[Federal Register Volume 68, Number 16 (Friday, January 24, 2003)]
[Proposed Rules]
[Pages 3778-3784]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-1601]



[[Page 3777]]

-----------------------------------------------------------------------

Part VIII





Department of Transportation





-----------------------------------------------------------------------



Federal Aviation Administration



-----------------------------------------------------------------------



14 CFR Parts 71, et al.



Special Operating Rules for the Conduct of Instrument Flight Rules 
(IFR) Area Navigation (RNAV) Operations Using Global Positioning 
Systems (GPS) in Alaska; Proposed Rule

  Federal Register / Vol. 68, No. 16 / Friday, January 24, 2003 / 
Proposed Rules  

[[Page 3778]]


-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Parts 71, 91, 95, 121, 125, 129, and 135

[Docket No. FAA-2003-14305; Special Federal Aviation Regulation No. 97]
RIN 2120-AH93


Special Operating Rules for the Conduct of Instrument Flight 
Rules (IFR) Area Navigation (RNAV) Operations Using Global Positioning 
Systems (GPS) in Alaska

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

-----------------------------------------------------------------------

SUMMARY: Under this Special Federal Aviation Regulation, the FAA 
proposes to allow the use of Global Positioning System/Wide Area 
Augmentation Systems for the en route portion of flights on routes in 
Alaska outside the operational service volume of ground based 
navigation aids. The use of aircraft navigation equipment other than 
area navigation systems, that only permit navigation to or from ground-
based navigation stations, often results in less than optimal routes or 
instrument procedures and an inefficient use of airspace. This SFAR 
would optimize routes and instrument procedures and provide for a more 
efficient use of airspace. Further, it would result in an associated 
increase in flight safety.

DATES: Send your comments on or before February 24, 2003.

ADDRESSES: Address your comments to the Docket Management System, U.S. 
Department of Transportation, Room Plaza 401, 400 Seventh Street, SW., 
Washington, DC 20590-0001. You must identify the docket number, FAA-
2003-14305, at the beginning of your comments, and you should submit 
two copies of your comments. If you wish to receive confirmation that 
the FAA 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 
a.m. and 5 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 W. Streeter, Flight 
Technologies and Procedures Division (AFS-400), Federal Aviation 
Administration, 800 Independence Avenue SW., Washington, DC 20591; 
telephone: (202) 385-4567; e-mail: [email protected].

SUPPLEMENTARY INFORMATION:

Comments Invited

    The FAA invites interested persons to participate in this 
rulemaking by submitting written comments, data, or views. We also 
invite comments relating to the economic, environmental, energy, or 
federalism impacts that might result from adopting the proposals in 
this document. The most helpful comments reference a specific portion 
of the proposal, explain the reason for any recommended change, and 
include supporting data. We ask that you send us two copies of written 
comments.
    We will file in the docket all comments received, as well as a 
report summarizing each substantive public contact made with FAA 
personnel concerning this proposed rulemaking. The docket is available 
for public inspection before and after the comment closing date. If you 
wish to review the docket in person, go to the address in the ADDRESSES 
section of this preamble between 9 a.m. and 5 p.m., Monday through 
Friday, except Federal holidays. You may also review the docket using 
the Internet at the web address in the ADDRESSES section.
    Before acting on this proposal, we will consider all comments 
received on or before the closing date for comments. We will consider 
comments filed late if it is possible to do so without incurring 
expense or delay. We may change this proposal in light of the comments 
received.
    If you want the FAA to acknowledge receipt of your comments on this 
proposal, include with your comments a pre-addressed, stamped postcard 
on which the docket number appears. We will stamp the date on the 
postcard and mail it to you.

Availability of Rulemaking Documents

    You can get an electronic copy of rulemaking documents through the 
Internet by:
    (1) Searching the Department of Transportation's electronic Docket 
Management System (DMS) Web page (http://dms.dot.gov/search);
    (2) Visiting the Office of Rulemaking's Web page at http://www.faa.gov/avr/armhome.htm; or
    (3) Accessing the Federal Register's Web page at http://www.access.gpo.gov/su_docs/aces/aces140.html.
    You also can get a copy 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. Make 
sure to identify the docket number or notice number of this rulemaking.

Background

    Aviation is critical to Alaska for routine travel and commerce, and 
for nearly any kind of emergency. Only 10% of Alaska is accessible by 
road, and waterways are impassable most of each year. Alaska also is 
very large and crisscrossed by mountains that block radio and radar 
transmissions so that aviation services and infrastructure that are 
available in the 48 contiguous states are not available in many areas 
of Alaska. Aviation is essential to Alaska, but there also is a safety 
consequence of operating in this environment: The aviation accident 
rate for rural Alaska is 2.5 times the average for the rest of the 
United States. While approximately 20 airports in Alaska are serviced 
by large turbine and jet aircraft, scheduled and unscheduled air 
carrier service using single or light-twin engine aircraft that are 
often limited to visual flight rules operations is provided to 
approximately 1000 other airports and landing areas. Pilots operating 
these flights often face weather hazards--fog, ice-fog, white-out or 
flat-light conditions that are localized and change rapidly. Weather 
information is limited; there are few navigational aids; and radar 
coverage is largely unavailable below 5,000 feet. Areas of intense 
icing and short distances between destinations often keep flight 
operations below 2,000 feet.
    The Capstone Program is a joint initiative by the FAA Alaskan 
Region and the aviation industry to improve safety and efficiency in 
Alaska by using new technologies. Derived from the National 
Transportation Safety Board (NTSB) and industry recommendations, 
Capstone was congressionally funded in October 1998, and under the FAA 
Acquisition and Management System, operations and maintenance funding 
will begin in 2004.
    Capstone Phase I focuses on southwest Alaska (the Yukon and 
Kuskokwim River Delta--YK Delta), which is isolated, has limited 
infrastructure, and has the same high rate of aviation accidents 
experienced in the rest of the state. Under Capstone, installation of 
advanced avionics in the YK Delta aircraft began in November 1999 and 
expansion of ground infrastructure and data collection will continue 
through December 2004. An interim analysis by the University of

[[Page 3779]]

Alaska and The MITRE Corporation Center for Advanced Aviation System 
Development indicates a 40 percent reduction in aircraft accidents that 
are instrument flight rules equipped under the Capstone program verses 
aircraft that are unequipped.
    Relying on lessons learned during Phase I, Capstone Phase II is 
beginning in southeast Alaska. A more robust set of avionics, that 
include Global Positioning Systems/Wide Area Augmentation Systems (GPS/
WAAS), is being deployed that aims at further reduction of controlled 
flight into terrain and mid-air collision accidents. In addition, 
instrument flight rules (IFR) area navigation (RNAV) procedures are 
being introduced that enable participants to conduct IFR operations on 
published routes, improving overall safety and capacity.
    Area navigation (RNAV) systems used in most aircraft operations 
consist of a navigation computer, a coded database containing preloaded 
ground-based navigational aids, instrument approach procedures, 
standard departure procedures, and standard arrival routes to certain 
terminal areas. The navigation computer can also be manually loaded to 
input the latitude and longitude of certain fixes defining an area 
navigation route. RNAV systems also have the capability of processing 
transmitted signals from various kinds of navigation aids to 
continuously update the accuracy of the navigation computer in the 
lateral and vertical modes of operation. Unlike aircraft very high 
frequency omnidirectional range (VOR) navigation systems, for example, 
RNAV systems can be programmed to navigate directly to any geographic 
reference point (latitude and longitude) on the earth without having to 
navigate to or from ground-based VOR stations over published routes 
that are defined by ground-based VOR stations.
    The current operating rules under the Federal Aviation Regulations 
in title 14 of the Code of Federal Regulations (14 CFR) do not 
accommodate the use of GPS/WAAS technology for IFR RNAV outside the 
operational service volume of ground-based navigation aids. This SFAR 
would allow the timely approval of approximately 200 aircraft that are 
being equipped under Capstone Phase II to conduct IFR RNAV operations 
using GPS/WAAS navigation systems. Additionally, this SFAR would 
provide the opportunity for air carrier and general aviation operators, 
other than those participating in the Capstone Program, to voluntarily 
equip aircraft with advanced GPS/WAAS avionics that are manufactured, 
certified, and approved for IFR RNAV operations.

Statement of the Problem

    A significant number of mid-air collisions, controlled flight into 
terrain, and weather-related accidents occur in Alaska. These accidents 
can be significantly reduced by the use of new aircraft navigation 
technologies such as GPS/WAAS IFR RNAV systems. However, operating 
rules under the current FAA regulations do not fully accommodate the 
use of GPS/WAAS technology for IFR RNAV operations. While a review of 
national operating rules continues in order to fully accommodate RNAV 
operations for the National Airspace System (NAS), a timely SFAR needs 
to be issued because initial GPS/WAAS avionics equipage is scheduled in 
Alaska between December 2002 and April 2003 under the FAA Capstone 
Phase II Program.

NTSB Recommendation: Recommendation A-95-121 From NTSB Safety Study

    In 1995, the NTSB conducted a study (NTSB Safety Study--Aviation 
Safety in Alaska, NTSB/SS-95/03, November 1995) to examine ``Alaska's 
current aviation environment and air transportation activities, to 
identify the associated risk factors and safety deficiencies, and to 
recommend practical measures for managing the risks to safe flight 
operations given the reality of Alaska's aviation environment and the 
potential of new technologies.'' The following is a NTSB recommendation 
(A-95-121) from this safety study that substantiates the need for this 
SFAR.

    Implement, by December 31, 1997, a model program in the Arctic 
and southeast regions of Alaska to demonstrate a low altitude 
instrument flight rules (IFR) system that better fulfills the needs 
of Alaska's air transportation system. The model should include the 
following components:
    (1) The use of the global positioning system (GPS) as a sole 
source of navigational information for en route navigation and for 
nonprecision instrument approaches at a representative number of 
airports where instrument approaches do not currently exist. 
(Operators participating in the program will have to be allowed to 
conduct these operations without the integrity monitoring functions 
of the wide area augmentation system (WAAS) until WAAS is fully 
implemented in the demonstration region.)
    (2) The use of satellite-based voice communications and 
satellite-based, Mode S, or VHF data link (for aircraft position and 
altitude) between aircraft in flight and air traffic controllers.
    (3) The operation of commercial, passenger-carrying flight under 
IFR in turbine-powered single-engine airplanes equipped with 
redundant sources of electrical power and gyroscopic instrument 
vacuum/pressure.
    (4) The use of currently uncontrolled airspace for IFR 
departures, en route flight, and instrument approaches in the 
demonstration program region. (Class II, Priority Action) (A-95-
121).

    Reference Material: (1) Technical Standard Order (TSO) C145a, 
Airborne Navigation Sensors Using The Global Positioning System (GPS) 
Augmented By The Wide Area Augmentation System (WAAS); and (2) TSO 
C146a, Stand-Alone Airborne Navigation Equipment Using The Global 
Positioning System (GPS) Augmented By The Wide Area Augmentation System 
(WAAS). Copies of these TSOs may be obtained from the FAA Internet Web 
site at http://www.faa.gov/certification/aircraft/TSOA.htm.

Related Activity

    The FAA is conducting a thorough review of its rules to ensure 
consistency between the operating rules of 14 CFR and future RNAV 
operations for the NAS. That rulemaking, when proposed and promulgated, 
should enable the use of space-based navigation aid sensors for 
aircraft RNAV systems through all phases of flight (departure, en 
route, arrival, and approach) to enhance the safety and efficiency of 
the NAS. The changes anticipated would result in greater flexibility in 
air traffic routing, instrument approach procedure design, and airspace 
use than is now possible with a ground-based navigation aid system 
structure. The improved navigation accuracy and flexibility would 
enhance both system capacity and overall flight safety, and would 
promote the ``free flight'' concept in the NAS by enabling the NAS to 
move away from reliance on ground-based NAVAIDs. This SFAR supports 
this activity as an early implementation effort.

Contrary Provisions of the Current Regulations

    People who conduct operations in Alaska in accordance with this 
SFAR would be excepted from certain provisions of the FAA's 
regulations. For instance:
    14 CFR 71.75. Extent of Federal airways. The extent of Federal 
airways is currently referenced as a center line that extends from one 
navigational aid or intersection to another navigational aid or 
intersection specified for that airway. This SFAR allows the Federal 
airway and other routes published by the FAA to be referenced and 
defined by one or more fixes that are contained in an RNAV system's 
electronic database that is derived from GPS satellites and used by the 
pilot to accurately fly the Federal airway or other published

[[Page 3780]]

routes without reference to the ground based navigational aids that 
defines those routes.
    14 CFR 91.181. Course to be flown. Section 91.181 defines courses 
to be flown along Federal airways that are only referenced to station 
referenced navigational aids or fixes defining that route. This SFAR 
would allow courses to be flown on Federal airways and other published 
routes that are defined by waypoints or fixes contained in a GPS WAAS 
navigation system that is certified for IFR navigation.
    14 CFR 91.205(d)(2). Powered civil aircraft with standard category 
U.S. airworthiness certificates: Instrument and equipment requirements. 
Section 91.205(d)(2) states that navigational equipment appropriate to 
the ground facilities to be used is required for IFR operations and 
does not include RNAV equipment. Under this SFAR, operations can be 
conducted using navigation equipment that is not dependent on 
navigating only to and from ground-based radio navigation stations.
    14 CFR 91.711(c)(1)(ii) and 91.711(e). Special rules for foreign 
civil aircraft. Section 91.711(c)(1)(ii) requires foreign civil 
aircraft operating within the United States and conducting IFR 
operations to be equipped with radio navigational equipment appropriate 
to the navigational signals to be used and does not accommodate the use 
of RNAV systems for instrument flight rules operations. Section 
91.711(e) states that no person may operate a foreign civil aircraft 
within the 50 states and the District of Columbia at or above flight 
level (FL) 240 unless the aircraft is equipped with distance measuring 
equipment (DME) capable of receiving and indicating distance 
information from the VORTAC facilities to be used. Although an IFR 
approved RNAV system provides distance information, this section does 
not allow the use of an RNAV system in lieu of DME.
    14 CFR 95.1. Applicability. Part 95 prescribes altitudes governing 
the operation of aircraft under IFR on Federal airways, jet routes, 
area navigation low or high routes, or other direct routes for which a 
minimum enroute altitude (MEA) is designated. In addition, it 
designates mountainous areas and changeover points. In general, the IFR 
altitudes prescribed in this section are determined by a route analysis 
based on the following factors: (1) An obstacle clearance assessment; 
(2) the lowest altitude at which the aircraft radio navigation 
receivers are able to receive the ground-based radio navigation fixes 
defining the airway, segment or route; and (3) the lowest altitude at 
which two-way voice communication between the aircraft and the air 
traffic control unit can be maintained. No accommodation is made for 
IFR altitudes determined by the above route analysis factors over 
routes that may be defined by fixes other than ground-based navigation 
aid fixes. Under this SFAR, operators using IFR certified GPS/WAAS RNAV 
systems would be permitted to conduct operations over routes in Alaska 
at the lowest minimum en route altitude based only on route obstacle 
assessments and ATC two-way voice communication capability. This MEA is 
defined as the ``special MEA'' for purposes of this SFAR to distinguish 
it from MEAs established under part 95.
    14 CFR 121.349(a). Radio equipment for operations under VFR over 
routes not navigated by pilotage or for operations under IFR or over-
the-top. Section 121.349(a) requires airplanes to be equipped with two 
independent radio navigation systems that are able to receive radio 
navigational signals from all primary en route and approach 
navigational facilities intended to be used. This section does not 
allow, nor does any other section of part 121, allow the use of RNAV 
GNSS for IFR navigation on Federal airways and other routes. This SFAR 
allows the use of IFR-certified RNAV GPS/WASS systems for IFR 
navigation.
    14 CFR 125.203(b) and (c). Radio and navigational equipment. These 
sections state that no person may operate an airplane over-the-top or 
under IFR unless it has two independent receivers for navigation that 
are able to receive radio signals from the ground facilities to be used 
and which are capable of transmitting to, and receiving from, at any 
place on the route to be flown, at least one ground facility. These 
sections do not allow the use of RNAV GNSS for IFR navigation for any 
airplanes conducting IFR operations under part 125 in the NAS. This 
SFAR would allow for the use of IFR-certified RNAV GPS/WAAS systems for 
IFR navigation.
    14 CFR 129.17(a) and (b). Radio Equipment. Sections 129.17(a) and 
(b) state that subject to the applicable laws and regulations governing 
ownership and operation of radio equipment, each foreign air carrier 
shall equip its aircraft with such radio equipment as is necessary to 
properly use the air navigation facilities. This section does not 
include or allow IFR RNAV GNSS to be used for air navigation on Federal 
airways or other published routes. This SFAR would allow the use of 
IFR-certified RNAV GPS/WAAS systems for air navigation on Federal 
airways or other published routes.
    14 CFR 135.165. Radio and navigational equipment: Extended 
overwater or IFR operations. Section 135.165 excludes turbojet 
airplanes with 10 or more passenger seats, multiengine airplanes in a 
commuter operations, as defined under 14 CFR part 119, and other 
aircraft from conducting IFR or extended overwater operations unless 
they have a minimum of two independent receivers for navigation 
appropriate to the facilities to be used that are capable of 
transmitting to, and receiving from, at any place on the route to be 
flown, at least one ground facility. Since IFR-certified RNAV GPS/WAAS 
systems do not receive navigation position information from ground 
facilities, they would not be acceptable for navigation based on this 
section. This SFAR would allow the use of IFR-certified RNAV GPS/WAAS 
systems in lieu of aircraft navigation equipment that is used to 
navigate to and from ground-based navigation facilities.

Section-by-Section Discussion of the Proposal

SFAR No. 97--Special Operating Rules for the Conduct of Instrument 
Flight Rules (IFR) Area Navigation (RNAV) Operations Using Global 
Positioning Systems (GPS) in Alaska

    Section 1. Purpose, use and limitations. The purpose of Section 1 
is to define the specific GNSS equipment that is authorized for IFR 
RNAV operations on Federal airways and other published routes in the 
airspace in the state of Alaska. This section also states that the SFAR 
can be used for U.S. and foreign operations conducted under part 91 
over Alaska, as well as operations conducted by part 119 or part 125 
certificate holders and part 129 operations specifications holders, 
commercial, and certificated air carrier operators.
    Section 2. Definitions and abbreviations. The purpose of Section 2 
is to define specific terms that are used in this SFAR. These 
definitions and abbreviations are specific to this SFAR. Some of these 
definitions may not be defined or consistent with similar definitions 
in the current Federal Aviation Regulations.
    For the purposes of this SFAR, the definition of ``area navigation 
(RNAV)'' is broadened by removing the words ``station-referenced 
navigation signals,'' which refer to ground-based signals, and adding 
the words ``flight path'' to cover operations in both the lateral and 
vertical planes (i.e., lateral navigation (LNAV) and vertical 
navigation (VNAV)).

[[Page 3781]]

    To distinguish MEAs that are established by ground-based navigation 
aids versus MEAs that are established outside the operational service 
volume of ground-based navigation aids, the terms ``standard MEA'' and 
``special MEA'' are included. As discussed earlier under 14 CFR part 
95, the lowest altitude that an aircraft under IFR may be operated is 
determined by, among other things, the lowest altitude at which the 
aircraft radio navigation receivers are able to receive ground-based 
radio navigation fixes defining the airway segment or route. For 
purposes of this SFAR, this MEA is referenced as the ``standard MEA.'' 
Operators in Alaska using IFR certified GPS/WAAS RNAV systems (as set 
forth in the definition of ``required navigation system''), however, 
would be permitted to conduct operations over routes in or near Alaska 
based on route obstacle assessments and ATC two-way voice communication 
capability. This MEA may be lower than the ``standard MEA'' for 
purposes of this SFAR.
    Section 3. Operational requirements. The purpose of Section 3 is to 
establish personnel training and qualifications, and GPS/WAAS 
performance and signal requirements necessary for operational approval 
to conduct IFR RNAV operations. This section allows operators subject 
to this SFAR to operate over routes where the MEA for a route or route 
segment is lower for GPS/WAAS IFR RNAV-equipped aircraft than the MEA 
for operators equipped only with VOR navigation systems. This 
flexibility would allow those GPS/WAAS IFR RNAV-equipped operators to 
conduct operations at the lowest permissible altitude in an attempt to 
avoid in-flight icing conditions.
    Air carrier operators are required to establish training 
curriculums that must be reviewed, validated, and approved by the FAA 
prior to being authorized to conduct IFR RNAV operations for the en 
route portion of flight at MEAs outside the service volume of ground-
based navigation aids under this SFAR. Title 14 CFR part 91 operators 
also are required to receive training prior to conducting IFR RNAV 
operations under this SFAR. The part 91 operator is responsible to 
ensure this training is accomplished. Training programs may be provided 
by the GPS WAAS avionics manufacturer/distributor. Training material 
also may be obtained from the FAA Capstone Program Office in Anchorage 
Alaska.
    Section 3 also requires all operators to use authorized procedures 
for normal, abnormal, and emergency situations unique to these 
operations, including degraded navigation capabilities, and satellite 
system outages. Detailed guidance material for these procedures will be 
provided in the IFR regional supplemental (e.g., pre-flight planning 
consideration of satellite outages, operational procedures for the loss 
of RNAV during the operation).
    Section 4. Equipment Requirements. The purpose of Section 4 is to 
establish the minimum GPS/WAAS equipment requirements for IFR RNAV 
operations. TSO C145a and TSO C146a GPS WAAS navigation systems are the 
systems authorized to be used as the only means of navigation on 
Federal airways and other published routes outside the operational 
service volume of ground based navaids in Alaska. The MEA's for these 
routes will be depicted on the published Low Altitude and High Altitude 
En Route Charts and depicted as a MEA-G. For example, a GPS MEA of 4000 
feet MSL would be depicted using a blue color as: 4000G.
    Section 5. Expiration date. The purpose of Section 5 is to 
establish the time period that this SFAR remains in effect. This SFAR 
would remain in effect until cancelled or revised.

Parts 71, 95, 121, 125, 129, and 135--Amended

    A note would be also added to parts 71, 95, 121, 125, 129, and 135 
to cross reference SFAR No. 97, the full text of which would appear in 
part 91.

Paperwork Reduction Act

    The Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)) requires 
that the FAA consider the impact of paperwork and other information 
collection burdens imposed on the public. The FAA has determined that 
there are no current new information collection requirements associated 
with this proposed rule.

International Compatibility

    In keeping with U.S. obligations under the Convention on 
International Civil Aviation, it is FAA policy to comply with 
International Civil Aviation Organization (ICAO) Standards and 
Recommended Practices to the maximum extent practicable. The FAA has 
determined that there are no ICAO Standards and Recommended Practices 
that correspond to these proposed regulations.

Economic Evaluation

    Proposed changes to Federal regulations must undergo several 
economic analyses. First, Executive Order 12866 directs each Federal 
agency to propose or adopt a regulation only upon a reasoned 
determination that the benefits of the intended regulation justify its 
costs. Second, the Regulatory Flexibility Act of 1980 requires agencies 
to analyze the economic impact of regulatory changes on small entities. 
Third, the Trade Agreements Act (19 U.S.C. 2531-2533) prohibits 
agencies from setting standards that create unnecessary obstacles to 
the foreign commerce of the United States. In developing U.S. 
standards, the Trade Agreements Act requires agencies to consider 
international standards, and, where appropriate, that they be the basis 
for U.S. standards. Fourth, the Unfunded Mandates Reform Act of 1995 
(Pub. L. 104-4) requires agencies to prepare a written assessment of 
the costs, benefits, and other effects of proposed or final rules that 
include a Federal mandate likely to result in the expenditure by State, 
local, or tribal governments, in the aggregate, or by the private 
sector, of $100 million or more annually (adjusted for inflation).
    In conducting these analyses, the FAA determined that this proposed 
rule: (1) Would generate benefits and not impose any costs, is not a 
``significant regulatory action'' as defined in section 3(f) of 
Executive Order 12866, and is not ``significant'' as defined in DOT's 
Regulatory Policies and Procedures; (2) would not have a significant 
economic impact on a substantial number of small entities; (3) would 
not constitute a barrier to international trade, and does not impose an 
unfunded mandate on state, local, or tribal governments, or on the 
private sector.
    For regulations with an expected minimal impact, the above-
specified analyses are not required. The Department of Transportation 
Order DOT 2100.5 prescribes policies and procedures for simplification, 
analysis, and review of regulations. If it is determined that the 
expected impact is so minimal that the proposal does not warrant a full 
evaluation, a statement to that effect and the basis for it is included 
in proposed regulation. This proposed rule would allow the use of GSP/
WAAS for IFR RNAV procedures by locally based aircraft that are 
equipped under the Alaska Capstone Phase II test and evaluation 
program. Because there is no cost to the participants for the equipment 
or training, the expected outcome is expected to have a minimal impact 
on the flying public in Alaska. This proposed SFAR would also provide 
the opportunity for other air carrier and general aviation operators to 
voluntarily equip and train their personnel at their own expense. The 
decision to incur these costs would be gauged against the safety and 
efficiency benefits accruing

[[Page 3782]]

from IFR RNAV use of GPS/WAAS technology. The FAA requests comments 
with supporting justification regarding the FAA determination of 
minimal impact.
    Regarding benefits, the adoption of this proposal would implement 
the National Transportation Safety Board's recommendation ``to 
demonstrate a low altitude instrument flight rules (IFR) system that 
better fulfills the needs of Alaska's air transportation system.'' \1\ 
An interim assessment of the safety impact of Capstone Phase 1 test 
program found that ``while the rates of accidents for specific causes 
have not changed in a way that is statistically significant yet, the 
over-all accident counts for the equipped and non-equipped groups were 
different: 12 accidents for non-equipped versus 7 for equipped even 
though each had nearly identical operations counts.'' \2\ In addition 
to the anticipated safety benefits, the proposed rule might result in 
cost savings. The use of IFR RNAV equipment permits the use of more 
direct and therefore shorter routes, and aircraft using RNAV equipment 
may require less fuel and time to reach their destinations. The FAA has 
established a number of test routes throughout the United States and 
some airlines have estimated annual cost savings in excess of $30 
million dollars due to flying these advanced RNAV routes.\3\ The FAA 
finds that the potential safety benefits and cost savings justify the 
adoption of this proposed rule. The FAA seeks public comments regarding 
these benefits and cost savings.
---------------------------------------------------------------------------

    \1\ Aviation Safety In Alaska (NTSB/SS-95/03) November 1995 page 
77.
    \2\ The Safety Impact of Capstone Phase 1 (W. Worth Kirkman, 
Mitre) August 2002 page 15.
    \3\ 2001 ACE Plan, Building Capacity.
---------------------------------------------------------------------------

Regulatory Flexibility Determination

    The Regulatory Flexibility Act of 1980 (RFA) establishes ``as a 
principle of regulatory issuance that agencies shall endeavor, 
consistent with the objective of the rule and of applicable statutes, 
to fit regulatory and informational requirements to the scale of the 
business, organizations, and governmental jurisdictions subject to 
regulation.'' To achieve that principle, the RFA requires agencies to 
solicit and consider flexible regulatory proposals and to explain the 
rationale for their actions. The RFA covers a wide-range of small 
entities, including small businesses, not-for-profit organizations and 
small governmental jurisdictions.
    Agencies must perform a review to determine whether a proposed or 
final rule would have a significant economic impact on a substantial 
number of small entities. If the agency determines that it will, the 
agency must prepare a regulatory flexibility analysis as described in 
the RFA. However, if an agency determines that a proposed or final rule 
is not expected to have a significant economic impact on a substantial 
number of small entities, section 605(b) of the RFA provides that the 
head of the agency may so certify and a regulatory flexibility analysis 
is not required. The certification must include a statement providing 
the factual basis for this determination, and the reasoning should be 
clear.
    This proposed rule would establish the minimum equipment and 
operational approval requirements that operators would have to comply 
with to operate at lower MEAs that are outside the service volume of 
ground-based navigation aids. Because operators are not required to 
operate at these lower MEAs, those who voluntarily decide to do so 
under this SFAR will have made their own business decisions that the 
cost associated with this proposed SFAR's equipment and other 
requirements are worth it. For example, some operators will have 
concluded that flying at lower altitudes opens up markets that they 
could not previously have served because currently they do not have 
aircraft that can fly at certain altitudes on some routes and maintain 
reception with ground-based navigation aids. Other operators will 
conclude that having the ability to operate at lower MEAs will result 
in fewer flight cancellations or delays due to adverse weather (e.g., 
icing at higher altitudes). Additionally, other operators will 
recognize the safety benefit of having RNAV-equipped aircraft and 
flightcrews trained under this SFAR when such flights encounter adverse 
weather conditions en route at higher altitudes. Those operators will 
have the safety benefit of being able to seek clearance to the lower 
MEAs en route. It is anticipated that most of the participants who 
volunteer to participate in Capstone Phase II will not incur any costs 
to equip their aircraft or conduct required training; therefore, the 
FAA certifies that the rule will not have a significant economic impact 
on a substantial number of small operators. The FAA seeks public 
comments regarding this cost finding.

Trade Impact Assessment

    The Trade Agreement Act of 1979 prohibits Federal agencies from 
establishing any standards or engaging in related activities that 
create unnecessary obstacles to the foreign commerce of the United 
States. Legitimate domestic objectives, such as safety, are not 
considered unnecessary obstacles. The statute also requires 
consideration of international standards and, where appropriate, that 
they be the basis for U.S. standards. The NPRM proposes to impose 
requirements on foreign air carriers operating in the SFAR area if they 
volunteer to participate in the test program. These requirements would 
mirror the communication and navigation equipment requirements placed 
on domestic carriers that volunteer to participate in the test program. 
The FAA assessed the potential effect of this proposed rule and 
determined that it would have a neutral impact on foreign trade and, 
therefore, creates no obstacles to the foreign commerce of the United 
States.

Unfunded Mandates Assessment

    The Unfunded Mandates Reform Act of 1995 (the Act) is intended, 
among other things, to curb the practice of imposing unfunded Federal 
mandates on State, local, and tribal governments. Title II of the Act 
requires each Federal agency to prepare a written statement assessing 
the effects of any Federal mandate in a proposed or final agency rule 
that may result in an expenditure of $100 million or more (adjusted 
annually for inflation) in any one year by State, local, and tribal 
governments, in the aggregate, or by the private sector; such a mandate 
is deemed to be a ``significant regulatory action.''
    This proposed rule does not contain such a mandate. The 
requirements of title II do not apply.

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, and therefore would not have federalism implications.

Regulations Affecting Interstate Aviation in Alaska

    Section 1205 of the FAA Reauthorization Act of 1996 (110 Stat. 
3213) requires the Administrator, when modifying regulations under 
title 14 of the CFR that affect interstate aviation in Alaska, to 
consider the extent to which Alaska is not served by transportation 
modes other than aviation, and to establish such regulatory 
distinctions as he or she considers appropriate. The FAA considers that 
this rule will be

[[Page 3783]]

beneficial to operations in Alaska, but specifically solicits comments 
on this issue.

Environmental Analysis

    FAA Order 1050.1D defines FAA actions that may be categorically 
excluded from preparation of a National Environmental Policy Act (NEPA) 
environmental impact statement. In accordance with FAA Order 1050.1D, 
appendix 4, paragraph 4(j), this proposed rulemaking action qualifies 
for a categorical exclusion.

Energy Impact

    The energy impact of the notice has been assessed in accordance 
with the Energy Policy and Conservation Act (EPCA) Public Law 94-163, 
as amended (42 U.S.C. 6362) and FAA Order 1053.1. We have determined 
that the notice is not a major regulatory action under the provisions 
of the EPCA.

List of Subjects

14 CFR Part 71

    Airspace, Navigation (air).

14 CFR Part 91

    Agriculture, Air traffic control, Aircraft, Airmen, Airports, 
Aviation safety, Canada, Freight, Mexico, Noise control, Political 
candidates, Reporting and recordkeeping requirements.

14 CFR Part 95

    Air traffic control, Airspace, Alaska, Navigation (air), Puerto 
Rico.

14 CFR Part 121

    Air carriers, Aircraft, Airmen, Aviation safety, Charter flights, 
Drug testing, Reporting and recordkeeping requirements, Safety, 
Transportation.

14 CFR Part 125

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

14 CFR Part 129

    Air carriers, Aircraft, Aviation safety, Reporting and 
recordkeeping requirements, Security, Smoking.

14 CFR Part 135

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

The Proposed Amendment

    In consideration of the foregoing, the Federal Aviation 
Administration proposes to amend Chapter I of Title 14, Code of Federal 
Regulations, as follows:

PART 71--DESIGNATION OF CLASS A, CLASS B, CLASS C, CLASS D, AND 
CLASS E AIRSPACE AREAS; AIRWAYS; ROUTES; AND REPORTING POINTS

    1. The authority citation for part 71 continues to read as follows:

    Authority: 49 U.S.C. 106(g), 40103, 40113, 40120, E.O. 10854, 24 
FR 9565, 3 CFR, 1959-1963 Comp., p. 389.

    2. Amend part 71 by adding a note to read as follows:

    Note: For the text of SFAR No. 97, see part 91 of this chapter.

PART 91--GENERAL OPERATING AND FLIGHT RULES

    3. The authority citation for part 91 continues to read as follows:

    Authority: 49 U.S.C. 106(g), 1155, 40103, 40113, 40120, 44101, 
44111, 44701, 44709, 44711, 44712, 44715, 44716, 44717, 44722, 
46306, 46315, 46316, 46504, 46506-46507, 47122, 47508, 47528-47531, 
articles 12 and 29 of the Convention on International Civil Aviation 
(61 stat. 1180).

    4. Amend part 91 by adding SFAR No. 97 to read as follows:

Special Federal Aviation Regulation No. 97--Special Operating Rules for 
the Conduct of Instrument Flight Rules (IFR) Area Navigation (RNAV) 
Operations Using Global Positioning Systems (GPS) in Alaska

    Those persons identified in Section 1 may conduct IFR en route RNAV 
operations in the State of Alaska and its airspace on published air 
traffic routes using TSO C145a/C146a navigation systems as the only 
means of IFR navigation. Despite contrary provisions of parts 71, 91, 
95, 121, 125, and 135 of this chapter, a person may operate aircraft in 
accordance with this SFAR if the following requirements are met.
    Section 1. Purpose, use, and limitations.
    a. This SFAR permits TSO C145a/C146a GPS (RNAV) systems to be used 
for IFR en route operations in the United States airspace over and near 
Alaska (as set forth in paragraph c of this section) at Special Minimum 
En Route Altitudes (MEA) which are outside the operational service 
volume of ground-based navigation aids, if the aircraft operation also 
meets the requirements of sections 3 and 4 of this SFAR.
    b. Certificate holders and part 91 operators may operate aircraft 
under this SFAR provided that they comply with the requirements of this 
SFAR.
    c. Operations conducted under this SFAR are limited to United 
States Airspace within and near the State of Alaska as defined in the 
following area description:

    From 62[deg]00'00.000''N, Long. 141[deg]00'00.00''W.; to Lat. 
59[deg]47'54.11''N., Long. 135[deg]28'38.34''W.; to Lat. 
56[deg]00'04.11''N., Long. 130[deg]00'07.80''W.; to Lat. 
54[deg]43'00.00''N., Long. 130[deg]37'00.00''W.; to Lat. 
51[deg]24'00.00''N., Long. 167[deg]49'00.00''W.; to Lat. 
50[deg]08'00.00''N., Long. 176[deg]34'00.00''W.; to Lat. 
45[deg]42'00.00''N., Long. -162[deg]55'00.00''E.; to Lat. 
50[deg]05'00.00''N., Long. -159[deg]00'00.00''E.; to Lat. 
54[deg]00'00.00''N., Long. -169[deg]00'00.00''E.; to Lat. 
60[deg]00'00.00''N., Long. -180[deg]00'00.00''E; to Lat. 
65[deg]00'00.00''N., Long. 168[deg]58'23.00''W.; to Lat. 
90[deg]00'00.00''N., Long. 00[deg]00'0.00''W.; to Lat. 
62[deg]00'00.000''N, Long. 141[deg]00'00.00''W.

    (d) No person may operate an aircraft under IFR during the en route 
portion of flight below the standard MEA or at the special MEA unless 
the operation is conducted in accordance with sections 3 and 4 of this 
SFAR.
    Section 2. Definitions and abbreviations. For the purposes of this 
SFAR, the following definitions and abbreviations apply.
    Area navigation (RNAV). RNAV is a method of navigation that permits 
aircraft operations on any desired flight path.
    Area navigation (RNAV) route. RNAV route is a published route based 
on RNAV that can be used by suitably equipped aircraft.
    Certificate holder. A certificate holder means a person holding a 
certificate issued under part 119 or part 125 of this chapter or 
holding operations specifications issued under part 129 of this 
chapter.
    Global Navigation Satellite System (GNSS). GNSS is a world-wide 
position and time determination system that uses satellite ranging 
signals to determine user location. It encompasses all satellite 
ranging technologies, including GPS and additional satellites. 
Components of the GNSS include GPS, the Global Orbiting Navigation 
Satellite System, and WAAS satellites.
    Global Positioning System (GPS). GPS is a satellite-based radio 
navigational, positioning, and time transfer system. The system 
provides highly accurate position and velocity information and precise 
time on a continuous global basis to properly equipped users.
    Minimum crossing altitude (MCA). The minimum crossing altitude 
(MCA) applies to the operation of an aircraft proceeding to a higher 
minimum en route altitude when crossing specified fixes.
    Required navigation system. Required navigation system means 
navigation equipment that meets the performance

[[Page 3784]]

requirements of TSO C145a/C146a navigation systems certified for IFR en 
route operations.
    Route segment. Route segment is a portion of a route bounded on 
each end by a fix or NAVAID.
    Special MEA. Special MEA refers to the minimum en route altitudes, 
using required navigation systems, on published routes outside the 
operational service volume of ground-based navigation aids and are 
depicted on the published Low Altitude and High Altitude En Route 
Charts using the color blue and with the suffix ``G.'' For example, a 
GPS MEA of 4000 feet MSL would be depicted using the color blue, as 
4000G.
    Standard MEA. Standard MEA refers to the minimum en route IFR 
altitude on published routes that uses ground-based navigation aids and 
are depicted on the published Low Altitude and High Altitude En Route 
Charts using the color black.
    Station referenced. Station referenced refers to radio navigational 
aids or fixes that are referenced by ground based navigation facilities 
such as VOR facilities.
    Wide Area Augmentation System (WAAS). WAAS is an augmentation to 
GPS that calculates GPS integrity and correction data on the ground and 
uses geo-stationary satellites to broadcast GPS integrity and 
correction data to GPS/WAAS users and to provide ranging signals. It is 
a safety critical system consisting of a ground network of reference 
and integrity monitor data processing sites to assess current GPS 
performance, as well as a space segment that broadcasts that assessment 
to GNSS users to support en route through precision approach 
navigation. Users of the system include all aircraft applying the WAAS 
data and ranging signal.
    Section 3. Operational Requirements.
    To operate an aircraft under this SFAR, the following requirements 
must be met:
    a. Training and qualification for operations and maintenance 
personnel on required navigation equipment used under this SFAR.
    b. Use authorized procedures for normal, abnormal, and emergency 
situations unique to these operations, including degraded navigation 
capabilities, and satellite system outages.
    c. For certificate holders, training of flight crewmembers and 
other personnel authorized to exercise operational control on the use 
of those procedures specified in paragraph b of this section.
    d. Part 129 operators must have approval from the State of the 
operator to conduct operations in accordance with this SFAR.
    e. In order to operate under this SFAR, a certificate holder must 
be authorized in operations specifications.
    Section 4. Equipment Requirements.
    a. The certificate holder must have properly installed, 
certificated, and functional dual required navigation systems as 
defined in section 2 of this SFAR for the en route operations covered 
under this SFAR.
    b. When the aircraft is being operated under part 91, the aircraft 
must be equipped with at least one properly installed, certificated, 
and functional required navigation system as defined in section 2 of 
this SFAR for the en route operations covered under this SFAR.
    Section 5. Expiration date.
    This Special Federal Aviation Regulation will remain in effect 
until rescinded.

PART 95--IFR ALTITUDES

    5. The authority citation for part 95 continues to read as follows:

    Authority: 49 U.S.C. 106(g), 40103, 40113, and 14 CFR 11.49 
(b)(2).

    6. Amend part 95 by adding a note to read as follows:

    Note: For the text of SFAR No. 97, see part 91 of this chapter.

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

    9. 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.

    10. Amend part 121 by adding a note to read as follows:

    Note: For the text of SFAR No. 97, see part 91 of this chapter.

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; AND RULES GOVERNING PERSONS ON BOARD SUCH 
AIRCRAFT

    11. 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.

    12. Amend part 125 by adding a note to read as follows:

    Note: For the text of SFAR No. 97, see part 91 of this chapter.

PART 129--OPERATIONS: FOREIGN AIR CARRIERS AND FOREIGN OPERATORS OF 
U.S.-REGISTERED AIRCRAFT ENGAGED IN COMMON CARRIAGE

    13. The authority citation for part 129 continues to read as 
follows:

    Authority: 49 U.S.C. 106(g), 40104-40105, 40113, 40119, 41706, 
44701-44702, 44712, 44716-44717, 44722, 44901-44904, 44906.

    14. Amend part 129 by adding a note to read as follows:

    Note: For the text of SFAR No. 97, see part 91 of this chapter.

PART 135--OPERATIING REQUIREMENTS: COMMUTER AND ON DEMAND 
OPERATIONS AND RULES GOVERNING PERSONS ON BOARD SUCH AIRCRAFT

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

    Authority: 49 U.S.C. 106(g) 41706, 44113, 44701-44702, 44705, 
44709, 44711-44713, 44715-44717, 44722.

    16. Amend part 135 by adding a note to read as follows:

    Note: For the text of SFAR No. 97, see part 91 of this chapter.


    Issued in Washington, DC on January 16, 2003.
James J. Ballough,
Director, Flight Standards Service.
[FR Doc. 03-1601 Filed 1-23-03; 8:45 am]
BILLING CODE 4910-13-P