[Federal Register Volume 61, Number 89 (Tuesday, May 7, 1996)]
[Rules and Regulations]
[Pages 20696-20699]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-11374]
[[Page 20695]]
_______________________________________________________________________
Part V
Department of Transportation
_______________________________________________________________________
Federal Aviation Administration
_______________________________________________________________________
14 CFR Part 21
Type Certification Procedures: Changes in Helicopter Type Design for
External Equipment; Final Rule
Federal Register / Vol. 61, No. 89 / Tuesday, May 7, 1996 / Rules and
Regulations
[[Page 20696]]
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 21
[Docket No. 28334; Amendment No. 21-73]
RIN 2120-AF10
Amendment of the Type Certification Procedures for Changes in
Helicopter Type Design to Attach or Remove External Equipment
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Final rule.
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SUMMARY: This final rule amends the existing helicopter noise
certification procedures with respect to certain changes in type
designs. The applicability of the noise certification procedures is
amended to exclude those changes in type design that involve the
attachment or removal of external equipment, floats and skis, and
certain airframe and operational changes made to accommodate such
changes in type design (acoustical change requirements). Also excluded
from the applicability of the acoustical change requirements are
helicopter flight operations with doors and/or windows removed or in an
open position. This amendment also makes U.S. helicopter noise
certification regulations more consistent with the International Civil
Aviation Organization (ICAO) standards.
EFFECTIVE DATE: May 7, 1996.
FOR FURTHER INFORMATION CONTACT:
Mr. Kenneth E. Jones, Research and Engineering Branch (AEE-110),
Technology Division, Office of Environment and Energy, FAA, 800
Independence Avenue, SW., Washington, D.C. 20591; telephone (202) 267-
8933, facsimile (202) 267-5594.
SUPPLEMENTARY INFORMATION: The purpose of this rulemaking is to amend
the applicability of the helicopter noise certification procedures to
exclude those changes in helicopter type design that involve the
attachment or removal of external equipment, floats and skis, and
certain airframe and operational changes made to accommodate such
changes in type design (acoustical change requirements). Also excluded
from the acoustical change requirements are helicopter flight
operations with doors and/or windows removed or in an open position.
This amendment is based on Notice of Proposed Rulemaking (NPRM) Notice
No. 95-15 (60 FR 48790, September 20, 1995; Docket No. 28334) in which
comments were invited. No comments were received in the docket in
response to the NPRM. Accordingly, the final rule is adopted as
proposed in the NPRM.
Background
Statement of the Problem
The certification procedures for aeronautical products and parts
are contained in 14 CFR part 21. Under part 21, an applicant for
approval of a change to a helicopter type certificate must show
compliance with the noise regulations in 14 CFR part 36 (part 36) if
the change in type design may increase the noise level of the
helicopter (an acoustical change). Section 21.93 defines an
``acoustical change'' and classifies the aircraft which must
demonstrate compliance with part 36 following an acoustical change.
Section 21.93(b)(4) describes helicopters required to demonstrate
compliance with part 36 for an acoustical change, and specifically
excludes helicopters designated exclusively for ``agricultural aircraft
operations,'' ``dispensing firefighting materials,'' or ``carrying
external loads.'' The intent of the existing Sec. 21.93(b)(4) is to
exclude helicopters designated exclusively to carry external loads from
the requirement to demonstrate compliance with part 36.
This amendment addresses type certification (including noise
requirements) procedures for changes to helicopter type designs to
configure helicopters for carriage of external equipment. External
equipment is defined herein as any instrument, mechanism, part,
apparatus, or accessory that is attached to or extends from the
helicopter exterior but is not used nor is intended to be used in
operating or controlling a helicopter in flight and its not part of an
airframe or engine. Examples of external equipment are spotlights,
cameras, airborne signs, and cargo tanks and baskets.
External equipment may be attached to a helicopter as a Class A
Rotorcraft External Load Combination under 14 CFR part 133 (part 133)
``Rotorcraft External Load Operations'', or alternatively, the external
equipment may be attached to the helicopter as a change in type design
under Subpart D of part 21. The noise certification requirements do not
apply to any helicopter, regardless of airworthiness certification
category, that is designated exclusively for carrying external loads
pursuant to part 133. Section 133.51 states that ``[a] Rotocraft
External-Load Operator Certificate is a current and valid airworthiness
certificate for each rotocraft . . . listed by registration number on a
list attached to the certificate, when the rotocraft is being used in
operations conducted under [part 133].'' However, when the original
helicopter noise certification rules were adopted in part 21, external
equipment was not excluded from the acoustical change provisions of
Sec. 21.93. Thus, except for helicopters operated under part 133, the
addition of external equipment was, prior to this amendment, subject to
the acoustical change provisions of Sec. 21.93. This amendment of
Sec. 21.93 reconciles the procedural treatment of external equipment
added to helicopters with the intent of Sec. 21.93(b)(4) by expanding
the acoustical change exception to include carriage of external
equipment.
History of Aircraft Noise Certification Regulations Relevant to This
Amendment
On November 3, 1969, the Administrator of the FAA adopted part 36
entitled ``Noise Standards: Aircraft Type Certification.'' That action
implemented the FAA's regulatory noise abatement program by prescribing
type certification noise standards for subsonic turbojet powered
airplanes. Procedural changes were concurrently made to part 21,
``Certification Procedures for Products and Parts,'' to provide
criteria and requirements for demonstrating compliance with the
specifications in part 36 (34 FR 18355, November 18, 1969). The noise
certification requirements of parts 21 and 36 are designed to promote
the incorporation of noise abatement technology into aircraft design.
Parts 21 and 36 have been amended as appropriate to add new aircraft
types to the certification requirements or change the technical
specifications as necessary. Subsequently, helicopter noise
certification requirements were adopted with amendment 36-14 to part 36
and amendment 21-61 to part 21 (53 FR 3534, February 5, 1988).
The first amendment to part 21 relevant to the original aircraft
noise certification regulation was amendment 21-27 (34 FR 18355,
November 10, 1969). That amendment established the general requirement
that an applicant must demonstrate compliance with the applicable
provisions of the part 36 procedures prior to issuance of an original,
amended, or supplemental type certificate. The same amendment to part
21 included the addition under Sec. 21.93(b) that specified an
``acoustical change'' as any voluntary change in type design of a
transport category or turbojet-powered airplane that may increase the
noise levels of that airplane. Section 21.93 was subsequently amended
in response to
[[Page 20697]]
the promulgation of part 36 noise standards for propeller-driven
airplanes (Amdt. 21-42; 40 FR 1029, January 6, 1975), supersonic
airplanes (Amdt. 21-47; 43 FR 28406, June 29, 1978), commuter category
airplanes (Amdt. 21-59; 52 FR 1806, January 15, 1987), and helicopters
(Admt. 21-61; 53 FR 3534, February 5, 1988).
Section 21.93 has also been amended to exclude certain changes in
aircraft type design from the acoustical change requirements. The
necessity for excluding these changes in type design became apparent
only after experience was gained from implementation of the original
noise certification regulations for the aircraft type in question. For
turbojet-powered airplanes, amendment 21-56 (47 FR 756, January 7,
1982) excludes time-limited engine and/or nacelle changes, where the
change in type design specifies that the airplane may not be operated
for a period of more than 90 days, and amendment 21-62 (53 FR 16360,
May 6, 1988) excludes both gear down flight with one or more
retractable landing gear down during the entire flight and spare engine
and nacelle carriage external to the skin of the aircraft. For
propeller-driven commuter category and propeller-driven small
airplanes, amendment 21-63 (53 FR 47394, November 22, 1988) excludes
``antique'' airplanes (i.e., those airplanes that have flight time
before January 1, 1955) and land configurated aircraft reconfigured
with floats and skis.
Synopsis of the Amendment
This amendment changes the acoustical change provisions of
Sec. 21.93 to exclude helicopters that have been modified by the
addition or removal of external equipment mounted on the helicopter
airframe or floats (rigid or bag) and skis. This amendment also
excludes certain changes in helicopter type design from the acoustical
change requirements otherwise applicable to certain airframe changes
made to accommodate the external equipment and to helicopter flight
operations with doors and/or windows removed or in an open position.
This amendment also applies to any operating limitations placed on, or
removed from the helicopter as a consequence of the addition or removal
of external equipment, floats, and skis.
The FAA recognizes the utility aspect of the helicopter as an
aerial platform of external equipment. It is a common practice in the
helicopter industry to add or remove external equipment as mission
requirements vary. Although external equipment may be offered by the
original manufacturer of the helicopter, it is usually added as an
after-market addition by individual operators to meet specific mission
needs. Given the potential variety of external equipment, the nature of
the external equipment is not considered part of the basic design of a
given helicopter and does not influence the basic aerodynamic design or
the incorporation of noise abatement technology into the helicopter
design. As stated in the preamble of the final rule (cited previously)
for the original helicopter noise certification rulemaking, ``. . . the
[helicopter] noise standards apply [only] to internal load
configurations.''
This amendment is consistent with a similar provision in the
applicability section of the helicopter noise certification standard
approve by the ICAO under its International Standards and Recommended
Practices: Environmental Protection; Annex 16, Volume 1, Chapters 8 and
11 (Third Edition-July 1993). This amendment brings the acoustical
change provision in the U.S. noise certification regulations into
closer harmony with that used by foreign noise certification
authorities.
The FAA has determined that this amendment will provide benefits in
the form of regulatory relief to the helicopter industry and to
individual helicopter operators. This amendment will result in little
or no increase of public exposure to helicopter noise emissions. Prior
to this amendment, type certification procedures and the helicopter
regulations changed by this amendment imposed an undue financial burden
on the helicopter industry and operators without providing any
measurable benefit to the public.
Details of the amendment and limitations of the amendment are
provided in the following analysis.
Sec. 21.93 Classification of changes in type design.
Part 21 prescribes that certain types of aircraft, including
helicopters, must demonstrate compliance with the applicable
requirements of part 36 if a change in type design results in an
acoustical change. Section 21.93 specifies an ``acoustical change'' as
any voluntary change in type design (including operational limitations)
that may increase the noise levels of an aircraft. This amendment,
applicable only to helicopters, excludes the installation or removal of
external equipment from being considered an acoustical change. The
amendment specifically excludes from the acoustical change provision
the addition or removal of all external equipment where ``external
equipment'' means any instrument, mechanism, part, apparatus,
appurtenance, or accessory (e.g., spotlights, cameras and other optical
devices, public address systems, hoists, airborne signs, tow banners,
cargo tanks and baskets, emergency flotation gear, personnel platforms,
wire strike kits, crop spraying equipment, scientific apparatus and
their accessories) that is not used or intended to be used in operating
or controlling an aircraft in flight, that is attached to the
helicopter, and is not part of an airframe or engine. This amendment
applies to changes in the airframe made to:
(1) Accommodate the addition or removal of external equipment:
(2) Facilitate the use of external equipment; or
(3) Facilitate the safe operation of the helicopter with external
equipment mounted on the helicopter.
Examples of airframe changes that are excepted include fairings,
attachment hardware, cavities constructed in the airframe to
accommodate conformally attached equipment, and bubble windows. This
amendment also excludes from the acoustical change provision external
load attaching means, the airworthiness certification of which is
specified in Secs. 27.865 and 29.865.
This amendment excludes the addition or removal of floats and skis
on helicopters from the acoustical change provision. This amendment
makes it clear that any changes in the operating limitations placed on
the helicopter as a consequence of the addition or removal of external
equipment, floats, and skis is not an acoustical change. Similarly, it
also excludes flight operations conducted with one or more doors and/or
windows removed or in an open position.
The FAA has included addition or removal of floats and skis on
helicopters under this amendment in order to provide the same provision
for helicopters as is currently provided small propeller driven
airplanes and propeller driven commuter category airplanes under
Sec. 21.93(b)(3). The acoustical change requirements of Sec. 21.93 do
not require a noise certification compliance demonstration for such
airplanes because the FAA did not have a rational basis to consider
such design configurations in the original rulemaking that established
noise certification requirements for theses aircraft. While the
addition of floats and skis adversely affects the aerodynamic
performance, and consequently the noise levels, of both small airplanes
and helicopters, the FAA lacks the acoustical and performance data
necessary to develop
[[Page 20698]]
noise certification regulations relevant to small airplanes and
helicopters that are reconfigured by the addition of floats or skis.
If a noise compliance demonstration is otherwise required for
compliance with part 36, the noise flight test must be conducted
without any external equipment, floats, or skis mounted to the
helicopter and with doors and windows mounted and closed (i.e.,
aerodynamically clean configuration) unless otherwise approved or
required by the FAA. In granting such approvals or establishing such
requirements, the rationale for the FAA's decision will be based on
whether or not the measured helicopter noise levels from a proposed
noise compliance demonstration would be representative of a ``clean
configured'' helicopter. For example, assume a cavity was created in
the fuselage (as a related airframe change) to accommodate a
conformally (flush) fitted camera. Under this amendment, both the
camera and the cavity are excluded from the acoustical change
requirements of part 21. However, in the event of any future noise
testing of that helicopter for a change in type design unrelated to the
camera and cavity, such a noise test without the camera mounted and the
cavity exposed would likely lead to unrepresentative noise levels due
to alternation of the aerodynamic performance of the helicopter. In
this example, during the actual noise test for the unrelated change in
type design, the FAA would probably require that the flush-mounted
camera be inserted in its associated fuselage cavity or that the
fuselage cavity be covered in a manner that would return the fuselage
to its original aerodynamic shape. Similarly, any analysis for the
purpose of demonstrating a ``non-acoustical change'' under Sec. 21.93
must assume performance levels consistent with an aerodynamically clean
helicopter (relative to the changes in type design excluded under this
amendment). That is, a decrease in a noise certification level effected
by the addition of equipment excluded under this amendment may not be
used to ``mathematically'' offset an increase in noise from a change in
type design not affected by this amendment. For example, assuming the
certification basis for a given helicopter is part 36 Appendix J, an
increase in the flyover noise certification level caused by the upgrade
of a transmission may not be offset by the decrease in noise from the
assumed addition of external equipment, floats or skis as part of the
change in type design for the transmission.
The FAA also deletes by this amendment the previous text in
Sec. 21.93(b)(4)(i) and (ii). Those paragraphs indicated examples of
design changes which would be considered acoustical changes. Since
Sec. 21.93(b) already makes it clear that ``any voluntary change in the
type design of an aircraft that may increase the noise levels of the
aircraft is an `acoustical change' . . . .'' paragraphs
Sec. 21.93(b)(4)(i) and (ii) could have been erroneously interepreted
to indicate that (any) change to a muffler (including a change to a
quieter muffler) is by regulation an acoustical change. Paragraphs (i)
and (ii) did not represent a regulatory requirement and added nothing
toward the interpretation of the acoustical change requirements for
helicopters. The amended text addresses the definition of external
equipment and the exclusions discussed earlier in this synopsis.
The FAA has examined such factors as the utility aspect of the
helicopter mission, the necessity for the addition or removal of
external equipment to meet mission needs, the relevance of such
equipment with regard to the incorporation of noise abatement
technology in the design of the helicopter, and the desire for
commonality of U.S. noise certification regulations with relevant
international standards and foreign national regulations. After
consideration of these factors, the Administrator determined that the
amendment is consistent with the criteria set forth for proposing and
amending aircraft noise abatement regulations under the authority of
Sec. 611(d) of the Federal Aviation Act of 1958.
International Compatibility
The FAA has reviewed corresponding ICAO standards and JAA
regulations, were they exist. This amendment makes U.S. helicopter
noise certification regulations more consistent with the ICAO
standards.
Paper Reduction Act
In accordance with the Paperwork Reduction Act of 1980 (Pub. L. 96-
511), there are no requirements for information collection associated
with this amendment.
Regulatory Evaluation Summary
Three principal requirements pertain to the economic impacts of
changes to the Federal Regulations. First, Executive Order 12866
directs Federal agencies to promulgate new regulations or modify
existing regulations only if the expected benefits to society outweigh
the expected costs. Second, the regulatory Flexibility Act of 1980
requires agencies to analyze the economic impact of regulatory changes
on small entities. Finally, the Office of Management and Budget directs
agencies to assess the effect of regulatory changes on international
trade. In conducting these analyses, the FAA has determined that this
rule: (1) Will generate benefits exceeding costs; (2) is not
``significant'' as defined in the Executive Order and DOT's policies
and procedures; (3) will not have a significant impact on a substantial
number of small entities; (4) will lessen restraints on international
trade. These analyses, available in the docket, are summarized below.
Benefits
The final rule will provide regulatory relief and a cost savings of
$31,690,468 (non-discounted) or $23,409,159 discounted, over a ten year
period, to helicopter manufacturers, modifers, and operators. Of this
amount, the projected cost savings for part 36 noise certification
testing are as follows: Appendix H testing for helicopter manufacturers
is $4,800,000 (non-discounted) or $4,264,244 discounted; Appendix J
testing for helicopter manufacturers is $3,000,000 (non-discounted) or
$2,330,305 discounted; and Appendix J Testing for modifers, $22,500,000
(non-discounted) or $15,803,025 discounted. The FAA will also realize
administrative cost savings under these appendices as follows: Appendix
H, $222,460 (non-discounted) or $178,312 discounted; Appendix J,
$231,740 (non-discounted) or $173,525 discounted; and Appendix J (for
modifiers), $936,268 (non-discounted) or $659,748 discounted.
Costs
From a number of noise certification studies, the FAA has learned
that allowing applicants to attach external equipment to their
helicopters will result in no net increase in helicopter noise or, at
worst, insignificant increases in noise levels.
Regulatory Flexibility Determination
The Regulatory Flexibility Act of 1980 (RFA) was enacted by
Congress to ensure that small entities are not unnecessarily and
disproportionately burdened by government regulations. The RFA requires
a Regulatory Flexibility Analysis if a rule will have a significant
economic impact, either detrimental or beneficial, on a substantial
number of small entities. FAA Order 2100.14A, Regulatory Flexibility
Criteria and Guidance prescribes standards for complying with RFA
review requirements in FAA
[[Page 20699]]
rulemaking actions. The order defines ``small entities'' in terms of
size thresholds, ``significant economic impact'' in terms of annualized
cost threshold, and ``substantial number'' as a number that is not less
than eleven and that is more than one-third of the small entities
subject to the final rule.
The FAA has determined that, in accordance with the above order,
the final rule to part 21 will not have a significant economic impact
on a substantial number of small entities. The final rule will directly
affect two types of entities: (1) Light helicopter manufacturers, and
(2) small helicopter modifiers.
For small aircraft and aircraft parts manufacturers, Order 2100.14A
specifies a size threshold for classification as a small entity as 75
or fewer employees. Based upon this size threshold, all of the affected
U.S. manufacturers are large. For the purpose of the regulatory
flexibility determination, an aircraft modifier is considered a small
entity if it has 200 on fewer employees.
The FAA concludes that a substantial number of small entities (less
than one third) will not be significantly affected by the final rule.
Therefore, the final rule will not impose a significant economic impact
on a substantial number of small entities, and a regulatory flexibility
analysis is not required.
Trade Impact Assessment
The FAA has determined that the final rule will neither affect the
sale of foreign aviation products and services in the United States nor
the sale of U.S. products and services in foreign countries. This
determination is based on the FAA's contention that the final rule will
align the U.S. standards more closely with foreign standards for noise
certification of external equipment.
Federalism Implications
The regulations herein will not have a substantial direct effects
on the states, on the relationship between the national government and
the states, or on the distribution of power and responsibilities among
the various levels of government. Therefore, in accordance with
Executive Order 12612, it is determined that this proposed rule would
not have sufficient federalism implications to warrant the preparation
of a Federalism Assessment.
Environmental Analysis
Pursuant to the Department of Transportation ``Policies and
Procedures for Considering Environmental Impacts'' (FAA Order 1050.1D),
the FAA has determined that this rule does not significantly affect the
human environment. A Finding of No Significant Impact has been prepared
and placed in the docket.
Justification for Immediate Adoption
The FAA has determined that further delay in the adoption of this
rule would cause undue burden to U.S. manufacturers, modifiers, and
operators of helicopters. This final rule does not impose new
regulatory requirements; rather, it corrects an oversight in the
original helicopter noise certification rulemaking, which unnecessarily
applied acoustical change noise certification requirements to some
external load configurations. Although the preamble of that original
rulemaking stated that the noise certification regulations applied only
to internal load configurations, the necessary amendatory language that
would effect that applicability was not made in all of the relevant
portions of the noise certification regulations. At present, there are
several applications pending for changes in helicopter type design
which call for the addition of external equipment. Without this rule,
those applicants are unintentionally subject to costly noise
certification testing. Accordingly, the FAA has determined that good
cause exist to make this rule effective in less than 30 days.
Conclusion
The FAA has determined that this final rule: (1) is not a
significant regulatory action under Executive Order 12866; (2) is not a
significant regulatory action under DOT Regulatory Policies and
Procedures (44 FR 11034, February 26, 1979); and (3) will not have a
significant economic impact, positive or negative, on a substantial
number of small entities under the criteria of the Regulatory
Flexibility Act. In addition, this final rule will have little or no
affect on trade opportunities for U.S. firms doing business overseas,
or on foreign firms doing business in the United States.
List of Subjects in 14 CFR Part 21
Aircraft, Helicopters, Noise control.
The Amendment
Accordingly, the Federal Aviation Administration amends 14 CFR part
21 as follows:
PART 21--CERTIFICATION PROCEDURES FOR PRODUCTS AND PARTS
1. The authority citation for part 21 continues to read as follows:
Authority: 42 U.S.C. 7572; 49 U.S.C. 106(g), 40105, 40113,
44701-44702, 44707, 44709, 44711, 44713, 44715, 45303.
2. Section 21.93 is amended by revising paragraph (b)(4) to read as
follows:
Sec. 21.93 Classification of changes in type design.
* * * * *
(b) * * *
(4) Helicopters except:
(i) Those helicopters that are designated exclusively:
(A) for ``agricultural aircraft operations'', as defined in
Sec. 137.3 of this chapter, as effective on January 1, 1966;
(B) for dispensing fire fighting materials; or
(C) for carrying external loads, as defined in Sec. 133.1(b) of
this chapter, as effective on December 20, 1976.
(ii) Those helicopters modified by installation or removal of
external equipment. For purposes of this paragraph, ``external
equipment'' means any instrument, mechanism, part, apparatus,
appurtenance, or accessory that it attached to, or extends from, the
helicopter exterior but is not used nor is intended to be used in
operating or controlling a helicopter in flight and is not part of an
airframe or engine An ``acoustical change'' does not include:
(A) addition or removal of external equipment;
(B) changes in the airframe made to accommodate the addition or
removal of external equipment, to provide for an external load
attaching means, to facilitate the use of external equipment or
external loads, or to facilitate the safe operation of the helicopter
with external equipment mounted to, or external loads carried by, the
helicopter;
(C) reconfiguration of the helicopter by the addition or removal of
floats and skis;
(D) flight with one or more doors and/or windows removed or in an
open position; or
(E) any changes in the operational limitations placed on the
helicopter as a consequence of the addition or removal of external
equipment, floats, and skis, or flight operations with doors and/or
windows removed or in an open position.
* * * * *
Issued in Washington DC on May 1, 1996.
David R. Hinson,
Administrator.
[FR Doc. 96-11374 Filed 5-6-96; 8:45 am]
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