[Federal Register Volume 64, Number 239 (Tuesday, December 14, 1999)]
[Proposed Rules]
[Pages 69856-69865]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-32273]
[[Page 69855]]
_______________________________________________________________________
Part III
Department of Transportation
_______________________________________________________________________
Federal Aviation Administration
_______________________________________________________________________
14 CFR Part 11
General Rulemaking Procedures; Plain Language Clarification; Proposed
Rules
Federal Register / Vol. 64, No. 239 / Tuesday, December 14, 1999 /
Proposed Rules
[[Page 69856]]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 11
[Docket No. FAA-1999-6622; Notice No. 99-20]
RIN 2120-AG95
General Rulemaking Procedures
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Notice of proposed rulemaking (NPRM).
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SUMMARY: FAA is issuing this proposed rule in response to President
Clinton's mandate to Federal agencies to make communications with the
public more understandable. FAA proposes to revise and clarify its
rulemaking procedures by putting them into plain language and by
removing redundant and outdated material. Rulemaking procedures are an
important way for the public to interact with FAA, and it is important
that these procedures be easy to understand and follow.
DATES: Send your comments on or before January 28, 2000.
ADDRESSES: Address your comments to the Docket Management System, U.S.
Department of Transportation, Room PL 401, 400 Seventh Street, SW,
Washington, DC 20590-0001. You must identify the docket number FAA-
1999-6622 at the beginning of your comments, and you should submit two
copies of your comments. If you wish to receive confirmation that FAA
has received your comments, include a self-addressed, stamped postcard.
You may also submit comments through the Internet to http://
dms.dot.gov. You may review the public docket containing comments to
these proposed regulations in person in the Dockets Office between 9:00
a.m. and 5:00 p.m., Monday through Friday, except Federal holidays. The
Dockets Office is on the plaza level of the Nassif Building at the
Department of Transportation at the above address. Also, you may review
public dockets on the Internet at http://dms.dot.gov.
FOR FURTHER INFORMATION CONTACT: Donald Byrne, Assistant Chief Counsel,
Regulations Division, AGC-200, Federal Aviation Administration, 800
Independence Ave. SW., Washington, DC 20591; telephone: (202) 267-3073.
SUPPLEMENTARY INFORMATION:
Comments Invited
Interested persons are invited to participate in the making of the
proposed action by submitting such written data, views, or arguments as
they may desire. Comments relating to the environmental, energy,
federalism, or economic impact that might result from adopting the
proposals in this document also are invited. Substantive comments
should be accompanied by cost estimates. Comments must identify the
regulatory docket or notice number and be submitted in duplicate to the
DOT Rules Docket address specified above.
All comments received, as well as a report summarizing each
substantive public contact with FAA personnel concerning this proposed
rulemaking, will be filed in the docket. The docket is available for
public inspection before and after the comment closing date.
All comments received on or before the closing date will be
considered by the Administrator before taking action on this proposed
rulemaking. Comments filed late will be considered as far as possible
without incurring expense or delay. The proposals in this document may
be changed in light of the comments received.
Commenters wishing the FAA to acknowledge receipt of their comments
submitted in response to this document must include a pre-addressed,
stamped postcard with those comments on which the following statement
is made: ``Comments to Docket No. FAA-1999-6622.'' The postcard will be
date stamped and mailed to the commenter.
Availability of NPRMs
An electronic copy of this document may be downloaded using a modem
and suitable communications software from the FAA regulations section
of the FedWorld electronic bulletin board service (telephone: (703)
321-3339) or the Government Printing Office (GPO)'s electronic bulletin
board service (telephone: (202) 512-1661).
Internet users may reach the FAA's web page at http://www.faa.gov/
avr/arm/nprm/nprm.htm or the GPO's web page at http://
www.access.gpo.gov/nara access to recently published rulemaking
documents.
Any person may obtain a copy of this document by submitting a
request to the Federal Aviation Administration, Office of Rulemaking,
ARM-1, 800 Independence Avenue SW., Washington, DC 20591, or by calling
(202) 267-9680. Communications must identify the notice number or
docket number of this NPRM.
Persons interested in being placed on the mailing list for future
rulemaking documents should request from the above office a copy of
Advisory Circular No. 11-2A, Notice of Proposed Rulemaking Distribution
System, which describes the application procedure.
Background
1. Proposed Substantive Changes
We propose to revise part 11 by eliminating redundant and outdated
information that is not necessary to public participation in the
rulemaking process. We also propose to remove supplementary information
available on request from FAA, such as internal delegations of
authority. This change will help FAA keep its procedures current
because we will be able to change supplementary information that is not
critical to your participation in the rulemaking process without the
need to revise Part 11.
Because of the elimination of redundant material from subparts A
through E, FAA will fold all its rulemaking procedures into one
subpart, A. This rulemaking consolidates material on different aspects
of our regulatory program into one subpart, clarifying that there is
really only one basic process the public must follow to interact with
our regulatory program. We will eliminate some provisions that are
obsolete. These changes are explained in more detail in the following
paragraphs. Finally, we will update our list of information collection
clearance numbers found in current subpart F, now redesignated subpart
B. New subpart B is not printed here; it will be included in the final
version of part 11.
A. General Changes
FAA is proposing some general changes that will impact several
different sections in the rule.
Petitions for Reconsideration of Final Rules. We have removed any
reference in proposed part 11 to petitions for reconsideration of a
final rule. The current rule discusses this procedure only for final
rules for the designation of controlled airspace and for airworthiness
directives (see current Secs. 11.73 and 11.93). Actually, under both
current part 11 and proposed part 11 you may ask FAA to reconsider any
agency final rule by following FAA rulemaking procedures. For example,
if the FAA issues a final rule accompanied by a request for comments,
you may submit arguments why the final rule should not have been
adopted. If we agree, we may issue another final rule repealing or
revising the earlier rule.
In addition, you may file a petition for rulemaking to repeal or
revise a final rule we recently adopted. If we agree with you that we
should not have adopted the final rule, we may issue
[[Page 69857]]
another final rule repealing or revising it. If you persuade us that
the final rule was not reasonable in light of the record, including the
comments we received, we may do this by issuing an immediate final rule
to correct the problem. If you provide information that we didn't have
before, we may need to preface our repeal or revision with an
opportunity for others to comment.
Petitions for Reconsideration of Denied Petitions. We have created
a single, simplified section to explain how to obtain reconsideration
of a denial of a petition for rulemaking or exemption. It is a
simplified version of the rule that currently applies to denials of
exemption (Sec. 11.55(d)). You have to present a significant new fact
and tell us why you didn't include it in your original petition. Or you
have to show us how we made a significant factual error or misapplied a
law, regulation, or precedent incorrectly. If you can't do this, we
won't be able to accept your petition for reconsideration.
Rules and Procedures for Airspace Designation. The procedures for
designation of airspace currently in subpart D of part 11 are a
variation of the other rulemaking procedures found elsewhere in part
11. As we have noted, we propose to consolidate all our rulemaking
procedures in one subpart. We will continue to separately state other
information specific to the process of designating airspace. For
example, in new Sec. 11.77, we have indicated what information you must
provide when you petition the FAA to establish, amend, or revoke an
airspace designation. This information is in addition to what you must
provide with any other petition for rulemaking.
We have removed discussion of the Administrative Procedure Act for
airspace actions, since it is the same as for other subparts. We also
removed any reference to ``orders,'' since we no longer use them to
designate airspace. We only use regulations that we adopt using part 11
procedures. Also, we have removed references to most internal
delegations. New part 11 would not specify time periods for agency
action. The FAA will respond to petitions for airspace designations in
a timely manner, and will provide a reasonable time for you to submit
comments and to participate in any public meetings.
We have removed the reference now in Sec. 11.65 that says an
interested person is entitled to discuss or confer informally with
appropriate FAA officials concerning a proposed action. This provision
is contrary to DOT ex-parte policy, which prohibits non-public contacts
with DOT officials once an NPRM has been issued. Where discussion of a
proposal is appropriate, the FAA will hold an open public meeting.
We have removed the provisions now in Sec. 11.67 for conducting
hearings. Informal airspace meetings generally have replaced this
procedure. These meetings are held prior to issuing an NPRM. We issue a
notice announcing them in the Federal Register and open them to the
public. At the meeting, we accept oral as well as written comments. The
purpose of these meetings is to collect information from local aviation
users on the impact on operations in the area of airspace changes we
are considering.
Publication of Petitions for Rulemaking. We have removed any
reference to the publication of summaries of petitions for rulemaking
for public comment.
The FAA no longer publishes these summaries because we do an
initial screening when we receive your petition. In circumstances where
your petition does not meet our criteria for action, we will deny your
petition without delay. In deciding whether to take action on your
petition, we consider: the immediacy of the safety or security concerns
you raise; their priority relative to other issues we must address; and
the resources we have available to address these issues. We also may
decline to handle your petition as a separate action if we are already
addressing the issues you raise. For example, if we have tasked the
Aviation Rulemaking Advisory Committee (ARAC) to study the general
subject area of your petition, we may ask the ARAC to review and
evaluate your proposed action as well.
If your petition meets these criteria for action, and we are not
otherwise addressing the issues you raise, we will respond by issuing a
Notice of Proposed Rulemaking (NPRM) no later than 6 months after we
receive your petition. In such a case, we invite public comment on the
proposed rule, rather than on your petition itself.
The FAA no longer publishes summaries of denials of petitions for
rulemaking, in order to preserve resources for processing priority
rulemaking actions.
Removal of Delegations. We have removed almost all the references
to internal FAA delegations involving the processing of rulemaking
actions. A number of these delegations in current part 11 are no longer
accurate. We will publish a separate notice in the Federal Register,
telling you who exercises the authority of the Administrator in
rulemaking matters. Doing this by notice instead of regulation will
make it easier for us to keep this information current. You can get
this information from us at any time.
We have retained some references to delegations where you need to
know them to participate in the rulemaking process. For example, the
Director of Rulemaking accepts most petitions for rulemaking or
exemption on behalf of the Administrator. Other officials accept
certain other petitions. These are shown in tables in the proposed
text.
Special Conditions. We have removed the discussion of special
conditions now in Sec. 11.28. The FAA issues special conditions when we
find that the airworthiness standards for a proposed aircraft, engine,
or propeller design do not contain adequate or appropriate safety
standards, because of a novel or unusual design feature. The FAA
follows the same rulemaking procedures as it does for general rules,
and thus there is no need to address special condition regulations
separately. FAA publishes additional information in the Federal
Register notice to assist you in commenting on a proposed special
condition.
Legal Citations. Current part 11 identifies some types of
rulemaking by the statutory authority under which they are issued. For
example, subpart D, which deals with the processing of airspace
designations, refers to them as ``rules and orders issued under
Sec. 307(a) of the Federal Aviation Act of 1958.'' In plain language,
we call these simply ``airspace designations.'' In addition, most of
the legal citations in current part 11 are out of date. We have removed
them since they are unnecessary to understanding the process. We will
continue to include in the regulatory documents themselves legal
citations to the authority under which we issue them.
Electronic Filing. The new rule makes clear that we will accept
comments, petitions, requests for extension of comment periods, and
other requests from the public by e-mail.
B. Description of Proposed Sections
Section 11.1: To what does this part apply? Proposed Sec. 11.1
states that the part applies to FAA rulemaking actions covered by the
Administrative Procedure Act (APA).
Section 11.3: What are the most common kinds of rulemaking actions
for which FAA follows APA procedures? Proposed Sec. 11.3 lists the most
common types of rulemaking actions taken by FAA that are covered by the
Administrative Procedure Act.
Section 11.5: Does FAA follow the same procedures in issuing all
three types of rules? Proposed Sec. 11.5 states
[[Page 69858]]
that FAA follows the same general procedures for all these types of
rules.
Section 11.11: How does FAA issue rules? Proposed Sec. 11.11 lists
the types of rulemaking documents that FAA issues, such as notices of
proposed rulemaking and final rules, and what we put in the documents.
Section 11.13: What is an advance notice of proposed rulemaking?
Proposed Sec. 11.13 describes an advance notice of proposed rulemaking.
Section 11.15: Are there other ways FAA collects specific
rulemaking recommendations before we issue an NPRM? Proposed Sec. 11.15
describes FAA's use of the Aviation Rulemaking Advisory Committee and
other rulemaking advisory committees to get advice about specific
rulemakings.
Section 11.17: What is a notice of proposed rulemaking? Proposed
Sec. 11.17 describes a notice of proposed rulemaking.
Section 11.19: What is a supplemental notice of proposed
rulemaking? Proposed Sec. 11.19 describes a supplemental notice of
proposed rulemaking.
Section 11.21: May FAA change its regulations without first issuing
an ANPRM or NPRM? Proposed Sec. 11.21 explains the circumstances under
which FAA may adopt, amend, or repeal regulations without first issuing
an ANPRM or NPRM.
Section 11.23: What is a final rule? Proposed Sec. 11.23 describes
a final rule.
Section 11.25: What is a direct final rule? Proposed Sec. 11.25
describes a direct final rule.
Section 11.27: How does FAA process direct final rules? Proposed
Sec. 11.27 discusses FAA's publication of information on direct final
rules in the Federal Register and how FAA deals with adverse comments
on direct final rules.
Section 11.29: What is a final rule with request for comments?
Proposed Sec. 11.29 discusses when FAA might ask for comments on a
final rule for which we did not issue an NPRM.
Section 11.31: How can I track FAA's rulemaking activities?
Proposed Sec. 11.31 discusses how the public can use the docket number
and the regulation identifier number (RIN) to track FAA's rulemaking
activities in the Department of Transportation's Docket Management
System (DMS) and in the Federal Register.
Section 11.33: Does FAA include sensitive security information in
the DMS? Proposed Sec. 11.33 explains that FAA removes sensitive
security information from public comments before putting them in the
DMS.
Section 11.35: Where can I find information about an Airworthiness
Directive, an airspace designation, or a petition handled in a region?
Proposed Sec. 11.35 specifies that you can get information about
rulemaking actions taken in the regions by contacting the person listed
in the Federal Register notice about the action.
Section 11.37: How may I participate in FAA's rulemaking process?
Proposed Sec. 11.37 explains that you may participate in FAA's
rulemaking by filing comments, requesting a meeting, or filing a
petition.
Written Comments
Section 11.41: Who may file comments? Proposed Sec. 11.41 explains
that anyone may file written comments about proposals made in any
rulemaking document that requests public comments.
Section 11.43: What information must I put in my written comments?
Proposed Sec. 11.43 lists the information that you must include in any
comments on FAA's rulemaking.
Section 11.45: Where and when do I file my comments? Proposed
Sec. 11.45 addresses the timeframes for filing comments.
Section 11.47: May I ask for more time to file my comments?
Proposed Sec. 11.47 explains how to request more time to file comments.
Public Meetings and Other Proceedings
Section 11.51: May I request that FAA hold a public meeting on a
rulemaking action? Proposed Sec. 11.51 explains how to request a public
meeting on a rulemaking action.
Section 11.53: What takes place at a public meeting? Proposed
Sec. 11.53 explains the nature of a public meeting.
Petitions for Rulemaking and for Exemption
Section 11.61: May I ask FAA to add, amend, or repeal a regulation,
or grant relief from the requirements of a current regulation? Proposed
Sec. 11.61 explains that you may ask FAA to adopt, amend, or repeal a
regulation, or grant relief from a regulation, by filing a petition.
Section 11.63: Where and to whom do I submit my petition for
rulemaking or petition for exemption? Proposed Sec. 11.63 provides an
address to which you should send your petition for rulemaking or
petition for exemption. The rule would no longer discuss where to file
petitions for exemption from the medical standards in part 67, since
exceptions to these standards are now handled by special issuances
under Sec. 67.401.
Section 11.71: What information must I include in my petition for
rulemaking? Proposed Sec. 11.71 lists the information you must include
in your petition for rulemaking.
Section 11.73: How does FAA process petitions for rulemaking?
Proposed Sec. 11.73 discusses how FAA handles petitions for rulemaking,
including under what circumstances FAA may dismiss your petition.
Section 11.75: Does FAA invite public comment on petitions for
rulemaking? Proposed Sec. 11.75 states that FAA does not invite public
comment on petitions for rulemaking.
Section 11.77: Is there any additional information I must include
in my petition for designating airspace? Proposed Sec. 11.77 lists
additional information you must include in a petition to designate
airspace.
Section 11.81: What information must I include in my petition for
an exemption? Proposed Sec. 11.81 lists information you must include in
your petition for an exemption.
Section 11.83: Are exemptions FAA grants under this part valid
outside the United States? Proposed Sec. 11.83 explains how FAA handles
exemptions that you want to use outside the United States.
Section 11.85: Does FAA invite public comment on petitions for
exemption? Proposed Sec. 11.85 discusses how FAA publicizes petitions.
Section 11.87: Are there circumstances under which FAA may decide
not to publish a summary of my petition for exemption? Proposed
Sec. 11.87 explains what information you must provide to FAA to
convince us not to delay your petition by publishing it.
Section 11.89: How much time do I have to submit comments to FAA on
a petition for exemption? Proposed Sec. 11.89 lists the amount of time
usually allowed for comments on a petition for exemption.
Section 11.91: What information does FAA publish when it grants or
denies my petition for exemption? Proposed Sec. 11.91 lists what
information FAA publishes after making a decision about a petition for
exemption.
Section 11.101: Can I ask FAA to reconsider my petition for
rulemaking or petition for exemption if it is denied? Proposed
Sec. 11.101 explains how you can request FAA to reconsider petitions
that we have denied.
Section 11.201--OMB control numbers assigned pursuant to the
Paperwork Reduction Act: The text of this section will be updated and
will appear in full in the final rule.
[[Page 69859]]
2. Clearer Regulatory Format
Plain language helps readers find requirements quickly and
understand them easily. To do that, we have reorganized and reworded
the regulation using plain-language techniques not usually found in the
Federal Register and the Code of Federal Regulations (CFR).
We have used undesignated center headings to cluster
related sections within subpart A.
We have shortened sections, paragraphs, and sentences, and
where possible used simple words to speed up reading and improve
understanding.
Our section headings in the form of questions help direct
the readers to specific material they are interested in.
We have used personal pronouns to reduce passive voice and
draw readers into the writing.
We have used tables to display complex information in a
simple, easy-to-read format.
3. Rulemaking Analyses and Assessments
Executive Order 12866 and DOT Regulatory Policies and Procedures
Executive Order 12866, Regulatory Planning and Review, directs the
FAA to assess both the costs and benefits of a regulatory change. We
are not allowed to propose or adopt a regulation unless we make a
reasoned determination that the benefits of the intended regulation
justify its costs. Our assessment of this proposal indicates that it's
economic impact is minimal. Since its costs and benefits do not make it
a ``significant regulatory action'' as defined in the Order, we have
not prepared a ``regulatory impact analysis.'' Similarly, we have not
prepared a ``regulatory evaluation,'' which is the written cost/benefit
analysis ordinarily required for all rulemaking proposals under the DOT
Regulatory Policies and Procedures. We do not need to do the latter
analysis where the economic impact of a proposal is minimal.
Executive Order 13132, Federalism
The FAA has analyzed this proposed rule under the principles and
criteria of Executive Order 13132, Federalism. We determined that this
action would not have a substantial direct effect on the States, on the
relationship between the national Government and the States, or on the
distribution of power and responsibilities among the various levels of
government. Therefore, we determined that this notice does not have
federalism implications.
Regulatory Flexibility Act
The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.)
directs the FAA to fit regulatory requirements to the scale of the
business, organizations, and governmental jurisdictions subject to the
regulation. We are required to determine whether a proposed or final
action will have a ``significant economic impact on a substantial
number of small entities'' as defined in the Act. If we find that the
action will have a significant impact, we must do a ``regulatory
flexibility analysis.''
This proposed rule clarifies and revises FAA's general rulemaking
procedures to make them easier for the public to understand. It's
economic impact is minimal. Therefore, we certify that this proposed
action would not have a significant economic impact on a substantial
number of small entities.
Paperwork Reduction Act
The Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) requires
that the FAA consider the impact of paperwork and other information
collection burdens imposed on the public. We have determined that there
are no new information collection requirements associated with part 11.
International Trade
The Office of Management and Budget directs the FAA to assess
whether or not a regulatory change would affect international trade. We
determined that the provisions of this proposed rule would have no
impact on trade for U.S. firms doing business in foreign countries and
foreign firms doing business in the United States.
Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1532-1538)
requires the FAA to assess the effects of Federal regulatory actions on
state, local, and tribal governments, and on the private sector of
proposed rules that contain a Federal intergovernmental or private
sector mandate that exceeds $100 million in any one year. This action
does not contain such a mandate.
Cross Reference
To identify where we have relocated present regulations in the
proposed rule, the following cross-reference table is provided:
Cross Reference Table
------------------------------------------------------------------------
Current part 11 Proposed part 11 Reason for change
------------------------------------------------------------------------
Subpart A................... Subparts A-E Subparts were
combined. redundant.
Sec. 11.1 Applicability Secs. 11.1 and 11.3
Sec. 11.11 Docket...... Secs. 11.31 and
11.45.
Sec. 11.13 Delegation None................ Not needed in rule,
of authority. to be published
separately.
Sec. 11.15 Emergency None................ Unnecessary, applied
exemptions. only to ``enemy
attack on the
United States.''
Sec. 11.17 Direct final Secs. 11.25 and
rule. 11.27.
Subpart B:
Sec. 11.21 Scope....... None................ Substance included
principally in
proposed Secs.
11.1 through 11.11.
Sec. 11.23 Initiating None................ Unnecessary
rulemaking procedures. language.
Sec. 11.25 Petitions Sec. 11.61 and
for rulemaking or following.
exemption.
Sec. 11.27 Action on Sec. 11.61 and
petitions for following.
rulemaking or exemption.
Sec. 11.28 Action on None................ Not needed.
special conditions.
Sec. 11.29 Notice of Sec. 11.11 and
proposed rulemaking. following.
Sec. 11.31 Secs. 11.41 and
Participation of 11.43.
interested persons in
rulemaking procedures.
Sec. 11.33 Additional Sec. 11.51 and
rulemaking proceedings. following.
Sec. 11.35 None................ CAB has been
Participation by Civil abolished.
Aeronautics Board in
rulemaking proceedings.
[[Page 69860]]
Sec. 11.37 Requests for None................ Procedure no longer
informal appearances. available.
Subpart C:
Sec. 11.41 Scope....... None................ Delegations not
needed in rule, to
be published
separately.
Sec. 11.43 Processing None................ Unnecessary,
of petitions for internal procedure.
rulemaking or exemption
from parts of this
chapter.
Sec. 11.45 Issue of None................ Delegations not
notice of proposed needed in rule, to
rulemaking. be published
separately.
Sec. 11.47 Proceedings Para. (a) to Sec.
after notice of 11.45.
proposed rulemaking.
Para. (b)--none..... Internal procedures.
Sec. 11.49 Adoption of None................ Internal procedures
final rules. and delegations.
Sec. 11.51 Denial of None................ Internal procedures.
petition for rulemaking.
Sec. 11.53 Grant or None................ Internal procedures.
denial of exemption.
Sec. 11.55 Sec. 11.101........
Reconsideration of a
denial or grant of
exemption.
Subpart D:
Sec. 11.61 Scope....... None................ Consolidated;
delegations to be
published
separately.
Sec. 11.63 Filing of Sec. 11.63.........
proposals.
Sec. 11.65 Issue of None................ Consolidated;
notice of proposed delegations to be
rulemaking. published
separately.
Sec. 11.67 Hearings.... None................ Replaced with
informal meetings.
Sec. 11.69 Adoption of None................ Consolidated and
rules or orders. simplified in one
subpart.
Sec. 11.71 Exemptions.. Sec. 11.61 and
following.
Sec. 11.73 Petitions None................ Specific procedures
for rehearing or unnecessary.
reconsideration of
rules or orders.
Subpart E:
Sec. 11.81 Scope....... None................ Consolidated.
Sec. 11.83 Processing Sec. 11.61 and
of petitions for following.
rulemaking or exemption.
Sec. 11.87 Proceedings None................ Internal procedures.
after notice of
proposed rulemaking.
Sec. 11.89 Adoption of None................ Internal procedures.
final rules.
Sec. 11.91 Grant or None................ Internal procedures.
denial of exemption.
Sec. 11.93 Petitions None................ Specific procedures
for reconsideration of unnecessary.
rules.
Subpart F................... Subpart B........... Updated and
redesignated.
Sec. 11.101 OMB control Sec. 11.201........
numbers assigned
pursuant to the
Paperwork Reduction Act.
------------------------------------------------------------------------
List of Subjects in 14 CFR Part 11
Administrative practice and procedure, Reporting and recordkeeping
requirements.
The Proposed Amendment
In consideration of the foregoing, the Federal Administration
Aviation proposes to amend chapter I of title 14, Code of Federal
Regulations as follows:
1. Revise part 11 to read as follows:
PART 11--GENERAL RULEMAKING PROCEDURES
Subpart A--Rulemaking Procedures
General
Sec.
11.1 To what does this part apply?
11.3 What are the most common kinds of rulemaking actions for which
FAA follows APA procedures?
11.5 Does FAA follow the same procedures in issuing all three types
of rules?
11.11 How does FAA issue rules?
11.13 What is an advanced notice of proposed rulemaking?
11.15 Are there other ways FAA collects specific rulemaking
recommendations before we issue an NPRM?
11.17 What is a notice of proposed rulemaking?
11.19 What is a supplemental notice of proposed rulemaking?
11.21 May FAA change its regulations without first issuing an ANPRM
or NPRM?
11.23 What is a final rule?
11.25 What is a direct final rule?
11.27 How does FAA process direct final rules?
11.29 What is a final rule with request for comments?
11.31 How can I track FAA's rulemaking activities?
11.33 Does FAA include sensitive security information in the DMS?
11.35 Where can I find information about an Airworthiness
Directive, an airspace designation, or a petition handled in a
region?
11.37 How may I participate in FAA's rulemaking process?
Written Comments
11.41 Who may file comments?
11.43 What information must I put in my written comments?
11.45 Where and when do I file my comments?
11.47 May I ask for more time to file my comments?
Public Meetings and Other Proceedings
11.51 May I request that FAA hold a public meeting on a rulemaking
action?
11.53 What takes place at a public meeting?
Petitions for Rulemaking and for Exemption
11.61 May I ask FAA to adopt, amend, or appeal a regulation, or
grant relief from the requirements of a current regulation?
11.63 Where and to whom do I submit my petition for rulemaking or
petition for exemption?
11.71 What information must I include in my petition for
rulemaking?
11.73 How does FAA process petitions for rulemaking?
11.75 Does FAA invite public comment on petitions for rulemaking?
[[Page 69861]]
11.77 Is there any additional information I must include in my
petition for designating airspace?
11.81 What information must I include in my petition for an
exemption?
11.83 Are exemptions FAA grants under this part valid outside the
United States?
11.85 Does FAA invite public comment on petitions for exemption?
11.87 Are there circumstances in which FAA may decide not to
publish a summary of my petition for exemption?
11.89 How much time do I have to submit comments to FAA on a
petition for exemption?
11.91 What information does FAA publish when it grants or denies my
petition for exemption?
11.101 Can I ask FAA to reconsider my petition for rulemaking or
petition for exemption if it is denied?
Subpart B--Paperwork Reduction Act Control Numbers
11.201 OMB control numbers assigned pursuant to the Paperwork
Reduction Act.
Authority: 49 U.S.C. 106(g), 40101, 40103, 40105, 40109, 40113,
44110, 44502, 44701-44702, 44711, and 46102.
Subpart A--Rulemaking Procedures
General
Sec. 11.1 To what does this part apply?
This part applies to the issuance, amendment, and repeal of any
regulation for which FAA (``we'') follows public rulemaking procedures
under the Administrative Procedure Act (``APA'') (5 U.S.C. 553).
Sec. 11.3 What are the most common kinds of rulemaking actions for
which FAA follows APA procedures?
(a) FAA follows APA procedures for three major types of rules:
(1) Rules found in the Code of Federal Regulations;
(2) Airworthiness directives issued under part 39 of this chapter;
and
(3) Airspace Designations issued under various parts of this
chapter.
(b) You will also find procedures in this part to petition FAA for
an exemption from a current regulation. These procedures are modeled on
the public rulemaking procedures of the APA.
Sec. 11.5 Does FAA follow the same procedures in issuing all three
types of rules?
Yes. In general, FAA follows the same procedures for all three rule
types. There are some differences as to which FAA official has
authority to issue each type, and where you send petitions for the FAA
to adopt, amend, or repeal each type. Assume that the procedures in
this subpart apply to all three types, except where we specify
otherwise.
Sec. 11.11 How does FAA issue rules?
(a) FAA uses APA rulemaking procedures to adopt, amend, or repeal
regulations. To propose or adopt changes to a regulation, FAA may issue
one or more of the following documents. We publish these rulemaking
documents in the Federal Register unless we name and personally serve a
copy of a rule on every person subject to it.
(1) An advance notice of proposed rulemaking (ANPRM).
(2) A notice of proposed rulemaking (NPRM).
(3) A supplemental notice of proposed rulemaking.
(4) A final rule.
(5) A direct final rule.
(6) A final rule with request for comments.
(b) Each of the rulemaking documents in paragraph (a) of this
section generally contains the following information:
(1) The topic involved in the rulemaking document.
(2) FAA's legal authority for issuing the rulemaking document.
(3) How interested persons may participate in the rulemaking
proceeding (for example, by filing written comments or making oral
presentations).
(4) Whom to call if you have questions about the rulemaking
document.
(5) The date, time, and place of any public meetings FAA will hold
to discuss the rulemaking document.
(6) The docket number and regulation identifier number (RIN) for
the rulemaking proceeding.
Sec. 11.13 What is an advance notice of proposed rulemaking?
An advance notice of proposed rulemaking (ANPRM) tells the public
that FAA is considering an area for rulemaking and requests written
comments on the appropriate scope of the rulemaking or on specific
topics. An advance notice of proposed rulemaking may or may not include
the text of potential changes to a regulation.
Sec. 11.15 Are there other ways FAA collects specific rulemaking
recommendations before we issue an NPRM?
Yes. The FAA obtains advice and recommendations from rulemaking
advisory committees. The Aviation Rulemaking Advisory Committee (ARAC)
is a formal standing committee comprised of representatives of aviation
associations and industry. In conducting its activities, ARAC complies
with the Federal Advisory Committee Act and the direction of the FAA.
We task ARAC with providing us with recommended rulemaking actions
dealing with specific areas and problems. If we accept an ARAC
recommendation to change an FAA rule, we ordinarily publish an NPRM
using the procedures in this part. The FAA may establish other
rulemaking advisory committees as needed to focus on specific issues
for a limited period of time.
Sec. 11.17 What is a notice of proposed rulemaking?
A notice of proposed rulemaking (NPRM) proposes FAA's specific
regulatory changes for public comment and contains supporting
information. It includes proposed regulatory text.
Sec. 11.19 What is a supplemental notice of proposed rulemaking?
On occasion, FAA may decide that it needs more information on an
issue, or that we should take a different approach than we proposed.
Also, we may want to follow a commenter's suggestion that goes beyond
the scope of the original proposed rule. In these cases, FAA may issue
a supplemental notice to give the public an opportunity to comment
further or to give us more information.
Sec. 11.21 May FAA change its regulations without first issuing an
ANPRM or NPRM?
FAA may adopt, amend, or repeal regulations without first issuing
an ANPRM or NPRM in the following situations:
(a) We may issue a final rule without first requesting public
comment if, for good cause, we find that a notice of proposed
rulemaking is impracticable, unnecessary, or contrary to the public
interest. We place that finding and a brief statement of the reasons
for it in the final rule. FAA calls these rules ``immediately adopted''
rules. For example, we may issue such a final rule in response to a
safety emergency.
(b) If an NPRM would be unnecessary because we do not expect to
receive adverse comment, we may issue a direct final rule.
Sec. 11.23 What is a final rule?
A final rule sets out new or revised requirements and their
effective date. It also may remove requirements. When preceded by an
NPRM, a final rule will also identify significant substantive issues
raised by commenters in response to the NPRM and give the agency's
response.
Sec. 11.25 What is a direct final rule?
A direct final rule is a final rule that will take effect on a
specified date unless FAA receives an adverse comment or notice of
intent to file an
[[Page 69862]]
adverse comment within the comment period--generally 60 days after the
direct final rule is published in the Federal Register. An adverse
comment explains why a rule would be inappropriate, or would be
ineffective or unacceptable without a change. It may challenge the
rule's underlying premise or approach. Under the direct final rule
process, we do not consider the following types of comments to be
adverse:
(a) A comment recommending another rule change, in addition to the
change in the direct final rule at issue. We consider the comment
adverse, however, if the commenter states why the direct final rule
would be ineffective without the change.
(b) A frivolous or insubstantial comment.
Sec. 11.27 How does FAA process direct final rules?
(a) We will publish a confirmation document in the Federal
Register, generally within 15 days after the comment period closes, if
we have not received an adverse comment or notice of intent to file an
adverse comment. The confirmation document tells the public the
effective date of the rule.
(b) If we receive an adverse comment or notice of intent to file an
adverse comment, we will advise the public by publishing a document in
the Federal Register before the effective date of the direct final
rule. This document will withdraw the direct final rule in whole or in
part. If we withdraw a direct final rule because of an adverse comment,
we may incorporate the commenter's recommendation into another direct
final rule or may publish a notice of proposed rulemaking.
Sec. 11.29 What is a final rule with request for comments?
The FAA usually issues a final rule with request for comments when
we issue an immediately adopted final rule. We invite comments on an
immediately adopted final rule only if we think that we will receive
useful information. We would not invite comments, for example, when we
are just making an editorial clarification or correction.
Sec. 11.31 How can I track FAA's rulemaking activities?
The following identifying numbers allow you to track FAA's
rulemaking activities:
(a) Docket number. We assign an identifying number, called a docket
number, to each rulemaking proceeding. Each rulemaking document that
FAA issues in a particular rulemaking proceeding will display the same
docket number. This number allows you to do the following:
(1) Associate related documents that appear in the Federal
Register.
(2) Search DOT's Docket Management System (DMS) for information on
some rulemaking proceedings--including notices of proposed rulemaking,
public comments, appeals, records of additional rulemaking proceedings
and final rules. The DMS does not contain information on Airworthiness
Directives or Airspace Actions. There are two ways you can search the
DMS:
(i) Visit the public docket room and review and copy any docketed
materials during regular business hours. The DOT Docket Management
System is located at the U.S. Department of Transportation, Plaza Level
401, 400 7th Street, SW, Washington, DC 20590-0001.
(ii) View and download docketed materials through the Internet at
http://dms.dot.gov.
(b) Regulation identifier number. DOT publishes a semiannual agenda
of all current and projected DOT rulemakings, reviews of existing
regulations, and completed actions. This semiannual agenda appears in
the Unified Agenda of Federal Regulations which is published in the
Federal Register in April and October of each year. The semiannual
agenda tells the public about DOT's--including FAA's--regulatory
activities. DOT assigns a regulation identifier number (RIN) to each
individual rulemaking proceeding in the semiannual agenda. This number
appears on all rulemaking documents published in the Federal Register
and makes it easy for you to track those rulemaking proceedings in both
the Federal Register and the semiannual regulatory agenda itself.
Sec. 11.33 Does FAA include sensitive security information in the DMS?
No. For proposed rule changes involving civil aviation security,
FAA reviews comments as we receive them. If we find that a comment
contains sensitive security information, we remove that information
before placing the comment in the docket.
Sec. 11.35 Where can I find information about an Airworthiness
Directive, an airspace designation, or a petition handled in a region?
To get information about rulemaking actions undertaken in FAA's
regions, contact the person listed under FOR FURTHER INFORMATION
CONTACT in the Federal Register document about the action.
Sec. 11.37 How may I participate in FAA's rulemaking process?
You may participate in FAA's rulemaking process by doing any of the
following:
(a) File written comments on any rulemaking document that asks for
comments, including an advance notice of proposed rulemaking, notice of
proposed rulemaking, direct final rule, or a final rule with request
for comments.
(b) Ask that we hold a public meeting on any rulemaking, and
participate in any public meeting that we hold.
(c) File a petition for rulemaking that asks us to adopt, amend, or
repeal a regulation.
(d) File an appeal that asks us to reexamine our decision to issue
all or part of a final rule or direct final rule.
Written Comments
Sec. 11.41 Who may file comments?
Anyone may file written comments about proposals and final rules
that request public comments.
Sec. 11.43 What information must I put in my written comments?
Your comments must be in English and must contain the following:
(a) The docket number of the rulemaking document you are commenting
on, clearly set out at the beginning of your comments.
(b) Your name, mailing address, and, if you wish, other contact
information, such as a fax number, telephone number, or e-mail address.
(c) Information, views, or arguments that follow the instructions
for participation that appear in the rulemaking document on which you
are commenting.
(d) All available material that is relevant to any statement of
fact in your comments.
(e) The document title and page number of any material that you
reference in your comments.
Sec. 11.45 Where and when do I file my comments?
(a) Send your comments to the location specified in the rulemaking
document on which you are commenting. If you are asked to send your
comments to the Docket Management System, you may send them in either
of the following ways:
(1) By mail to: U.S. Department of Transportation, Docket Management
System 400 7th Street, SW., Plaza Level 401, Washington, DC 20591.
(2) Through the Internet to http://dms.dot.gov.
(b) Make sure that your comments reach us by the deadline set out
in the
[[Page 69863]]
rulemaking document on which you are commenting. We will consider late-
filed comments to the extent possible only if they do not significantly
delay the rulemaking process.
(c) We may reject your paper or electronic comments if they are
frivolous, abusive, or repetitious. We may reject comments you file
electronically if you do not follow the electronic filing instructions
at the website.
Sec. 11.47 May I ask for more time to file my comments?
Yes. If FAA grants your request for more time to file comments, we
grant all persons the same amount of time. We will notify the public of
the extension by a document in the Federal Register. If FAA denies your
request, we will notify you of the denial. To ask for more time, you
must file a written or electronic request for extension at least ten
days before the end of the comment period. Your letter or message must:
(a) Show the docket number of the rule at the top of the first
page.
(b) Begin by stating that you are requesting an extension of the
comment period.
(c) Show that you have good cause for the extension and that an
extension is in the public interest.
(d) Send your request to the address specified for comments in the
rulemaking document that you wish to comment on.
Public Meetings and Other Proceedings
Sec. 11.51 May I request that FAA hold a public meeting on a
rulemaking action?
Yes. You may request that we hold a public meeting. FAA holds a
public meeting when we think that we need more than written comments to
make a fully informed decision. You should submit your request in
writing to the address specified for comments in the rulemaking
document that you wish to comment on. Specify at the top of your letter
or message that you are requesting that the agency hold a public
meeting. Submit your request no later than 30 days after our rulemaking
notice. If we find that we have good cause for a meeting we will notify
you and publish a notice of the meeting in the Federal Register.
Sec. 11.53 What takes place at a public meeting?
A public meeting is a non-adversarial, fact-finding proceeding
conducted by an FAA representative. Public meetings are announced in
the Federal Register. We invite interested persons to attend and to
present their views to the agency on specific issues. There are no
formal pleadings and no adverse parties, and any regulation issued
afterward is not necessarily based exclusively on the record of the
meeting. Sections 556 and 557 of the Administrative Procedure Act (5
U.S.C. 556 and 557) do not apply to public meetings under this part.
Petitions for Rulemaking and for Exemption
Sec. 11.61 May I ask FAA to adopt, amend, or repeal a regulation, or
grant relief from the requirements of a current regulation?
Yes.
----------------------------------------------------------------------------------------------------------------
If you want . . . Then you must submit . . .
----------------------------------------------------------------------------------------------------------------
(a) To adopt, amend, or repeal a regulation A petition for rulemaking.
----------------------------------------------------------------------------------------------------------------
(b) Relief from the requirements of a A petition for exemption.
current regulation.
----------------------------------------------------------------------------------------------------------------
Sec. 11.63 Where and to whom do I submit my petition for rulemaking or
petition for exemption?
(a) For paper submissions, send one original signed and two copies
of your petition for rulemaking or exemption to the following postal
address, except as provided in paragraph (c) of this section for
petitions pertaining to parts 39 and 139 of this chapter, or airspace
designations: Federal Aviation Administration, Office of Rulemaking
(ARM-1), 800 Independence Avenue, SW. Washington, DC 20591.
(b) For electronic submissions, send one original to the following
electronic address, except as provided in paragraph (c) of this section
for petitions pertaining to parts 39 and 139 of this chapter, or
airspace designations:
------------------------------------------------------------------------
Send your . . . To . . .
------------------------------------------------------------------------
(1) Petition for rulemaking.. To Be Announced.
------------------------------------------------------------------------
(2) Petition for exemption... To Be Announced.
------------------------------------------------------------------------
(c) For petitions pertaining to parts 39 and 139 of this chapter,
or airspace designations submit one original signed and two copies of
your petition for rulemaking or petition for exemption to the following
offices:
----------------------------------------------------------------------------------------------------------------
Send your petitions concerning . . . To the . . .
----------------------------------------------------------------------------------------------------------------
(1) Part 39: Airworthiness Directives............................................. Certification Directorate
having airworthiness
responsibility for the
product involved.
----------------------------------------------------------------------------------------------------------------
(2) Part 139: Certification of Airports........................................... Appropriate FAA airport
field office in whose area
the petitioner proposes to
establish or has
established its airport.
----------------------------------------------------------------------------------------------------------------
(3) Class D or E airspace designation............................................. Manager of the Air Traffic
Division in the FAA region
involved.
----------------------------------------------------------------------------------------------------------------
(4) Any other airspace designation................................................ Associate Administrator for
Air Traffic (ATS-1),
Federal Aviation
Administration, 800
Independence Avenue, SW,
Washington, DC 20591.
----------------------------------------------------------------------------------------------------------------
[[Page 69864]]
Sec. 11.71 What information must I include in my petition for
rulemaking?
(a) You must include the following information in your petition for
rulemaking:
(1) Your name and mailing address and, if you wish, other contact
information such as a fax number, telephone number, or e-mail address.
(2) An explanation of your proposed action and its purpose.
(3) The language you propose for a new or amended rule, or the
language you would remove from a current rule.
(4) An explanation of why your proposed action would be in the
public interest.
(5) Information and arguments that support your proposed action,
including relevant technical and scientific data available to you.
(6) Any specific facts or circumstances that support or demonstrate
the need for the action you propose.
(b) In the process of considering your petition, we may ask that
you provide information or data available to you about the following:
(1) The costs and benefits of your proposed action to society in
general, and identifiable groups within society in particular.
(2) The regulatory burden of your proposed action on small
businesses, small organizations, small governmental jurisdictions, and
Indian tribes.
(3) The recordkeeping and reporting burdens of your proposed action
and whom they would affect.
(4) The effect of your proposed action on the quality of the
natural and social environments.
Sec. 11.73 How does FAA process petitions for rulemaking?
The FAA may respond to your petition for rulemaking in one of the
following ways:
(a) If we determine that your petition justifies our taking the
action you suggest, we may issue an NPRM or ANPRM. We will do so no
later than 6 months after the date we receive your petition. In making
our decision, we consider:
(1) The immediacy of the safety or security concerns you raise;
(2) The priority of other issues the FAA must deal with; and
(3) The resources we have available to address these issues.
(b) We may dismiss your petition for rulemaking in the following
circumstances:
(1) If we already have issued an ANPRM or NPRM on the subject
matter of your petition, we will consider your arguments for a rule
change as a comment in connection with the rulemaking proceeding. We
will not treat your petition as a separate action.
(2) If we already have begun a rulemaking project in the subject
area of your petition, we will consider your comments and arguments for
a rule change as part of that project. We will not treat your petition
as a separate action.
(3) If we have tasked the Aviation Rulemaking Advisory Committee
(ARAC) to study the general subject area of your petition, we may ask
the ARAC to review and evaluate your proposed action. We will not treat
your petition as a separate action.
(4) If we determine that the issues you identify in your petition
may have merit but do not address an immediate safety concern or cannot
be addressed because of other priorities and resource constraints, we
may dismiss your petition.
Sec. 11.75 Does FAA invite public comment on petitions for rulemaking?
Generally, FAA does not invite public comment on petitions for
rulemaking.
Sec. 11.77 Is there any additional information I must include in my
petition for designating airspace?
In petitions asking FAA to establish, amend, or repeal a
designation of airspace, including special use airspace, you must
include all the information specified by Sec. 11.71 and also:
(a) The location and a description of the airspace you want
assigned or designated;
(b) A complete description of the activity or use to be made of
that airspace, including a detailed description of the type, volume,
duration, time, and place of the operations to be conducted in the
area;
(c) A description of the air navigation, air traffic control,
surveillance, and communication facilities available and to be provided
if we grant the designation; and
(d) The name and location of the agency, office, facility, or
person who would have authority to permit the use of the airspace when
it was not in use for the purpose to which you want it assigned.
Sec. 11.81 What information must I include in my petition for an
exemption?
You must include the following information in your petition for an
exemption.
(a) Your name and mailing address and, if you wish, other contact
information such as a fax number, telephone number, or e-mail address.
(b) The specific section or sections of 14 CFR from which you seek
an exemption.
(c) The extent of relief you seek, and the reason you seek the
relief.
(d) The reasons why granting your request would be in the public
interest; that is, how it would benefit the public as a whole.
(e) The reasons why granting the exemption would not adversely
affect safety, or how the exemption would provide a level of safety at
least equal to that provided by the rule from which you seek the
exemption.
(f) Any additional information, views or arguments available to
support your request, and
(g) A summary we can publish in the Federal Register, stating:
(1) The rule from which you seek the exemption; and
(2) A brief description of the nature of the exemption you seek.
(h) Whether you want to exercise the privileges of your exemption
outside the United States.
Sec. 11.83 Are exemptions FAA grants under this part valid outside the
United States?
No. Exemptions FAA issues under this part normally do not apply
outside the United States. If you want to be able to use your exemption
outside the United States, you must request this when you petition for
relief. We will verify whether operating under the exemption would be
in compliance with the standards of the International Civil Aviation
Organization (ICAO). If it would not, but we still believe it would be
in the public interest to allow you to do so, we will file a difference
with ICAO.
Sec. 11.85 Does FAA invite public comment on petitions for exemption?
Yes. FAA publishes information about petitions for exemption in the
Federal Register. The information includes:
(a) The docket number of the petition;
(b) The citation to the rule or rules from which the petitioner
requested relief;
(c) The name of the petitioner;
(d) The petitioner's summary of the action requested and the
reasons for requesting it; and
(e) A request for comments to assist FAA in evaluating the
petition.
Sec. 11.87 Are there circumstances in which FAA may decide not to
publish a summary of my petition for exemption?
The FAA may not publish a summary of your petition for exemption
and request comments if you present or we find good cause why we should
not delay action on your petition. The factors we consider in deciding
not to request comment include:
[[Page 69865]]
(a) Whether granting your petition would set a precedent.
(b) Whether the relief requested is identical to exemptions granted
previously.
(c) Whether our delaying action on your petition would affect you
adversely.
(d) Whether you filed your petition in a timely manner.
Sec. 11.89 How much time do I have to submit comments to FAA on a
petition for exemption?
The FAA states the specific time allowed for comments in the
Federal Register notice about the petition. We usually allow 20 days to
comment on a petition for exemption.
Sec. 11.91 What information does FAA publish when it grants or denies
my petition for exemption?
When FAA grants or denies your petition for exemption, we publish a
summary in the Federal Register that includes:
(a) The docket number of your petition;
(b) Your name;
(c) The citation to the rules you wanted to change, or from which
you requested relief;
(d) A brief description of the general nature of the change or
relief requested;
(e) Whether FAA granted or denied the request;
(f) The date of FAA's decision; and
(g) An exemption number.
Sec. 11.101 Can I ask FAA to reconsider my petition for rulemaking or
petition for exemption if it is denied?
Yes. You may petition FAA to reconsider your petition denial. You
must submit your request to the address to which you sent your original
petition, and FAA must receive it within 60 days after we issued the
denial. For us to accept your petition, show the following:
(a) That you have a significant additional fact and why you did not
present it in your original petition;
(b) That we made an important factual error in our denial of your
original petition; or
(c) That we did not correctly interpret a law, regulation, or
precedent.
Subpart B--Paperwork Reduction Act Control Numbers
Sec. 11.201 OMB control numbers assigned pursuant to the Paperwork
Reduction Act.
[Note: The text of this section will be updated and will appear
in full in the final rule.]
Issued in Washington, DC on December 8, 1999.
Jane F. Garvey,
Administrator.
[FR Doc. 99-32273 Filed 12-13-99; 8:45 am]
BILLING CODE 4910-13-P