[Federal Register Volume 66, Number 96 (Thursday, May 17, 2001)]
[Rules and Regulations]
[Pages 27548-27550]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-12419]



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Part II





Department of Transportation





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Federal Aviation Administration



14 CFR Part 121



Flight Crewmember Flight Time Limitations and Rest Requirements; Final 
Rule

  Federal Register / Vol. 66, No. 96 / Thursday, May 17, 2001 / Rules 
and Regulations  

[[Page 27548]]


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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 121


Flight Crewmember Flight Time Limitations and Rest Requirements

AGENCY: Federal Aviation Administration, DOT.

ACTION: Notice of enforcement policy.

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SUMMARY: This notice of enforcement policy announces to the public the 
Federal Aviation Administration's (FAA's) intent to rigorously enforce 
its existing regulations governing flight crewmember rest requirements 
that are presently codified at 14 CFR 121.471. These regulations have 
been in existence since 1985, and it is the FAA's intention to ensure 
that the current rules, as interpreted, are followed by those whose 
conduct they govern. Accordingly, this notice publishes the FAA's long-
standing construction of 14 CFR 121.471 and affords notice to affected 
certificate holders and flight crewmembers of the FAA's intent to 
enforce its rules in accordance with these interpretations. This policy 
statement is being given so those affected will have an opportunity to 
review their practices and, if necessary, come into full regulatory 
compliance.

DATES: This notice of enforcement policy is effective on May 17, 2001.

FOR FURTHER INFORMATION CONTACT: Alberta Brown, Air Transportation 
Division, AFS-200, 800 Independence Avenue, SW., Washington, DC 20591; 
telephone (202) 267-8166.

SUPPLEMENTARY INFORMATION:   

The Regulation

    The Civil Aeronautics Act of 1938 (52 Stat. 1007; as amended by 62 
Stat. 1216, 49 U.S.C. 551) and subsequently the Federal Aviation Act of 
1958 (now codified at 49 U.S.C. 40101 et seq.) addressed the issue of 
regulating flight crewmember hours of service. The FAA's governing 
statute empowers and directs the Secretary of Transportation to 
establish ``regulations in the interest of safety for the maximum hours 
or periods of service of airmen and other employees of air carriers.'' 
49 U.S.C. 44701(a)(4). The statue further provides the FAA with the 
authority to prescribe ``regulations and minimum standards for other 
practices, methods, and procedures the Administrator finds necessary 
for safety in air commerce and national security.'' 49 U.S.C. 
44701(a)(5).
    The FAA's rules at 14 CFR 121.471(b) and (c) set forth flight time 
limitations and rest requirements for domestic operations. These 
provisions state:

Section 121.471--Flight time limitations and rest requirements: All 
flight crewmembers

    (b) Except as provided in paragraph (c) of this section, no 
certificate holder conducting domestic operations may schedule a 
flight crewmember and no flight crewmember may accept an assignment 
for flight time during the 24 consecutive hours preceding the 
scheduled completion of any flight segment without a scheduled rest 
period during that 24 hours of at least the following:
    (1) 9 consecutive hours of rest for less than 8 hours of 
scheduled flight time.
    (2) 10 consecutive hours of rest for 8 or more but less than 9 
hours of scheduled flight time.
    (3) 11 consecutive hours of rest for 9 or more hours of 
scheduled flight time.
    (c) A certificate holder may schedule a flight crewmember for 
less than the rest required in paragraph (b) of this section or may 
reduce a scheduled rest under the following conditions:
    (1) A rest required under paragraph (b)(1) of this section may 
be scheduled for or reduced to a minimum of 8 hours if the flight 
crewmember is given a rest period of at least 10 hours that must 
begin no later than 24 hours after the commencement of the reduced 
rest period.
    (2) A rest required under paragraph (b)(2) of this section may 
be scheduled for or reduced to a minimum of 8 hours if the flight 
crewmember is given a rest period of at least 11 hours that must 
begin no later than 24 hours after the commencement of the reduced 
rest period.
    (3) A rest required under paragraph (b)(3) of this section may 
be scheduled for or reduced to a minimum of 9 hours if the flight 
crewmember is given a rest period of at least 12 hours that must 
begin no later than 24 hours after the commencement of the reduced 
rest period.
    (4) No air carrier may assign, nor may any flight crewmember 
perform any flight time with the air carrier unless the flight 
crewmember has had at least the minimum rest required under this 
paragraph.

    In June 1999, FAA issued a notice of enforcement policy related to 
this rule. In that notice, the FAA clarified that the rules were 
applicable to all pilots operating in domestic scheduled operations. In 
December, 1999, FAA conducted a comprehensive review of air carrier 
scheduling practices and found that with one exception all operators 
were in compliance with the rule.

Interpretations of Rest Requirements

    In part in response to the FAA's earlier focus on air carrier 
compliance with the flight and rest rules, the chairman of a national 
pilots union sent the FAA a letter posing a set of circumstances and 
inquiring about the applicability of 14 CFR 121.471 (b) and (c) to 
various scenarios. The FAA issued a response that reflects the agency's 
long-standing construction of these regulatory provisions. That 
response is attached to this notice. In substance, the FAA reiterated 
that each flight crewmember must have had a minimum of 8 hours of rest 
in any 24 hour period that includes flight time. In addition, the 
interpretation reiterated that if a pilot's actual rest was less than 9 
hours in the 24 hour period that included flight time, the next rest 
period must be lengthened to provide for the appropriate compensatory 
rest. The substance of the FAA response is contained in the Appendix.
    After the interpretation was issued, many operators questioned 
whether this was consistent with earlier FAA interpretations. FAA met 
with representatives of the airlines as well as with organizations that 
represent them. At the meeting, the representatives stated that their 
approved scheduling systems had not been tracking the actual rest that 
a pilot had received in a 24-hour period that included flight time. The 
operators expressed concern that applying the rule as interpreted could 
reduce safety. They suggested that a pilot should not be diverted from 
important preflight and taxi-out duties by the need to constantly 
monitor whether he or she has had sufficient rest to finish the flight. 
They were particularly concerned about what might happen when there has 
been a lengthy ground delay and the flightcrew or the aircraft 
dispatcher determines that the flight cannot be completed within the 
rest requirements.
    FAA met with representatives of the pilots unions. The pilots 
stated that in the vast majority of cases pilots are receiving the 
amount of rest required by the rule. However, they suggested that in a 
small number of operations it was possible that when a pilot completed 
his or her assigned flight schedule, he or she may have had less than 8 
hours of rest in the preceding 24-hour period.
    To ensure that the application of the rule would have no 
consequences that would reduce safety, the FAA considered all these 
concerns and all the information provided by the operators and the 
pilot unions. Although there may be some impacts to schedules and some 
delayed operations, FAA believes that safe operations require that a 
flight crewmember has a minimum of 8 hours rest in a 24 hour period 
that includes flight time. In addition, that flight crewmember must 
receive additional rest in the next rest period to compensate for any 
potential fatigue.

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Compliance and Enforcement Plan

    The FAA intends to rigorously enforce these regulations governing 
flight time restrictions and rest requirements. Accordingly, any 
noncompliance with the regulation should be corrected without delay.
    For any air carriers that are not currently in compliance with 
these regulations, the FAA intends to take into consideration the 
certificate holder's good faith efforts to come into compliance in 
determining what, if any, enforcement action is appropriate if 
noncompliance is discovered. With regard to violations by individual 
flight crewmembers, the FAA will consider the circumstances of each 
case, including such factors as the employing certificate holder's 
effort to come into compliance and the culpability of the individual.
    While the FAA reserves the right to take appropriate action to 
address regulatory noncompliance, particularly in egregious 
circumstances, the FAA does not intend to target its inspection 
resources on this compliance issue at this time. However, this notice 
serves to advise air carriers, flight crewmembers, and the public that 
on [insert date (6 months from publication date)] the FAA intends to 
begin a comprehensive review of certificate holders' flight scheduling 
practices and expects to deal stringently with any violations 
discovered.

    Issued in Washington, DC, on May 14, 2001.
Margaret Gilligan,
Acting Associate Administrator for Regulation and Enforcement.

Appendix

    Facts: A crew is assigned reserve standby duty commencing at 
0600. They are then called at 0900 to check in for a flight 
assignment at 1100.

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                                                                                                      Look-back
                         End of rest                           Report at    Release at  Sched. rest      rest
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Day 1  0600.................................................         1100         2100        10:00         9:00
Day 2  0700.................................................         0700         1700        12:00        10:00
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    In the above example, assume that the crew was assigned to three 
segments with a total of less than 8 hours of flying in each duty 
period and that the scheduled block-in of the last flight of each 
day is 15 minutes prior to release. This original schedule does not 
require compensatory rest. I note, preliminarily, that your letter 
states that I should assume that the flight crew ``was assigned to 
three segments with a total of less than 8 hours of flying in each 
duty period.'' I assume that by that statement you mean ``less than 
a total of 8 hours of scheduled flight time for the three flight 
segments, on both Day 1 and Day 2.'' Based on that assumption, the 
regulations that I will apply are those that require a minimum of 9 
consecutive hours of scheduled rest (section 121.471(b)(1)) that may 
be reduced to a minimum of 8 hours with a minimum of 10 hours 
compensatory rest that must begin no later than 24 hours after the 
commencement of the reduced rest (section 121.471(c)(1) (the 
``reduced/compensatory rest'' exception)). I have also made other 
assumptions or clarifications that are described in my responses 
below.
    Situation 1: On Day 1, all goes according to plan on the first 
two segments. However, after leaving the gate on the third segment, 
the crew encounters an unanticipated ground delay that results in 
only an 8 hour, 45 minutes look-back rest period upon termination at 
destination.
    1. Is compensatory rest now required upon landing?
    Response: You do not provide specific details on what is the 
termination time of the last flight segment. (I assume that by 
``termination at destination'' you mean the ``termination of the 
last flight segment.'') However, you state, above, that the flight 
crew would only receive an 8 hours and 45 minutes look-back rest 
period. I therefore assume that the termination of that last flight 
segment, based on the other factual details you provide above, was 
at 2115. Looking back 24 hours from 2115 on Day 1 to 2115 on the day 
prior to Day 1, one finds only 8 and three quarters consecutive 
hours of rest in the period 2115 (of the day prior to Day 1) to 0600 
hours (on Day 1).
    The only situation in which a certificate holder may reduce the 
minimum 9 hour required rest period is to utilize the ``reduced/
compensatory rest'' exception that allows certificate holders the 
flexibility to adjust scheduled rests in the event of late arrivals. 
Thus, a certificate holder may reduce the required scheduled rest so 
that one finds a minimum look-back rest of 8 consecutive hours on 
termination of the last flight segment, as well as provide the 
required compensatory rest. In your scenario, the certificate holder 
could reduce the required minimum 9 consecutive hours of scheduled 
rest to 8 and three-quarters hours.\1\ However, the certificate 
holder must also provide the flight crewmember with a compensatory 
rest period of at least 10 hours that must begin no later than 24 
hours after commencement of the reduced rest period. In your 
scenario, that compensatory rest must begin at 2115 on Day 1, since 
the reduced rest begins at 2115 on the day before Day 1.
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    \1\ I note that the certificate holder could reduce the 
scheduled rest to a minimum of 8 hours.
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    2. In the case of a ground delay prior to take-off, would the 
crew and certificate holder be correct in using planned flight time 
and taxi-in time in determining the scheduled arrival time?
    Response: The FAA requires the crew and the certificate holder 
to use the actual expected flight time and taxi-in time, based on 
the specific conditions that exist on the day, to determine the 
scheduled arrival time for purposes of determining whether a flight 
should be commenced. For example, if an airline has published a 
flight time of three hours, but knows that the actual time the 
flight will take is four hours because of weather, ground delays, 
etc., then the FAA requires the carrier to use four hours for 
purposes of calculating the arrival time. On the other hand, if the 
air carrier has scheduled a flight for three hours, but on the day 
in question, it is reasonable to conclude that flight time would 
only be two and a half hours, the carrier may use two and a half 
hours to calculate the arrival time.
    3. If the ground delay continues to the point that the look-back 
rest is reduced below 8 hours, can the crew continue? If so, what 
are the rest requirements upon arrival?
    Response: The flight may not take off if the look-back rest 
period is reduced to less than 8 hours. There must be at least an 
eight-hour look-back rest period. The eight-hour minimum reduced 
rest may not be further reduced under any circumstance.
    4. If a ground delay, that would result in a late arrival that 
would not provide at least 8 hours of look-back rest is known by the 
certificate holder and/or crew prior to gate departure, can the crew 
depart legally based upon the published scheduled flight time?
    Response: No. As stated above, the FAA requires the crew and the 
certificate holder to use the actual expected flight time and taxi-
in time, based on the specific conditions that exist on the day, to 
determine the scheduled arrival time for purposes of determining 
whether a flight should be commenced. If the actual expected flight 
time is longer than the carrier originally calculated in determining 
the scheduled arrival time, then the actual expected flight time 
must be used in determining the look-back rest period.
    Situation 2. On Day 1, the crew is late inbound on the second 
segment which results in not being able to leave the gate on the 
third and last segment on time. As a result, the look-back would now 
provide 8 hours and 45 minutes rest in the previous 24, based on the 
scheduled duration of the final segment.
    1. Is compensatory rest now required upon arrival?
    Response: Yes. Compensatory rest would be required upon arrival 
at the third destination. See the discussion in my response to 
question 1 of Situation 1 above.
    2. If the crew were further delayed so that they could not 
depart to provide at least 8 hours of look-back rest upon arrival, 
could they depart legally?

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    Response: No. If, when using the actual expected flight time, 
the carrier cannot find at least 8 hours of look-back rest upon 
arrival, then the flight may not depart, under the FAA regulations. 
See my response to question 3 of Situation 1 above.
    3. If there is a known ground stop for the destination of the 
final segment, which would result in look-back rest of only 7 hours 
and 45 minutes, can the crew legally leave the gate? If they are off 
the gate when the ground stop occurs, can they continue?
    Response: If it is known, or reasonably should be known, that 
the flight time will be extended because of ground stops at the 
destination airport, then this information must be included in 
determining the actual expected flight time. If, when this 
information is factored in, it is known or should be known that 
arrival based upon the actual expected flight time will not result 
in at least 8 hours of look-back rest, then the flight may not leave 
the gate. If the flight is away from the gate, but is not yet in the 
air, then the flight may not take off. If the ground stops at the 
destination airport do not become known until after the flight is in 
the air, the FAA will not, as a matter of enforcement policy, take 
enforcement action against the flight crewmember or the certificate 
holder for a violation of the regulations, provided the ground stops 
at the destination airport are an unforeseen delay beyond the 
control of the certificate holder and the full, required minimum 
reduced rest and the compensatory rest are given at the completion 
of the flight segment.
    4. Should the scheduled arrival time in 3 above be based upon 
published scheduled flight time or flight planned duration (flight 
time plus taxi time)?
    Response: Arrival time in 3 above should be based on flight 
planned duration, i.e., the actual expected flight time based on the 
conditions existing on the day in question. Also, I am not sure what 
you mean by ``published scheduled flight time.'' If you mean 
scheduled flight time as published in the Official Airline Guide 
(OAG), such flight time may be unrealistically high. Sometimes a 
certificate holder might overestimate the duration of a flight in 
order to have some cushion in the schedule and be able to report an 
on-time arrival. The actual realistic flight time (block to block 
time) may be less than such ``published scheduled flight time'' in 
the OAG.
    5. Would the reason for the crew being late on the second flight 
(beyond the control of the air carrier or not) have any bearing on 
the rest requirement?
    Response: I assume that your question is whether section 
121.471(g) (the ``circumstances beyond the control of the 
certificate holder'' exception) excuses a rest violation. No. That 
exception applies only to the scheduling of flight time. It is 
inapplicable to, and does not excuse, a violation of a rest 
requirement. Also see my response to question 1 of Situation 1 in 
which I discuss the use of the ``reduced/compensatory rest'' 
exception, its purpose, and compliance with its terms.
    Situation 3: On Day 1, one of the carrier's hubs is impacted by 
a weather system in the morning. As a result, the carrier decides to 
delay all remaining departure times that day out of the hub.
    1. If a departure so delayed would result in a crew having look-
back rest of less than 9 hours, would compensatory rest be required?
    Response: Yes. (I assume that the look-back rest, which is less 
than 9 hours, would still be at least 8 hours.)
    2. If the delay resulted in a crew having look-back rest of less 
than 8 hours, could a crew legally depart?
    Response: No. The FAA would consider this flight to be in 
violation of the regulations.
    Situation 4. The crew and air carrier know, prior to departure, 
that forecast winds or enroute weather are resulting in a flight 
plan for that segment that exceeds the normal duration published in 
the carrier's schedules.
    1. Can the crew legally depart if the scheduled arrival time 
based on the flight plan would encroach upon or delay the required 
start of a compensatory rest period?
    Response: I assume that the questions for Situation 4 relate to 
Day 1 and to the last flight segment. I am not sure what you mean by 
``published in the carrier's schedules.'' See my response to 
question 4 in Situation 3 above. If you mean that the crew and 
certificate holder know, prior to take-off, that en route weather 
conditions will result in the flight taking longer than expected, 
then my answer is as follows. Even if the expected termination of 
the last flight segment would allow a minimum 8 consecutive hours 
look-back rest period, if the crew and certificate holder expect, 
prior to take-off, that the flight will infringe on the required 
start of the compensator rest period, the crew may not legally 
depart. Thus, although the actual flight time might exceed flight 
time limits and although exceeding flight time limits in these 
circumstances would be allowed under the ``circumstances beyond the 
control of the certificate holder'' exception, that exception does 
not permit an encroachment on reduced rest or compensatory rest 
below the minimums specified in the regulations.
    2. If the original crewmember's schedule did not require 
compensatory rest, would compensatory rest be required if the 
scheduled arrival based upon the flight plan information resulted in 
the crewmember having less than 9 hours of look-back rest upon 
arrival?
    Response: If, upon termination of the last segment, the look-
back rest was actually less than 9 hours, then compensatory rest is 
required regardless of the scheduled arrival.
    3. If the original crewmember's schedule did not require 
compensatory rest, would the crewmember be legal to depart if the 
scheduled arrival based upon the flight plan information resulted in 
the crewmember having less than 8 hours of look-back rest upon 
arrival?
    Response: No. If, at the time of departure, it is calculated 
that a pilot will have less than 8 hours of look-back rest upon 
termination of the last flight segment, then the flight may not take 
off. The intention to give compensatory rest may not be used to 
permit a pilot to take a flight when it is known at the beginning of 
the flight that the pilot will have less than 8 hours of look-back 
rest upon termination of the last flight segment.
[FR Doc. 01-12419 Filed 5-14-01; 2:00 pm]
BILLING CODE 4910-13-M