121.135(b)(15) would make it clear that
the certificate holder's manual must include the entire training
program curriculum required under Sec. 121.403, not just the program
affecting airmen.
Effective Date and Compliance Dates
The FAA is proposing an effective date of 90 days after these
proposals are published as a final rule. By that date certificate
holders operating under part 135 who are required to comply with
applicable part 121 training and qualification requirements, would have
to submit the transition plan required under proposed Sec. 135.321(b).
The proposed compliance date in Sec. 135.10 for training and qualifying
under part 121 rules is 1 year after the effective date of the final
rule.
For initial CRM training, the FAA proposes a compliance date 2
years after the effective date of the final rule for flight
crewmembers, and 3 years after the effective date of the final rule for
flight attendants and aircraft dispatchers. After the applicable date,
a certificate holder would be prohibited from using a crewmember or
dispatcher unless that person has completed approved crew or dispatcher
resource management initial training. Since a large number of
certificate holder employees are required to have this training, the
delayed compliance date will allow sufficient time to train instructors
conducting CRM training, and then, in turn, provide this training to
all crewmembers and dispatchers.
The FAA requests comments on the appropriateness of the proposed
effective and compliance dates.
Regulatory Evaluation Summary
Proposed 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 requires agencies
to analyze the economic effect of regulatory changes on small entities.
Third, 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 proposed rule would
generate benefits that justify its costs and does not meet the criteria
of ``a significant regulatory action'' as defined in the Executive
Order but is significant under the Department of Transportation
Regulatory Policies and Procedures. The proposal would not have a
significant impact on a substantial number of small entities. And, the
proposal would not constitute a barrier to international trade. These
analyses, available in the docket, are summarized below.
Costs
This section discusses costs of the new requirements that this NPRM
would impose on parts 121 and 135 operators. The regulatory evaluation
assumes a 7 percent discount rate as mandated by the Office of
Management and Budget (OMB). The analysis also uses a 6 percent growth
rate for commuters and a 4 percent growth rate for air carriers for the
next decade.
The new hire rate affects the amount of initial training required.
This rate varies widely within the industry depending on economic
cycles, birth and death of airline companies, and long-term industry
growth. The FAA has developed two cost estimates. The first uses a 10
percent and the second a 20 percent new hire rate. Costs for a single
year refer to those using a 20 percent new hire rate (the higher of the
two costs), while for the total 10 year costs the analysis shows a
range representing the difference between the 10 percent and 20 percent
new hire rates.
Each operator will incur a small administrative effort related to
establishing these new requirements within its existing training
program. The FAA estimates that operators on average will incur a one
time burden of about 8 hours of administrative time. This relatively
small burden is subsumed in the non-wage training costs.
Part 121 Training for Part 135 Crews
The proposed rule would require part 121 training standards for
part 135 crewmembers of airplanes either certificated for two pilots or
having 10 or more passenger seats. The amendment exempts currently
employed part 135 pilots and flight attendants from initial and
transitional part 121 training. However, it imposes a recurrent
training requirement on currently employed crewmembers to meet part 121
qualifying standards during their first recurrent training. New
crewmembers under part 135 would receive initial part 121 training.
Many commuter airlines already train their cockpit crew at a level
comparable to part 121 operators. Primarily, this group consists of
those airlines where the carrier operates aircraft under both parts 121
and 135. The FAA estimates that the proposed rule would affect 3,400
employees: 1,100 pilots-in-command (PICs), 1,400 second-in-command
officers (SICs), and 900 flight attendants who work for strictly part
135 operators. The hourly wage rate (including benefits) equals $43 for
PICs, $28 for SICs, and $23 for flight attendants who work for the
regional airlines. Travel and per diem expenses equal $250 per round
trip and training expense totals $90 a day.
For 1995, initial and transitional training costs for part 135
crewmembers would increase by about $1.9 million; first year recurrent
cost of training (expected to be more extensive than later recurrent
training) would increase by $3.0 million. Recurrent training cost after
the first year would increase by $2.1 million. For the period 1994
through 2003, the discounted incremental cost to part 135 operators
ranges from $27.1 (10 percent new-hire rate) to $35.7 million (20
percent new-hire rate).
CRM Training
The NPRM would require parts 121 and 135 operators affected by the
proposal to train all crewmembers in cockpit resource management (CRM).
Although the proposed rule would provide some flexibility in curricula
design, an FAA-approved CRM training program would include: (1)
Awareness of CRM issues where aspects of the problem are discussed; (2)
practice and feedback where crewmembers learn CRM techniques; and (3)
reinforcement where CRM principles are strengthened.
Part 121 CRM Training Costs
The FAA estimates that part 121 personnel requiring CRM equals
about 32,600 pilots-in-command; 33,900 copilots, 10,000 flight
engineers, 84,000 flight attendants; and 1,100 dispatchers. Under the
proposed rule, the FAA projects that PICs, SICs, and flight engineers
would receive 12 hours of CRM awareness training and 4 hours annually
of CRM refresher training. Flight attendants and dispatchers would
receive 8 hours initial and 2 hours of recurrent training.
For PICs, SICs, and flight engineers, the proposal would require
CRM awareness training within two years of the effective date of the
proposed rule; for flight attendants and dispatchers, it would require
completion within three years. All crewmembers would receive recurrent
CRM training annually.
The number of pilots undergoing initial training in the two-year
phase-in equals the total number of pilots plus new hires. The hourly
wage rate (including benefits) used in this analysis equals $55 for
PICs, $38 for SICs, $38 for flight engineers, $27 for flight
attendants, and $18 for dispatchers. The initial training during the
first two years would cost approximately $55 million each year. Initial
training would amount to about $10 million annually after the two-year
phase-in period. Recurrent training would total about $32 million
annually.
Initial training for flight attendants and dispatchers over the
three-year phase-in period would total $17 million. Initial and
recurrent training for flight attendants and dispatchers after the
third year would be $4 million and $17 million, respectively
Over the period 1995 through 2004, the discounted cost for part 121
CRM training ranges from $473 (10 percent new hire rate) to $569
million (20 percent new hire rate).
Part 135 CRM Training
The FAA estimates that the NPRM would require CRM for 3,360
commuter airline flight crewmembers. CRM awareness training would cost
$300 for 12 hours of PIC and SIC training and $200 for 8 hours of
flight attendant training.
As in the case of the part 121 CRM training, the proposed rule
would require CRM awareness flight crew training within two years of
the effective date of the rule; for flight attendants, the proposed
rule would require completion within three years. All crewmembers would
receive annual recurrent CRM training. The hourly wage rate (including
benefits) used in this analysis equals $43 for PICs, $28 for SICs, and
$14 for flight attendants.
Part 135 CRM awareness training for the two-year phase-in period
under the NPRM would cost $1.6 million, and after the second year the
training would cost $0.5 million annually. Recurrent CRM commuter pilot
instruction would cost $0.7 million annually.
CRM awareness training for part 135 flight attendants would cost
$0.4 million annually for the three-year phase-in period. The cost
would total $64,000 per year, thereafter. Recurrent training would cost
approximately $137,000 annually. Over the decade, CRM training would
the industry cost would range from $9.5 (10 percent new hire rate) to
$11.8 million (20 percent new hire rate).
Total Costs
The total discounted cost of the proposed rule would range from
$510 to $616 million over the next 10 years. The cost of CRM for part
121 personnel makes up the largest portion of the cost estimate ranges
from $473 to $569 million. The discounted 10-year cost for commuter
personnel CRM would vary from $9 to $12 million. The training upgrade
for large commuter aircraft would range from $27 to $36 million.
Benefits
The proposed rule would improve aviation safety by upgrading
training standards for pilots flying part 135 aircraft either certified
for two pilots or having 10 or more passenger seats. Also, the NPRM
would instruct air carrier (part 121) and commuter (part 135) crews in
CRM techniques. This summarizes the analysis of benefits from this
training.
Part 135 Pilot Training Upgrade
During 1982 through 1992, pilot error was a probable cause in 39
accidents involving part 135 aircraft of the type affected by this
proposal. These accidents caused 93 fatalities and 55 serious injuries.
During this same period, commuter operators flew 41.15 million flights
resulting in a commuter accident rate due to pilot error of .9478
accidents per million commuter flights.
Projected benefits equal the product of the accident rate times
projected flights times the average cost of pilot-error accidents. For
instance, in 1994 the estimated value of benefits equals:
[.9478 ACCIDENTS/MILLION FLIGHTS] x [5.0 MILLION FLIGHTS] x [$7.838
MILLION]=$37.144 MILLION
If the proposed rule could reduce the pilot-error accident rate to
zero, the total value over the period 1995 through 2004 would total
$418 million. The discounted value of these benefits equals $289
million. However, at most the rule would reduce the part 135 pilot-
error accident rate down to the rate sustained by part 121 operators.
The FAA estimates the pilot-error accident rate for part 121 pilots
to equal 0.7 accidents per million flights. Since the pilot-error
accident rate for part 135 operators equals 0.9478 accidents per
million, the proportion of available benefits for part 135 flights
equal just over one-fourth accident per million flights [((0.9478-0.7)/
0.9478))=0.26]. Also reducing the available benefits, the commuter
operators would not complete training for two years. Hence, the
estimated value of the benefits of this proposed rule totals $62
million.
Part 135 Crew Resource Management Training
During the period 1982 through 1992, 13 part 135 accidents resulted
from crew coordination problems, resulting in an accident rate of 0.158
per million flights. These accidents resulted in 85 fatalities, 35
serious injuries, and 43 minor injuries. The average benefit value of
avoiding an accident including fatalities, injuries, value of aircraft,
and accident investigation costs equals $19.545 million.
The FAA estimated the value of potential benefits by multiplying
the average value of a part 135 CRM-related accident ($19.545 million)
by the number of potential accidents (accident rate times projected
flights). For 1995, the estimate equals:
[.158 ACCIDENTS/MILLION FLIGHTS] x [5.0 MILLION FLIGHTS] x [$19.545
MILLION] = $15.411 MILLION
The discounted benefits over the next decade equal $98 million.
Part 121 Crew Resource Management Training
Between 1982 and 1992, there were 23 part 121 air carrier accidents
reported by NTSB that resulted, in part, from CRM-related causes. These
accidents caused 324 fatalities and 91 serious injuries. The part 121
CRM accident rate equals 0.3938 accidents per million flights.
The FAA estimated the value of potential benefits by multiplying
the part 121 CRM accident rate by the number of flights times the
average value per accident. The CRM benefits for 1995, for instance,
equal:
[.3938 ACCIDENTS/MILLION FLIGHTS] x [6.6 MILLION FLIGHTS] x
[$35.527 MILLION] = $87.139 MILLION
Over the next 10 years, the FAA projects the discounted value of
benefits is $619 million. However, about one-third of part 121 pilots
(those not in AQP) will begin training in 1995 and airlines would
finish training in late 1996. The estimated potential benefits for part
121 CRM training equals $581 million.
Benefit-Cost Comparison
Part 135 Training Upgrade
Benefits from upgrading part 135 flight crew training to the part
121 level would result in a reduction in pilot-error commuter
accidents. The FAA estimates that the expected benefits of this
provision would total $62 million over the next decade. This evaluation
estimates that the discounted training costs for large part 135
operators would increase anywhere from $27 to $36 million. Hence, the
FAA concludes that the benefits of this provision exceed its costs.
CRM Training for Part 121 Operators
The FAA calculates the discounted benefits from requiring CRM
training for part 121 personnel to equal $581 million. The estimated
additional cost to airlines would range from $473 to $569 million over
the decade. Hence, the FAA determines that this proposed provision is
cost beneficial.
CRM Training for Part 135 Operators
The FAA estimates the benefits from requiring CRM training for part
135 personnel to equal $98 million over the next decade. The cost of
training would range from an additional $9 to $12 million for part 135
operators. Hence, the FAA determines that this requirement is cost
beneficial.
Each provision of this proposal has potential benefits in excess of
expected costs. Hence, the FAA concludes that the proposal is cost
beneficial.
International Trade Impact
The NPRM would have small impact on U.S. air carriers that foreign
air carriers would not have to bear. The FAA estimates a total of 6.2
billion total enplanements with a total of CRM training over the next
10 years of about $581 million. Hence, the per emplanement cost over
the next 10 years for part 121 carriers increases by about $0.09 per
enplanement.
Initial 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
agencies to review rules that may have ``a significant economic impact
on a substantial number of small entities.''
The proposed rule would affect those small entities regulated by
parts 121 and 135. The FAA's criteria for ``a substantial number'' are
a number that is not less than 11 and which is more than one-third of
the small entities subject to the proposed rule. For air carriers, a
small entity has been defined as one who owns, but does not necessarily
operate, 9 aircraft or less. The relevant FAA criteria for ``a
significant impact'' is an incremental cost of $61,000 per year for a
scheduled air carrier with a fleet size of 60 seats or fewer, and
$110,100 for a scheduled air carrier with aircraft fleet size of more
than 60 seats.
The FAA has identified 35 part 121 operators who operate 9 or fewer
aircraft. The FAA assumes that an average crew size consists of one
pilot-in-command, one second-in-command, and three flight attendants.
The FAA also assumes that operators employ two crews per plane.
The FAA estimates that annualized CRM training for each aircraft
would amount to $6,120 annually. This estimate includes initial
training and recurrent training averaged over the decade for a crew of
two pilots (PIC and SIC) and four flight attendants. The analysis
assumes three crews per aircraft and a 20 percent turnover. Hence, the
expected CRM training cost will not exceed $55,080 (9 times $6,120).
This cost falls below the ``significant impact'' threshold cost of
$110,100. Hence, CRM training costs would not impose a significant
burden on a substantial number of small part 121 operators.
Seventy-three part 135 scheduled operators affected operate 9 or
fewer aircraft. The FAA estimates an annualized cost of $13,180 for
part 135 training upgrade for crewmembers for one aircraft; CRM would
carry an annualized cost of $4,000. The total training costs equal
$17,180 ($13,180 + $4,000). This estimate assumes three crews per
aircraft with each crew consisting of a PIC, a SIC, and two flight
attendants. This estimate includes initial training and recurrent
training averaged over the decade and a 20 percent markup for turnover.
Training costs for small entities with 4 to 9 aircraft would exceed the
threshold (4 x $17,180 = 68,720). However, FAA data shows 16
scheduled part 135 operators of the type affected by this NPRM that
operate between 4 and 9 aircraft. Since the number of companies
represents about 22 percent of the 73 operators affected by this
proposed rule, the FAA concludes that the proposed rule would not have
a significant economic impact on a significant number of small part 135
scheduled operators.
Federalism Implications
The proposed regulations do not have 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
various levels of government. Thus, in accordance with Executive Order
12612, it is determined that such a regulation does not have federalism
implications warranting the preparation of a Federalism Assessment.
Paperwork Reduction Act
The reporting and recordkeeping requirement associated with this
proposed rule is being submitted to the Office of Management and Budget
for approval in accordance with 44 U.S.C. Chapter 35 under the
following:
OMB No: New;
Administration: FAA;
Title: Air Carrier Training Programs;
Need for Information: If adopted, this NPRM requires each part 121
and each part 135 certificate holder that conducts scheduled operations
to develop a CRM training program and a transition plan to the training
and qualification requirements of part 121;
Proposed Use of This Information: The FAA requires this information
to evaluate each certificate holder's proposed CRM training program and
to ensure certificate holders are providing the highest possible level
of training and qualification standards;
Frequency: One-time;
Burden Estimate: 1,760 total hours;
Respondents: Parts 121 and 135 certificate holders;
Form(s): None;
Average Burden Hours Per Respondent: 8;
For further information contact: The Information Management
Division, M-34, Office of the Secretary of Transportation, 400 Seventh
Street, SW., Washington, DC 20590, (202) 366-4735 or the Office of
Management and Budget, Office of Information and Regulatory Affairs,
Desk Office for the FAA, New Executive Office Building, Room 3228,
Washington, DC 20503, (202) 395-7340. It is requested that the comments
sent to OMB also be sent to the FAA rulemaking docket for this proposed
action.
Conclusion
For the reasons set forth under the heading ``Regulatory
Analysis,'' the FAA has determined that this proposed regulation: (1)
is a significant rule under Executive Order 12866; and (2) is a
significant rule under Department of Transportation Regulatory Policies
and Procedures (44 FR 11034; February 26, 1979). Also, for the reasons
stated under the headings ``Trade Impact Statement'' and ``Regulatory
Flexibility Determination,'' the FAA certifies that the proposed rule
will not have a significant economic impact on a substantial number of
small entities. A copy of the full regulatory evaluation is filed in
the docket and may also be obtained by contacting the person listing
under FOR FURTHER INFORMATION CONTACT.
List of Subjects
14 CFR part 121
Air carriers, Aircraft, Airmen, Air safety, Air transportation,
Aviation safety, Drug abuse, Drug testing, Narcotics, Reporting and
recordkeeping requirements, Safety, Transportation.
14 CFR part 135
Air carriers, Aircraft, Airmen, Air taxis, Air transportation,
Airworthiness, Aviation safety, Reporting and record keeping
requirements, Safety.
The Proposed Amendment
The Federal Aviation Administration proposes to amend parts 121 and
135 of the Federal Aviation Regulations [14 CFR parts 121 and 135] as
follows:
PART 121--CERTIFICATION AND OPERATIONS: DOMESTIC, FLAG, AND
SUPPLEMENTAL AIR CARRIERS AND COMMERCIAL OPERATORS OF LARGE
AIRCRAFT
1. The authority citation for part 121 continues to read as
follows:
Authority: 49 U.S.C. app. 1354(a), 1355, 1356, 1357, 1401, 1421-
1430, 1472, 1485, and 1502; and 49 U.S.C. 106(g).
2. Section 121.135(b)(15) is revised to read as follows:
Sec. 121.135 Contents.
* * * * *
(b) * * *
(15) Each training program curriculum required by Sec. 121.403.
* * * * *
3. Section 121.404 is revised to read as follows:
Sec. 121.404 Compliance dates: Crew and Dispatcher resource management
training.
After [insert date 2 years after the effective date of the final
rule], no certificate holder may use a person as a flight crewmember,
and after [insert date 3 years after the effective date of the final
rule], no certificate holder may use a person as a flight attendant or
aircraft dispatcher unless that person has completed approved crew
resource management (CRM) or dispatcher resource management (DRM)
initial training, as applicable, with that certificate holder or with
another certificate holder.
4. Section 121.405 is amended by adding new paragraphs (f) and (g)
to read as follows:
Sec. 121.405 Training program and revision: Initial and final
approval.
* * * * *
(f) Each certificate holder described in Sec. 135.3(b) and (c) of
this chapter must include the material required by Sec. 121.403 in the
manual required by Sec. 135.21 of this chapter.
(g) The Administrator may grant a deviation to certificate holders
described in Sec. 135.3(b) and (c) of this chapter to allow reduced
programmed hours of ground training required by Sec. 121.419 if it is
found that a reduction is warranted based on the certificate holder's
operations and the complexity of the make, model, and series of the
airplanes used.
5. Section 121.406 is added as follows:
Sec. 121.406 Reduction of CRM/DRM Programmed Hours based on Credit for
Previous CRM/DRM Training
(a) For flightcrew members, the Administrator may credit CRM
training received before [insert date 2 years after the effective date
of the final rule] toward all or part of the initial ground CRM
training required by Sec. 121.419.
(b) For flight attendants, the Administrator may credit CRM
training received before [insert date 3 years after the effective date
of the final rule] toward all or part of the initial ground CRM
training required by Sec. 121.421.
(c) For aircraft dispatchers, the Administrator may credit CRM
training received before [insert date 3 years after the effective date
of the final rule] toward all or part of the initial ground CRM
training required by Sec. 121. 422.
(d) In granting credit for initial ground CRM or DRM training, the
Administrator considers training aids, devices, methods, and procedures
used by the certificate holder in a voluntary CRM or DRM program or in
an AQP program that effectively meets the quality of an approved CRM or
DRM initial ground training program under Secs. 121.419, 121.421, or
121.422 as appropriate.
6. Section 121.419 is amended by redesignating paragraph
(a)(1)(viii) as paragraph (a)(1)(ix), adding a new paragraph
(a)(1)(viii), and revising paragraph (b) to read as follows:
Sec. 121.419 Pilots and flight engineers: Initial, transition, and
upgrade ground training.
(a) * * *
(a) * * *
(viii) Approved crew resource management initial training.
* * * * *
(b) Initial ground training for pilots and flight engineers must
consist of at least the following programmed hours of instruction in
the required subjects specified in paragraph (a) of this section and in
Sec. 121.415(a) unless reduced under Sec. 212.405 or Sec. 121.406:
(1) Group I airplanes:
(i) Reciprocating powered, 76 hours; and
(ii) Turbopropeller powered, 92 hours.
(2) Group II airplanes, 132 hours.
7. Section 121.421 (a)(1) and (c) are revised to read as follows:
Sec. 121.421 Flight attendants: Initial and transition ground
training.
(a) * * *
(1) General subjects--
(i) The authority of the pilot in command;
(ii) Passenger handling, including the procedures to be followed in
the case of deranged persons or other persons whose conduct might
jeopardize safety; and
(iii) Approved crew resource management initial training.
* * * * *
(c) Initial ground training for flight attendants must consist of
at least the following programmed hours of instruction in the required
subjects specified in paragraph (a) of this section and in
Sec. 121.415(a) unless reduced under Sec. 121.405 or Sec. 121.406:
(1) Group I airplanes:
(i) Reciprocating powered, 16 hours; and
(ii) Turbopropeller powered, 16 hours.
(2) Group II airplanes, 24 hours.
8. Section 121.422 is amended by revising paragraphs (a)(1)(vii)
and (a)(1)(viii), by adding a new paragraph (a)(1)(ix), and by revising
paragraph (c) to read as follows:
Sec. 121.422 Aircraft dispatchers: Initial and transition ground
training.
(a) * * *
(1) * * *
(vii) Prevailing weather phenomena and the available sources of
weather information;
(viii) Air traffic control and instrument approach procedures; and
(ix) Approved dispatcher resources management (DRM) initial
training.
* * * * *
(c) Initial ground training for aircraft dispatchers must consist
of at least the following programmed hours of instruction in the
required subjects specified in paragraph (a) of this section and in
Sec. 121.415(a) unless reduced under Sec. 121.405 or Sec. 121.406:
(1) Group I airplanes:
(i) Reciprocating powered, 38 hours; and
(ii) Turbopropeller powered, 48 hours.
(2) Group II airplanes, 48 hours.
9. Section 121. 427 is amended by adding a new paragraph (b)(4) and
by revising the introductory text of paragraph (c) and paragraphs
(c)(1), (c)(3), and (c)(4) to read as follows:
Sec. 121.427 Recurrent training.
* * * * *
(b) * * *
(4) Approved recurrent CRM training. For flight crewmembers, this
training or portions thereof may be accomplished during an approved
simulator line operational flight training (LOFT) session. The
recurrent CRM training requirement does not apply until a person has
completed the applicable initial CRM training required by
Secs. 121.419, 121.421, or 121.422.
* * * * *
(c) Recurrent ground training for crewmembers and aircraft
dispatchers must consist of at least the following programmed hours
unless reduced under Sec. 121.405:
(1) For pilots and flight engineers--
(i) Group I, reciprocating powered airplanes, 20 hours;
(ii) Group I, turbopropeller powered airplanes, 24 hours; and
(iii) Group II airplanes, 29 hours.
* * * * *
(3) For flight attendants)--
(i) Group I, reciprocating powered airplanes, 6 hours;
(ii) Group I, turbopropeller powered airplanes, 7 hours; and
(iii) Group II airplanes, 14 hours.
(4) For aircraft dispatchers--
(i) Group I, reciprocating powered airplanes, 10 hours;
(ii) Group I, turbopropeller powered airplanes, 12 hours; and
(iii) Group II airplanes, 22 hours.
* * * * *
10. Section 121.431(a) is revised to read as follows:
Sec. 121.431 Applicability.
(a) This subpart prescribes crewmember qualifications for all
certificate holders except where otherwise specified. The qualification
requirements of this subpart also apply to each certificate holder that
conducts commuter operations under part 135 of this chapter with
airplanes for which two pilots are required by the aircraft type
certification rules of this chapter, or with airplanes having a
passenger seating configuration, excluding any pilot seat, of 10 seats
or more. The Administrator may authorize any other certificate holder
that conducts operations under part 135 to comply with the
qualification requirements of this subpart, except that these
certificate holders may choose to comply with the operating experience
requirements of Sec. 135.244 of this chapter, instead of the
requirements of Sec. 121.434.
* * * * *
PART 135--AIR TAXI OPERATIONS AND COMMERCIAL OPERATORS
11. The authority citation for part 135 continues to read as
follows:
Authority: 49 U.S.C. app. 1354(a), 1355(a), 1421 through 1431,
and 1502; 49 U.S.C. 106(g).
12. Section 135.3 is revised to read as follows:
Sec. 135.3 Rules applicable to operations subject to this part.
(a) Each person operating an aircraft in operations under this part
shall--
(1) While operating inside the United States, comply with the
applicable rules of this chapter; and
(2) While operating outside the United States, comply with Annex 2,
Rules of the Air, to the Convention on International Civil Aviation or
the regulations of any foreign country, whichever applies, and with any
rules of parts 61 and 91 of this chapter and this part that are more
restrictive than that Annex or those regulations and that can be
complied with without violating the Annex or those regulations. Annex 2
is incorporated by reference in Sec. 91.703(b) of this chapter.
(b) Each certificate holder that conducts commuter operations under
this part with airplanes in which two pilots are required by the type
certification rules of this chapter, or with airplanes having a
passenger seating configuration, excluding any pilot seat, of 10 seats
or more, shall comply with subparts N and O of part 121 instead of the
requirements of subparts E, G, and H of this part.
(c) If authorized by the Administrator upon application, each
certificate holder that conducts operations under this part that is not
included in paragraph (b) of this section may comply with the
applicable sections of subpart N and O of part 121 instead of the
requirements of subparts E, G, and H of this part, except that those
authorized certificate holders may choose to comply with the operating
experience requirements of Sec. 135.244, instead of the requirements of
Sec. 121.434 of this chapter.
13. Section 135.10 is revised to read as follows:
Sec. 135.10 Compliance dates for certain rules.
Except as provided in Sec. 121.404 and section 135.12, after
[Insert date 1 year after the effective date of the final rule], no
certificate holder that conducts commuter operations under this part
with airplanes for which two pilots are required by the aircraft type
certification rules of this chapter or with airplanes having a
passenger seating configuration, excluding any pilot seat, of 10 seats
or more may use any crewmember or dispatcher in those operations unless
that person meets the applicable training, checking, and qualification
requirements of subparts N and O of part 121 of this chapter.
14. Section 135.12 is added:
Sec. 135.12 Previously trained crewmembers.
A certificate holder may use a crewmember who received the
certificate holder's training in accordance with subparts E, G, and H
of this part before (insert one year after effective date) without
complying with initial training and qualification requirements of
subparts N and O of part 121. The crewmember must comply with the
applicable recurrent training requirements of part 121.
15. Section 135.241 is amended by adding the words set forth below
at the end of the section:
Sec. 135.241 Applicability.
* * * Except as provided in Sec. 135.12, each certificate holder
that conducts commuter operations under this part with airplanes for
which two pilots are required by the aircraft type certification rules
of this chapter or with airplanes having a passenger seating
configuration, excluding any pilot seat, of 10 seats or more shall
ensure that each flight crewmember it uses in those operations is
trained, checked, and qualified under the requirements of subparts N
and O of part 121 of this chapter, in place of the requirements of
subparts E, G, and H of this part. The Administrator may authorize any
other certificate holders that conduct operations under this part to
comply with the training, checking, and qualification requirements of
subparts N and O of part 121 of this chapter, in place of the
requirements of this part, except that these certificate holders may
choose to comply with the operating experience requirements of
Sec. 135.244, instead of the requirements of Sec. 121.434 of this
chapter.
16. Section 135.291 is amended by adding the words set forth below
at the end of the section:
Sec. 135.291 Applicability.
* * * Except as provided in Sec. 135.12, each certificate holder
that conducts commuter operations under this part with airplanes for
which two pilots are required by the aircraft type certification rules
of this chapter or with airplanes having a passenger seating
configuration, excluding any pilot seat, of 10 seats or more shall
ensure that each crewmember or other personnel it uses in those
operations is trained, checked, and qualified under the requirements of
subparts N and O of part 121 of this chapter, in place of the
requirements of subparts E, G, and H of this part. The Administrator
may authorize any other certificate holders that conduct operations
under this part to comply with the training, checking, and
qualification requirements of subparts N and O of part 121 of this
chapter, in place of the requirements of subparts E, G, and H of this
part.
17. Section 135.321 is amended by adding the words set forth below
at the end of paragraph (a), redesignating paragraph (b) as paragraph
(c), and adding a new paragraph (b) as follows:
Sec. 135.321 Applicability and terms used.
(a) * * * Except as provided in Sec. 135.12, each certificate
holder that conducts commuter operations under this part with airplanes
for which two pilots are required by the aircraft type certification
rules of this chapter or with airplanes having a passenger seating
configuration, excluding any pilot seat, of 10 seats or more shall
ensure that each crewmember or other personnel it uses in those
operations is trained, checked, and qualified under the requirements of
subparts N and O of part 121 of this chapter, in place of the
requirements of subparts E, G, and H of this part. The Administrator
may authorize any other certificate holders that conduct operations
under this part to comply with the training, checking, and
qualification requirements of subparts N and O of part 121 of this
chapter, in place of the requirements of subparts E, G, and H of this
part.
(b) Each certificate holder described in Sec. 135.3(b) must submit
and obtain approval of a transition plan (containing a calendar of
events) for moving from its present part 135 training, checking,
testing, and qualification requirements to the requirements of part 121
of this chapter. Each transition plan must contain details on how the
certificate holder plans to be in compliance with subparts N and O of
part 121 on or before (one year after the effective date of the final
rule).
* * * * *
Issued in Washington, DC on December 8, 1994.
William J. White,
Acting Director, Flight Standards Service.
[FR Doc. 94-30575 Filed 12-8-94; 4:52 pm]
BILLING CODE 4910-13-M