[Federal Register Volume 62, Number 98 (Wednesday, May 21, 1997)]
[Rules and Regulations]
[Pages 27920-27923]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-12747]



[[Page 27919]]

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Part VI





Department of Transportation





_______________________________________________________________________



Federal Aviation Administration



_______________________________________________________________________



14 CFR Parts 121, 125 and 135



Revision to Minimum Altitudes for the Use of an Autopilot; Final Rule



Advisory Circular 120-67; Criteria for Operational Approval of Auto 
Flight Guidance System; Notice

  Federal Register / Vol. 62, No. 98 / Wednesday, May 21, 1997 / Rules 
and Regulations  

[[Page 27920]]


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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Parts 121, 125, and 135

[Docket No. 27987; Amendment No. 121-265, 125-29, 135-68]
RIN 2120-AF19


Revision to Minimum Altitudes for the Use of an Autopilot

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: The Federal Aviation Administration amends the regulations 
governing the use of approved flight control guidance systems with 
automatic capability (autopilot), and would permit the use of an 
autopilot at altitudes less than 500 feet above ground level (AGL) 
during the takeoff and initial climb phases of flight. This amendment 
permits this use of approved autopilot systems for takeoff and initial 
climb phases of flight if the Administrator authorizes their use as 
stated in an air carrier's operations specifications. By permitting air 
carriers to take advantage of technological improvements in the 
operational capabilities of autopilot systems, safety will be enhanced 
by decreasing pilot workload during the critical takeoff phase of 
flight.

EFFECTIVE DATE: This amendment is effective June 20, 1997.

FOR FURTHER INFORMATION CONTACT: Richard A. Temple, AFS-410, Flight 
Standards Service, Federal Aviation Administration, 800 Independence 
Avenue, SW., Washington, DC 20591, telephone (202) 267-5824.

SUPPLEMENTARY INFORMATION:

Background

    The FAA is amending Secs. 121.579 125.329, and 135.93 of Title 14 
of the Code of Federal Regulations to permit certificate holders that 
operate under parts 121, 125, or 135 to obtain authorization to use an 
approved autopilot system for takeoff if authorized by the FAA in the 
certificate holders's operations specifications. Section 121.579(a) 
currently states that no person may use an autopilot en route, 
including climb and descent, at an altitude above the terrain that is 
less than twice the maximum altitude loss specified in the Airplane 
Flight Manual (AFM) for a malfunction of the autopilot under cruise 
conditions, or less than 500 feet, whichever is higher. Sections 
125.329(a) and 135.93(a) state that no person may use an autopilot at 
an altitude above the terrain which is less than 500 feet or less than 
twice the maximum altitude loss specified in the approved Airplane 
Flight Manual or equivalent for a malfunction of the autopilot, 
whichever is higher. Paragraphs (b) and (c) in Sec. 121.579, paragraphs 
(b), (c) and (d) of Sec. 125.329, and paragraphs (b), (c), and (d) in 
Sec. 135.93 provide exceptions to this restriction for the approach and 
landing phases of flight.
    The current restrictions in the regulations regarding the use of an 
autopilot below 500 feet AGL have not been amended since 1965, when 
provisions for the landing phase of flight were incorporated into 
Sec. 121.579. This change was incorporated into part 135 when 
Sec. 135.93 was recodified in 1978, and into part 125 when Sec. 125.329 
was established in 1980. Although significant improvements in autopilot 
technology have been made, the regulations have not been amended to 
specifically permit the use of an autopilot system during the takeoff 
and initial climb phases of flight. In addition, the aviation industry 
anticipates further improvements in autopilot technology, particularly 
in relation to using the autopilot during the takeoff phase of flight.
    The Aviation Rulemaking Advisory Committee (ARAC) and some industry 
members expressed their opinion that amending the regulation to permit 
increased usage of autopilot engagement during takeoff would have 
certain benefits, such as allowing pilots to focus proportionately more 
attention on duties other than the manual manipulation of the flight 
controls and constant surveillance of the cockpit instruments during 
the critical takeoff phase of flight. Based on a recommendation from 
the Autopilot Engagement Working Group of the ARAC, the FAA published a 
Notice of Proposed Rulemaking (NPRM) in the Federal Register on 
December 9, 1994 (59 FR 63868). Comments on the proposal closed January 
9, 1995. Seven comments were received.
    Based on autopilot technology, the expectation that technology will 
continue to advance, and the safety benefits that will result from 
using improved technology, the FAA amends the current regulations to 
permit authorization for the use of an autopilot during the takeoff and 
initial climb phases of flight; to enable parts 121, 125, and 135 
operators, when authorized, to use existing technology; and to further 
promote technological advances while increasing the level of public 
safety.
    The FAA and the aviation industry anticipate that further 
technological advances will lead to the evolution of additional 
autoflight guidance systems that can safely be used from initiation of 
takeoff roll to completion of landing.

Comments

    The FAA received seven comments on the proposal. The Regional 
Airline Association (RAA) comments that it supports the proposal; that 
support is based primarily on its development and recommendation by the 
ARAC.
    The National Air Transportation Association (NATA) comments that it 
supports the proposal because it allows operators to take advantage of 
advanced technology, thus decreasing pilot workload during a critical 
phase of flight. NATA also comments that it will achieve a significant 
increase in aviation operating safety without a corresponding increase 
in capital or operating expenses.
    Maine Instrument Flight (MIF) supports the proposal, saying that 
this is a good example of how the FAA can respond to advances in 
technology and give regulatory relief to operators.
    The Air Line Pilots Association (ALPA) also supports the proposed 
rule and advisory circular based on the permitted advantages of 
technological improvements in the operational capabilities of approved 
flight control guidance systems.
    Boeing Commercial Airplane Group comments that it agrees with the 
FAA that an automatic pilot system can provide the flightcrew with work 
load relief during the busy takeoff and landing phases of flight. 
Boeing notes, however, that the NPRM addresses only a limited part of 
the total minimum engagement altitude issue, which is currently being 
addressed by the FAA/JAA/Industry All Weather Operations Harmonization 
Program. Boeing also sees no value in the proposed advisory circular 
discussed in the NPRM, commenting that existing methods of approval and 
use of the autopilot are adequate.
    AVRO International Aerospace comments that it supports the 
proposal, but is concerned that it does not cover all phases of flight 
for which modern autopilots are being used, e.g., circling approaches. 
AVRO also comments that the certification procedures of 14 CFR 25.1329 
must be updated since they do not specifically cover the operational 
changes of this proposal. AVRO notes that there is some overlap in the 
areas covered by the Autopilot Engagement Requirements Working Group 
and the All Weather Operations Working Group, and urges the FAA to 
coordinate within

[[Page 27921]]

the ARAC system to determine areas of responsibility. AVRO views the 
proposed advisory circular as ``increasing certification costs,'' and 
therefore recommends that it not be issued. AVRO also requests that 
commenters be given at least 30 working days to comment; they find 30 
calendar days, over a holiday period, unacceptable.
    The Civil Aviation Authority makes a similar comment on the 
abbreviated comment period. CAA commends the removal of arbitrary 
takeoff limitations, but also notes that this operational proposal 
fails to provide detailed airworthiness requirements, which it finds 
need to be developed in harmonization with the JAA requirements in JAR 
25.1329.
    In response to Boeing, AVRO, and CAA, the FAA notes that the ARAC, 
in establishing the initial terms of reference for its task, focused on 
the takeoff phase of flight only which is addressed in this rule 
change. Certification issues for future autopilot systems are presently 
being addressed by the ICAO All Weather Operations Harmonization 
working group and will complement this rule change.
    The ICAO All Weather Operations Harmonization working group will 
propose the modification of 14 CFR 25.1329, automatic pilot systems, to 
determine any additional certification requirements for future uses of 
autopilot systems. This action is in keeping with the goal of FAR/JAR 
harmonization to the maximum extent possible.
    The FAA agrees with Boeing and AVRO that the initial approval of 
the equipment installation would be addressed in the normal 
certification process. The advisory circular is addressed to operators 
under parts 119, 121, 125, and 135, providing issues to consider when 
requesting changes to their operations specifications. The FAA sees no 
additional program requirement or cost in the areas of certification 
and maintenance to the certificate holder by providing this list for 
their use. However, the FAA acknowledges that there may be minimal 
costs voluntarily incurred by the certificate holder associated with 
modifying existing training programs and manuals to utilize the new/
lower engagement altitude.
    An abbreviated comment period was determined by the FAA as adequate 
because of previous FAA/Industry participation and agreement through 
the ARAC process.
    In the course or reviewing and addressing comments to the proposed 
minimum takeoff engagement height requirement the FAA noted that 
additional adjustments to the proposed provisions were necessary to 
properly relate these amended provisions to operational procedures and 
other provisions of the FAR, such as 14 CFR 121.189. Adjustments to the 
language of the provisions were also necessary to acknowledge that 
proper operational use of automatic flight guidance and control systems 
may sometimes require specific mode use constraints or minimum 
engagement altitudes above that demonstrated in the AFM. For example, 
because autoflight system use must be consistent with both lateral and 
vertical obstacle clearance requirements, and must take into account 
irregular terrain in the departure path, non-normal procedures for such 
things as engine failure, and the application of different methods for 
autoflight engagement height airworthiness demonstrations, it was 
recognized that the FAA and the operator may sometimes need to 
operationally specify mode use constraints or minimum engagement 
heights above that demonstrated and specified in the AFM. Issues such 
as these are typically addressed by the FAA's Flight Standardization 
Board (FSB) for each aircraft type, and any additional provisions for 
safe operational autoflight system use, if required, are identified by 
the FAA. Although the language in sections 121.579(d)(2), 
125.329(e)(2), and 135.93(e)(2) [redesignated in this rule as sections 
121.579(d)(3), 125.329(e)(3), and 135.93(e)(3)] was designed to address 
issues like the irregular terrain in the departure path, it would not 
have addressed some of the other issues mentioned above which warrant a 
higher minimum engagement height for the autopilot than specified in 
the AFM. Accordingly, the language of each of the provisions was 
modified to acknowledge this, and note that the Administrator may in 
certain instances find it necessary for safety to operationally specify 
engagement heights above or different than the minimum specified in the 
AFM. In view of the modifications discussed above, it was necessary to 
add some new language to the three sections to make it clear that 
engagement of the autopilot below the greater of two altitudes 
specified in Secs. 121.579(a), 125.329(a), or 135.93(a) is only 
permitted if the AFM specifies a minimum engagement height. Thus, under 
these amendments, engagement of the autopilot is prohibited below the 
minimum engagement altitude specified in the AFM and may in some 
circumstances be prohibited below an altitude that is higher than the 
altitude specified in the AFM.

The Amendment

Section 121.579

    Section 121.579 is amended by adding a new paragraph (d), which 
will allow the Administrator to issue operations specifications that 
establish the minimum altitude permitted to engage/use an autopilot 
during the takeoff and initial climb phases of flight. In addition, 
Sec. 121.579(a) will be amended by striking the words ``paragraphs (b) 
and (c)'' and inserting the words ``paragraphs (b), (c), and (d).''

Section 125.329

    Section 125.329 is amended by adding paragraph (e) to allow the 
Administrator to issue operations specifications that establish the 
minimum altitude permitted to engage/use an autopilot during the 
takeoff and initial climb phases of flight. In addition, 
Sec. 125.329(a) is amended by striking the words ``paragraphs (b), (c), 
and (d)'' and inserting the words ``paragraphs (b), (c), (d), and 
(e).''

Section 135.93

    Section 135.93 is amended by redesignating paragraph (e) as 
paragraph (f) and adding a new paragraph (e) to allow the Administrator 
to issue operations specifications that establish the minimum altitude 
permitted to engage/use an autopilot during the takeoff and initial 
climb phases of flight. In addition, Sec. 135.93(a) is amended by 
striking the words ``paragraphs (b), (c), and (d)'' and inserting the 
words ``paragraphs (b), (c), (d), and (e).''

Paperwork Reduction Act

    The information collection requirements in the amendment to 
Secs. 121.579, 125.329, and 135.93 have previously been approved by the 
Office of Management and Budget (OMB) under the provisions of the 
Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.) and have been 
assigned OMB Control Number 2120-0008.

Economic Assessment

    The FAA has determined that this rulemaking is not a significant 
rulemaking action as defined by Executive Order 12866, and therefore no 
assessment is required. In accordance with Department of Transportation 
Policies and Procedures (44 FR 11034; February 26, 1979) when the 
impact of a regulation will be minimal if adopted, a full regulatory 
evaluation does not need to be prepared. The following discussion 
provides an economic

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assessment of the proposal's anticipated costs and benefits.

Costs

    The amendment will allow air carriers and commercial operators to 
seek authorization for the use of autopilot systems during the takeoff 
phase of flight. Because the decision whether to seek authorization for 
the use of autopilot is optional and voluntary, the amendment will not 
impose any additional costs on certificate holders that operate under 
parts 121, 125, or 135.

Benefits

    This amendment will have positive effects on the safety of air 
operations. As with any change to operations specifications, the FAA 
reserves the right to determine whether suggested revisions to an air 
carrier's operations specifications meet the various criteria and 
guidelines that will ensure that the current level of safety is met or 
exceeded.
    The use of the autopilot system below 500 feet AGL will enable the 
pilot to monitor the performance of the aircraft while performing other 
safety-related functions, such as scanning the outside area for other 
aircraft. Since less time is spent manipulating the controls, the use 
of the autopilot also enables the flightcrew to more readily identify 
any deviations from expected aircraft performance thus increasing the 
pilot's opportunity to quickly respond to any aircraft malfunctions. 
Increasing the pilot's opportunity to scan the area outside the 
aircraft for other airborne traffic, to detect aircraft malfunctions, 
and to respond more quickly to problems will increase the level of 
safety.

International Trade Impact Analysis

    The FAA has determined that the amendments to parts 121, 125, and 
135 will not have a significant impact on international trade. The 
amendments are expected to have no negative impact on trade 
opportunities for U.S. firms doing business overseas or foreign firms 
doing business in the United States.

International Civil Aviation Organization and Joint Aviation 
Regulations

    In keeping with U.S. obligations under the Convention on 
International Civil Aviation, it is FAA policy to comply with ICAO 
Standards and Recommended Practices (SARP) to the maximum extent 
practicable. In reviewing the SARP for air carrier operations and JAR-
OPS 1, the FAA finds that there is not a comparable rule under either 
ICAO standards or the JAR.

Regulatory Flexibility Determination

    Congress enacted the Regulatory Flexibility Act (RFA) of 1980 (Pub. 
L. 96-354) 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 impact on a 
substantial number of small entities. This amendment will impose no 
additional costs on air carriers; therefore, it will not have a 
significant economic impact on small business entities.

Federalism Implications

    The regulations contained herein will 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 the various levels of government. Therefore, in 
accordance with Executive Order 12612, it is determined that this 
amendment will not have sufficient implications to warrant the 
preparation of a Federalism Assessment.

Conclusion

    For the reasons discussed in the preamble, and based on the 
findings in the Regulatory Flexibility Determination and the 
International Trade Impact Analysis, the FAA has determined that this 
regulation is not a significant rulemaking action under Executive Order 
12866. This amendment is also considered nonsignificant under 
Department of Transportation Regulatory Policies and Procedures (44 FR 
11034; February 26, 1979). In addition, the FAA certifies that this 
amendment will not have a significant economic impact, positive or 
negative, on a substantial number of small entities under the criteria 
of the RFA.

List of Subjects

14 CFR Part 121

    Air carriers, Aircraft, Airmen, Aviation safety, Reporting and 
recordkeeping requirements, Safety, Transportation.

14 CFR Part 125

    Aircraft, Airmen, Aviation safety, Reporting and recordkeeping 
requirements.

14 CFR Part 135

    Air taxis, Aircraft, Airmen, Aviation safety, Reporting and 
recordkeeping requirements.

The Amendment

    In consideration of the foregoing, the Federal Aviation 
Administration amends parts 121, 125, and 135 of the Federal Aviation 
Regulations (14 CFR parts 121, 125, and 135) as follows:

PART 121--OPERATING REQUIREMENTS: DOMESTIC, FLAG, AND SUPPLEMENTAL 
OPERATIONS

    1. The authority citation for part 121 continues to read as 
follows:

    Authority: 49 U.S.C. 106(g), 40113, 40119, 44101, 44701-44702, 
44705, 44709-44711, 44713, 44716-44717, 44722, 44901, 44903-44904, 
44912, 46105.

    2. Section 121.579 is amended by removing ``paragraphs (b) and 
(c)'' and adding in their place ``paragraphs (b), (c), and (d)'' in 
paragraph (a) and adding new paragraph (d) to read as follows:


Sec. 121.579  Minimum altitudes for use of autopilot.

* * * * *
    (d) Takeoffs. Notwithstanding paragraph (a) of this section, the 
Administrator issues operations specifications to allow the use of an 
approved autopilot system with automatic capability below the altitude 
specified in paragraph (a) of this section during the takeoff and 
initial climb phase of flight provided:
    (1) The Airplane Flight Manual specifies a minimum altitude 
engagement certification restriction;
    (2) The system is not engaged prior to the minimum engagement 
certification restriction specified in the Airplane Flight Manual or an 
altitude specified by the Administrator, whichever is higher; and
    (3) The Administrator finds that the use of the system will not 
otherwise affect the safety standards required by this section.

PART 125--CERTIFICATION AND OPERATIONS: AIRPLANES HAVING A SEATING 
CAPACITY OF 20 OR MORE PASSENGERS OR A MAXIMUM PAYLOAD CAPACITY OF 
6,000 POUNDS OR MORE

    3. The authority citation for part 125 continues to read as 
follows:

    Authority: 49 U.S.C. 106(g), 40113, 44701-44702, 44705, 44710-
44711, 44713, 44716-44717, 44722.

    4. Section 125.329 is amended by removing ``paragraphs (b), (c), 
and (d)'' and adding in their place ``paragraphs (b), (c), (d), and 
(e)'' in paragraph (a) and adding new paragraph (e) to read as follows:

[[Page 27923]]

Sec. 125.329   Minimum altitudes for use of autopilot.

* * * * *
    (e) Notwithstanding paragraph (a) of this section, the 
Administrator issues operations specifications to allow the use of an 
approved autopilot system with automatic capability during the takeoff 
and initial climb phase of flight provided:
    (1) The Airplane Flight Manual specifies a minimum altitude 
engagement certification restriction;
    (2) The system is not engaged prior to the minimum engagement 
certification restriction specified in the Airplane Flight Manual or an 
altitude specified by the Administrator, whichever is higher; and
    (3) The Administrator finds that the use of the system will not 
otherwise affect the safety standards required by this section.

PART 135--OPERATING REQUIREMENTS: COMMUTER AND ON-DEMAND OPERATIONS

    5. The authority citation for part 135 continues to read as 
follows:

    Authority: 49 U.S.C. 106(g), 40113, 44701-44702, 44705, 44709, 
44711-44713, 44715-44717, 44722.

    6. Section 135.93 is amended by removing ``paragraphs (b), (c), and 
(d)'' and adding in their place ``paragraphs (b), (c), (d), and (e)'' 
in paragraph (a), redesignating paragraph (e) as paragraph (f), and 
adding new paragraph (e) to read as follows:


Sec. 135.93   Autopilot: Minimum altitudes for use.

* * * * *
    (e) Notwithstanding paragraph (a) of this section, the 
Administrator issues operations specifications to allow the use of an 
approved autopilot system with automatic capability during the takeoff 
and initial climb phase of flight provided:
    (1) The Airplane Flight Manual specifies a minimum altitude 
engagement certification restriction;
    (2) The system is not engaged prior to the minimum engagement 
certification restriction specified in the Airplane Flight Manual, or 
an altitude specified by the Administrator, whichever is higher; and
    (3) The Administrator finds that the use of the system will not 
otherwise affect the safety standards required by this section.
* * * * *
    Issued in Washington, DC, on May 9, 1997.
Barry L. Valentine,
Acting Administrator.
[FR Doc. 97-12747 Filed 5-20-97; 8:45 am]
BILLING CODE 4910-13-M