[Federal Register Volume 72, Number 3 (Friday, January 5, 2007)]
[Proposed Rules]
[Pages 489-497]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-9989]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 47, 61, 63, and 65
[Docket No. FAA-2006-26714; Notice No. 06-21]
RIN 2120-AI43
Drug Enforcement Assistance
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Notice of proposed rulemaking (NPRM).
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SUMMARY: The FAA is proposing changes to its airmen certification and
aircraft registration requirements. Two years after the final rule
becomes effective, paper pilot certificates may no longer be used to
exercise piloting privileges. Five years after the final rule becomes
effective, certain other paper airmen certificates, such as those of
flight engineers and mechanics, may no longer be used to exercise the
privileges authorized by those certificates. To exercise the privileges
after those respective dates, the airmen would have to hold upgraded,
counterfeit-resistant plastic certificates. Student pilots would not be
affected. In addition, those who transfer ownership of U.S.-registered
aircraft would have five days from the transaction to notify the FAA
Aircraft Registry. Those who apply for aircraft registration would have
to include their printed or typed name with their signature. These
changes are responsive to concerns raised in the FAA Drug Enforcement
Assistance Act. The purpose of the changes is to upgrade the quality of
data and documents to assist Federal, State, and local agencies to
enforce the Nation's drug laws.
DATES: Send your comments to reach us by March 6, 2007.
ADDRESSES: You may send comments, identified by Docket Number FAA-2006-
, using any of the following methods:
DOT Docket Web site: Go to http://dms.dot.gov and follow
the instructions for sending your comments electronically.
Government-wide rulemaking Web site: Go to http://www.regulations.gov and follow the instructions for sending your
comments electronically.
Mail: Docket Management Facility, U.S. Department of
Transportation, 400 Seventh Street, SW., Nassif Building, Room PL-401,
Washington, DC 20590-001. Note that mail delivery may be delayed due to
security concerns.
Fax: 1-202-493-2251.
Hand Delivery: Room PL-401 on the plaza level of the
Nassif Building, 400 Seventh Street, SW., Washington, DC, between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
For more information on the rulemaking process, see the
SUPPLEMENTARY INFORMATION section of this document.
Privacy: We will post all comments we receive, without change, to
http://dms.dot.gov, including any personal information you provide. For
more information, see the Privacy Act discussion in the SUPPLEMENTARY
INFORMATION section of this document.
Docket: To read background documents or comments received, go to
http://dms.dot.gov at any time or to Room PL-401 on the plaza level of
the Nassif Building, 400 Seventh Street, SW., Washington, DC, between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
FOR FURTHER INFORMATION CONTACT: Mark D. Lash, Civil Aviation Registry,
Mike Monroney Aeronautical Center, 6500 South MacArthur Boulevard,
Oklahoma City, OK 73169, telephone (405) 954-4331.
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. Please include the regulatory docket or
amendment number on your comments, and if you mail or hand deliver your
comments, send two copies. We will file all comments received, as well
as a report summarizing each substantive public contact with FAA
personnel on this rulemaking, in the public docket. The docket is
available for public inspection before and after the comment closing
date.
Privacy Act: Using the search function of our docket Web site,
anyone can find and read the comments received into any of our dockets,
including the name of the individual sending the comment (or signing
the comment on behalf of an association, business, labor union, etc.).
You may review DOT's complete Privacy Act Statement in the Federal
Register published on April 11, 2000 (65 FR 19477-78) or you may visit
http://dms.dot.gov.
Before acting on this proposal, we will consider all comments we
receive 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
we receive.
If you mail your comments and want the FAA to acknowledge receipt
of the comments, you must include with your comments a preaddressed,
stamped postcard on which the following statement is made: ``Comments
to Docket No. FAA-2006-26714.'' We will date stamp the postcard and
mail it to you.
[[Page 490]]
Proprietary or Confidential Business Information
Do not file in the docket information that you consider to be
proprietary or confidential business information. Send or deliver this
information directly to the person identified in the FOR FURTHER
INFORMATION CONTACT section of this document. You must mark the
information that you consider proprietary or confidential. If you send
the information on a disk or CD-ROM, mark the outside of the disk or
CD-ROM and also identify electronically within the disk or CD-ROM the
specific information that is proprietary or confidential.
Under 14 CFR 11.35(b), when we are aware of proprietary information
filed with a comment, we do not place it in the docket. We hold it in a
separate file to which the public does not have access and place a note
in the docket that we have received it. If we receive a request to
examine or copy this information, we treat it as any other request
under the Freedom of Information Act (5 U.S.C. 552). We process each
request to examine or copy information marked as proprietary or
confidential under the DOT procedures found in 49 CFR part 7.
Availability of Rulemaking Documents
You can get an electronic copy of this NPRM using 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/arm/index.cfm; or
(3) Accessing the Government Printing Office's Web page at http://www.gpoaccess.gov/fr/index.html.
You can also get a copy by sending 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, notice number, or amendment number
of this rulemaking.
Background
On March 12, 1990, the FAA published a Notice of Proposed
Rulemaking (NPRM) in the Federal Register (55 FR 9270). The NPRM
proposed changes to certain requirements concerning registration of
aircraft, certification of pilots, and penalties for registration and
certification violations. The NPRM also announced non-rulemaking
procedural changes. We intended the changes to correct deficiencies in
our systems and procedures identified in the FAA Drug Enforcement
Assistance Act of 1988 (Pub. L. 100-690) (hereafter, ``the Act''). The
Act amended FAA's authorizing legislation (49 U.S.C. 40101 et seq.)
to--
Declare that it is FAA policy to assist law enforcement
agencies in the enforcement of laws that regulate controlled
substances, to the extent consistent with aviation safety;
Modify the aircraft registration system to more
effectively serve the needs of buyers and sellers of aircraft, drug
enforcement officials, and other users of the system;
Modify the pilot certification system to more effectively
serve the needs of pilots and drug enforcement officials;
Modify the system for processing major repair and
alterations of fuel tanks and fuel systems on aircraft, to more
effectively serve users of the system, including drug enforcement
officials;
Establish and collect the fees necessary to cover the
costs of issuing aircraft registration certificates, issuing airman
certificates for pilots, and processing forms for major repairs and
alterations of fuel tanks and fuel systems of aircraft;
Pursue civil actions and assess civil penalties for
violations of the regulations governing registering aircraft and
recording aircraft title documents; and
Create criminal penalties for forgery of airman
certificates, false marking of aircraft, and other aircraft
registration violations and to make it unlawful for any person to
knowingly and willingly operate an aircraft in violation of any
requirement for display of navigation or anti-collision lights.
The comment period closed on May 11, 1990. We received 373
comments, very few of which expressed support for the proposed changes.
For the most part, commenters believed that the proposed changes would
impose burdens only on law-abiding citizens, while criminals would
simply circumvent them. As a result, FAA decided to delay the
rulemaking process to assess whether specific technological
improvements to the FAA Civil Aviation Registry (the Registry) could
meet the intent of the Act. We believe we have now fulfilled most
requirements of the Act through changes to systems and procedures used
by the Registry. For this reason, we have withdrawn the 1990 NPRM in
its entirety. Readers interested in the specific actions we have taken
to fulfill the requirements of the Act should refer to the notice
withdrawing the 1990 NPRM (70 FR 72403, Dec. 5, 2005).
To complete our obligations under the Act, we are proposing to
address two deficiencies noted in the Act and not fully addressed
through changes made to the Registry. The first issue concerns the
proper identification of pilots. Law enforcement agencies must be able
to establish the true identity of those who hold pilot certificates.
The second issue concerns the timely reporting of aircraft sales or
other transfers of ownership. Law enforcement agencies must be able to
determine who is the owner of an aircraft, particularly when ownership
of the aircraft has recently been transferred. Later in this preamble,
we describe the specific changes we are proposing to address these
issues.
Related Rulemaking Activities
The FAA has two ongoing rulemaking activities that relate to airmen
certificates and aircraft registration. This NPRM would bring closure
to FAA actions related to the FAA Drug Enforcement Assistance Act. The
second NPRM will address requirements of the Intelligence Reform and
Terrorism Prevention Act of 2004 (Pub. L. 108-458). While both cover
issues concerning airmen certificates and aircraft registration, they
are each driven by different requirements and circumstances.
During the process of preparing this NPRM for publication in late
2004, Congress passed the Intelligence Reform and Terrorism Prevention
Act of 2004. Section 4022 (Improved Pilot Licenses) of that Act
requires pilots' certificates be resistant to tampering, alteration,
and counterfeiting. The FAA began issuing plastic certificates in July
2003 that are resistant to tampering, alteration, and counterfeiting.
This NPRM would establish dates by which paper certificates may not be
used to exercise the privileges authorized by the certificates. This
will allow the FAA to also meet the first requirement of the
Intelligence Reform Act and increase the security of airman
certificates in a timely manner.
The Intelligence Reform Act also requires the inclusion of a
photograph on pilots' certificates. The FAA is currently working on an
NPRM that would establish the regulations and procedures necessary to
implement this requirement. We expect to publish the NPRM in the near
future. We have already completed a prototype for inclusion of a
photograph on an airmen's certificate.
While this NPRM completes action by the FAA on the FAA Drug
Enforcement Assistance Act, the FAA is continuing to evaluate other
changes to improve data quality of the Registry, possibly
[[Page 491]]
including periodic registration of aircraft. In a post-9/11
environment, there are important benefits that would result from a more
up-to-date and accurate Registry.
Pilot Identification and Certification
Under our authorizing legislation, the FAA must issue an ``airman
certificate'' to an individual when we find that the individual is
qualified for, and physically able to perform the duties related to,
the position authorized by the certificate. See 49 U.S.C. 44703.
Sometimes people think of a pilot certificate when the words ``airmen
certificate'' are used, even though there are many other categories of
airmen. In this preamble, we use the term ``airman certificate'' to
refer generally to all those who hold airmen certificates, including
pilots, flight crewmembers other than pilots (such as flight
engineers), and airmen other than flight crewmembers (such as air
traffic control tower operators and mechanics). When we use the term
``pilot certificate'' in this preamble, we are referring only to
pilots, not to student pilots, flight instructors, flight engineers, or
ground instructors who are also regulated under part 61 of Title 14 of
the Code of Federal Regulations (14 CFR part 61). The airman
certificate must--
Contain the name, address, and description of the
individual to whom the certificate is issued;
Contain any necessary terms, conditions, and limitations;
and
Specify the capacity in which the holder of the
certificate may serve as an airman with respect to an aircraft.
The current regulations and procedures for getting an airman
certificate usually require that an applicant pass both a knowledge
test and a flight or practical test. The applicant sends the
application and supporting documents to an FAA designee, who in turn
sends the application to an FAA Flight Standards District Office for
review. Alternatively, the applicant may appear before an FAA inspector
in the District Office. The District Office forwards the documents to
the Registry where the documents are reviewed for compliance with the
regulations. If the Registry accepts the documents, it issues the
airman certificate and mails it to the applicant.
The FAA Drug Enforcement Assistance Act amended section 44703 to
direct the FAA to modify the system for issuing airman certificates to
pilots to make the system more effective in serving the needs of pilots
and officials responsible for enforcement of laws relating to the
regulation of controlled substances. The Act identified a number of
deficiencies and abuses that the modifications must address, including
the use of counterfeit and stolen airman certificates by pilots and the
submission of unidentifiable names of individuals on applications for
registration of aircraft. The Act also amended section 44703 to require
the FAA to prescribe regulations to address the abuses and
deficiencies.
In 2002, the FAA revised the pilot certificate requirements of part
61 to require a person to carry photo identification when exercising
the privileges of the pilot certificate and to present photo
identification when requested by law enforcement officials. See 67 FR
65858, October 28, 2002. These changes address security and law
enforcement concerns regarding the identification of pilots. Also, in
July 2003, the FAA discontinued issuing paper airman certificates and
began issuing airman certificates that incorporate a number of security
features. The new certificates are made of high-quality plastic card
stock and include micro printing, a hologram, and an ultraviolet-
sensitive layer that contains certain words and phrases. These new
certificates greatly reduce the ability to create counterfeit airman
certificates.
As far as airman certificates issued since July 2003 are concerned,
these measures address the problem of counterfeit and stolen airman
certificates. However, there is no requirement that a holder of a paper
airman certificate get a new plastic certificate. So the outstanding
paper certificates are all subject to a higher risk of counterfeiting
for the foreseeable future. If there were a requirement for a holder of
a paper certificate to periodically get a re-issued certificate, such
as is the case with driver's licenses issued by most States, the
problem of potential counterfeiting would gradually diminish over time.
However, there is currently no reissuance requirement for most airman
certificates.
For this reason, the FAA is proposing that the holder of a paper
pilot certificate may not exercise the privileges of the paper
certificate after two years from the date of adoption of the final
rule. After the two-year period, only an FAA-issued plastic pilot
certificate may be used to exercise piloting privileges. The proposal
would not revoke or otherwise cancel a paper certificate. It would
simply require the pilot to have the plastic certificate to exercise
the attendant privileges.
We believe that two years is a reasonable time to allow for the
replacement of pilot certificates by those who want to act as a pilot
after the two-year period without interruption. (A person may apply for
a plastic certificate after the two-year period, but he or she would
not be able to exercise piloting privileges until he or she obtained
the plastic certificate.) We are assuming that applications for the
plastic replacement certificate would be evenly spread out through the
two-year period. If all pilots waited until close to the end of the
two-year period to apply for the replacement certificate, there would
undoubtedly be delays in processing and receipt of the new certificate.
The two-year period balances our ability to receive and process
applications for replacement certificates, to maintain our existing
range of services, and to reduce the risk of counterfeiting of paper
certificates.
To effect this change, we are proposing to add new 14 CFR 61.19(h),
titled, ``Duration of pilot certificates.'' Readers should note that
the NPRM would not require a holder of a paper pilot certificate to
surrender the certificate when getting the new plastic certificate. The
paper certificate would not authorize the holder to exercise piloting
privileges, but those who wish to retain it may do so. The fee for
replacing an existing paper certificate would be $2.00. This nominal
fee would defray part of the Registry's cost of replacing the
approximately 440,000 existing paper pilot certificates. At the same
time, the $2.00 fee would not be an undue burden on individuals. The
NPRM would not apply to student pilot certificates or flight instructor
certificates. Under existing regulations, these certificates expire 24
calendar months from the month in which they are issued or renewed. See
14 CFR 61.19(b) and (d).
We are also proposing that ground instructors, flight crewmembers
other than pilots (regulated under 14 CFR part 63) and airmen other
than flight crewmembers (regulated under 14 CFR part 65) who hold paper
airmen certificates may not exercise the privileges of the paper
certificates after five years from the effective date of the final
rule. After the five-year period, only an FAA-issued plastic airmen
certificate could be used to exercise these privileges. The proposal
would not revoke or otherwise cancel a paper certificate. It would
simply require the airman to have the plastic certificate to exercise
the attendant privileges.
Although the FAA Drug Enforcement Assistance Act only addressed
pilot certificates, we are proposing a parallel change for these other
airmen certificates under the FAA's general rulemaking authority.
Ground instructors and part 63 and part 65
[[Page 492]]
airmen play an essential role in the functioning of the civil aviation
system. We would be remiss if we did not also seek to address any
potential problems associated with accurate identification of these
airman certificate holders. A mechanic or flight engineer would have
access to aircraft and have opportunities to participate in drug
smuggling activities, such as concealment of drugs on the aircraft.
To effect these changes, we are proposing to revise existing 14 CFR
61.19(e) and add new 14 CFR 63.15(d) and 65.15(d). As is the case with
pilot certificates, replacement of these certificates would cost the
holder $2.00. To make the replacement process as quick and easy as
possible, the Registry has recently set up a system that allows a
certificate holder to request a replacement certificate using the
Internet. Certificate holders may access this system by going to the
following address: https://amsrvs.registry.faa.gov/amsrvs.
Aircraft Registration
Under the FAA's authorizing legislation, a person may operate an
aircraft in the United States only when the aircraft is registered
under 49 U.S.C. 44103, with three exceptions. One exception allows
operation of an aircraft for a reasonable period of time after transfer
of ownership until the new owner completes the registration process.
See 49 U.S.C. 44101(b)(3).
The current regulations for aircraft registration (14 CFR part 47)
require an aircraft seller to fill in the reverse side of the aircraft
registration certificate with the name and address of the buyer and
return it to the Registry in Oklahoma City. To operate the newly
purchased U.S. civil aircraft, the buyer must complete an application
for aircraft registration and send it with evidence of ownership, such
as a bill of sale, to the Registry (Sec. 47.31(a)). Once the Registry
examines the application and supporting documents for legibility and
compliance with part 47, it issues an aircraft registration certificate
to the new owner. It typically takes 30 to 40 days to issue an aircraft
registration certificate if there are no complications. During this
review period (or for up to 90 days), the buyer may operate the
aircraft under temporary authority by retaining a duplicate copy of the
registration application--the so-called ``pink slip.'' The buyer must
carry the pink slip in the aircraft as evidence of temporary authority
to operate the aircraft without a certificate of registration. The
buyer can take advantage of this temporary operating authority only
after sending the aircraft registration package to the Registry (Sec.
47.31(b)). The current requirements, including the ability to operate
an aircraft under temporary authority based on the pink slip, were
established to provide a smooth transfer of ownership that would not
unduly restrict operation of the aircraft during processing of an
application for registration.
The Act authorizes the FAA to modify the system for registering and
recording conveyances to make the system more effective in serving the
needs of buyers and sellers of aircraft and of officials responsible
for enforcement of laws relating to the regulation of controlled
substances. See 49 U.S.C. 44111. The Act identified a number of
deficiencies and abuses that the modifications must address, including
the practice of allowing temporary operation and navigation of aircraft
without issuance of a certificate of registration and submission of
unidentifiable names of individuals on applications for registration of
aircraft. The Act also authorized the FAA to prescribe regulations to
address the abuses and deficiencies.
The FAA has taken a number of steps to address the period after
sale or transfer of ownership and before application is made for
registration. A document index is now available on-line at the Registry
Web site (http://registry.faa.gov) or through an inquiry to the FAA Law
Enforcement Assistance Program. The index, which is updated daily,
tells whether the Registry has received documents related to a specific
aircraft. The FAA Law Enforcement Assistance Program can retrieve all
documents associated with an aircraft in a matter of minutes. If there
is any question as to the ownership of an aircraft, the documents can
be forwarded to the appropriate law enforcement organization.
If law enforcement personnel are questioning the operator of an
aircraft who is using a pink slip, they can check the document index to
determine if documents have been received for that aircraft. If no
documents are shown in the index, then there is increased likelihood
the aircraft is being operated in an unauthorized manner. Also, the
entire aircraft registry database is available on-line at the Registry
Web site. When an aircraft is sold, the seller must notify the Registry
of the sale, and the Registry identifies the aircraft as ``sale
reported'' until it processes the buyer's registration application. The
Registry updates this information daily. Anyone can check an aircraft's
registration through the Registry Web site to see if the aircraft is
identified as ``sale reported.'' The Registry contains over 25 million
pages of aircraft information in digital format.
Our current regulations at 14 CFR 47.31(a) require each applicant
for aircraft registration to send the registration application to the
Registry. Paragraph (b) of the same section allows the applicant to
carry the pink slip in the aircraft as temporary authority to operate
it after complying with paragraph (a). (Emphasis added.) To use the
pink slip as temporary operating authority, the aircraft operator must
have already sent the registration application to the Registry. It is
not legal to operate the aircraft under a pink slip if the operator has
not sent the registration application to the Registry.
In spite of current regulatory requirements and the administrative
actions we have taken, as outlined above, we still have a concern about
the accuracy of ownership information contained in the Registry. Those
who transfer ownership of U.S.-registered aircraft may not be notifying
the Registry of the transfer in a timely fashion. The effectiveness of
the Registry's document index and aircraft registry database depends on
the accuracy and timeliness of the information they contain. If a law
enforcement agency investigating an aircraft goes to the index or the
database for ownership information, and the information does not
reflect a recent transfer of ownership, the investigation may be
stymied or delayed. For this reason, we are proposing an amendment to
14 CFR 47.41(b) that would require the person selling, or otherwise
transferring ownership of, a U.S.-registered aircraft to return the
certificate of aircraft registration to the Registry within five days
of sale or transfer.
We believe that five days is a reasonable amount of time to
complete the reverse side of the certificate and send it to the
Registry. It achieves a balance between our need to have accurate, up-
to-date information in the Registry for the use of law enforcement
agencies and our desire not to unduly burden individuals. We
specifically request comments from the public, particularly owners of
U.S.-registered aircraft, concerning whether this is a reasonable time
frame.
To address the problem of the submission of illegible names of
individuals on applications for registration of aircraft, we are
proposing to require each applicant to provide a printed or typed name
with his or her signature. The Registry has already included this
requirement in the instructions for completing the aircraft
registration application. We are
[[Page 493]]
proposing to add it to our regulations to bolster our authority to
reject applications that contain illegible names. To effect this
change, we are modifying a previously undesignated portion of 14 CFR
47.31 that appears between existing paragraphs (a) and (b). Currently,
the FAA rejects an application if it is not completed or if the name
and signature on the application are not the same throughout. Under
this proposal, the currently undesignated provision would become new 14
CFR 47.31(b) and would include the requirement for a printed or typed
name under the signature. Existing paragraphs (b) and (c) would be
redesignated as paragraphs (c) and (d).
Paperwork Reduction Act
This proposal contains the following new information collection
requirements. As required by the Paperwork Reduction Act of 1995 (44
U.S.C. Sec. 3507(d)), the FAA has submitted the information
requirements associated with this proposal to the Office of Management
and Budget for its review.
Title: Drug Enforcement Assistance.
Summary: Two years after the final rule becomes effective, paper
pilot certificates may no longer be used to exercise piloting
privileges. Five years after the final rule becomes effective, certain
other paper airmen certificates, such as those of flight engineers and
mechanics, may no longer be used to exercise the privileges authorized
by those certificates. To exercise the privileges after those
respective dates, the airmen would have to hold upgraded, counterfeit-
resistant plastic certificates.
Use: These changes are responsive to concerns raised in the FAA
Drug Enforcement Assistance Act. The purpose of the changes is to
upgrade the quality of data and documents to assist Federal, State, and
local agencies to enforce the Nation's drug laws.
Respondents (including number of): The FAA estimates that there are
900,000 active airmen, of which 450,000 are pilots.
Frequency: This is a one-time requirement.
Annual Burden Estimate: Each airman having a paper certificate
would need to provide the FAA, the Airmen Certification Branch at the
Civil Aviation Registry, with the appropriate paperwork. This can be
done either through the mail or electronically. The fee for this new
replacement certificate is $2. The FAA assumes that it will take no
more than five minutes for each airman to process the paperwork; the
total cost to each airman would be about $3. Five-year costs range from
$2.80 million ($2.42 million, discounted) to $4.43 million ($3.82
million, discounted).
The agency is soliciting comments to--
(1) Evaluate whether the proposed information requirement is
necessary for the proper performance of the functions of the agency,
including whether the information will have practical utility;
(2) Evaluate the accuracy of the agency's estimate of the burden;
(3) Enhance the quality, utility, and clarity of the information to
be collected; and
(4) Minimize the burden of the collection of information on those
who are to respond, including through the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology.
Individuals and organizations may submit comments on the
information collection requirement by March 6, 2007, and should direct
them to the address listed in the ADDRESSES section of this document.
Comments also should be submitted to the Office of Information and
Regulatory Affairs, OMB, New Executive Building, Room 10202, 725 17th
Street, NW., Washington, DC 20053, Attention: Desk Officer for FAA.
According to the 1995 amendments to the Paperwork Reduction Act (5
CFR 1320.8(b)(2)(vi)), an agency may not collect or sponsor the
collection of information, nor may it impose an information collection
requirement unless it displays a currently valid OMB control number.
The OMB control number for this information collection will be
published in the Federal Register, after the Office of Management and
Budget approves it.
International Compatibility
In keeping with U.S. obligations under the Convention on
International Civil Aviation, FAA's policy is to comply with
International Civil Aviation Organization (ICAO) Standards and
Recommended Practices to the maximum extent practicable. The FAA
determined that there are no ICAO Standards and Recommended Practices
that correspond to these proposed regulations.
Economic Summary
Changes to Federal regulations must undergo several economic
analyses. First, Executive Order 12866 directs that each Federal agency
shall 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, this Trade
Act requires agencies to consider international standards and, where
appropriate, to be the basis of 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). The FAA currently uses an inflation-
adjusted value of $128.1 million in lieu of $100 million.
In conducting these analyses, FAA has determined this rule: (1) Has
benefits that justify its costs, is not a ``significant regulatory
action'' as defined in section 3(f) of Executive Order 12866, but is
``significant'' under DOT's Regulatory Policies and Procedures; (2)
will not have a significant economic impact on a substantial number of
small entities; (3) will not affect international trade; and does not
impose an unfunded mandate on state, local, or tribal governments, or
on the private sector. These analyses, available in the docket, are
summarized below.
Total Costs and Benefits of This Rulemaking
Total estimated costs, over five years, to replace paper
certificates with plastic, range from a low of $3.73 million ($3.22
million, discounted) to $5.91 million ($5.09 million, discounted).
These are the estimated costs that the rule would impose on the
government and the private sector by requiring replacement of paper
certificates with plastic.
Reliable data is not available upon which to quantify benefits.
However, this proposed rule is mandated by statute; consequently, the
American people, through their elected officials, have established that
the benefits justify the costs.
Who Is Potentially Affected by This Rulemaking
Private Sector
All airmen who currently have paper certificates that want to
continue to be able to exercise those privileges.
[[Page 494]]
Government
The Civil Aviation Registry would need to process an estimated
545,900 to 863,900 certificates because of the rule.
Our Cost Assumptions and Sources of Information
Discount rate--7%;
Period of analysis--2006 through 2010;
All monetary values are expressed in 2005 dollars;
There are currently 900,135 paper certificates for
airmen--of these, almost 450,000 are pilots, while the balance are
other airmen; all but those that would normally be issued for
replacement and additional ratings without the proposed rule and those
that are currently held by certified flight instructors (CFI) would
need to be replaced by the rule.
By the start of 2006 the FAA estimates that the number of
paper certificates would be reduced to 863,859 because pilots and
airmen are currently being issued plastic certificates due to
replacements and additional ratings.
The FAA assumes that an equal number of certificates would
be replaced each year. For pilots, approximately 208,700 would be
replaced in each of the first two years, and for all other airmen,
approximately 89,300 would be replaced each year;
The FAA considered a low cost and high cost scenario.
The time for an airman to fill out the Pilot Certificate
Reissuance Form is five minutes. The FAA believes that the actual
amount of time is probably less than this, but is using five minutes
uniformly so as to be conservative and not underestimate costs;
Airman's time is costed out at $37.76 per hour;
An FG-10 time is costed out at $33.09 per hour; and
An FG-6 time is costed out at $22.11 per hour.
Low Cost Scenario Assumptions
Not all replacements can be attributed to the rule.
The FAA assumes that approximately 56,200 airmen
certificates would be replaced each year without the rule.
In addition, the FAA assumes that approximately 48,000
certificates would be issued annually for additional ratings on an
existing certificate.
65% of both the replacement and new certificates issued
for additional ratings are for pilots.
Without the rule, each year approximately 36,500 pilot
certificates would be replaced and approximately 31,200 pilot
certificates would be issued for additional ratings. Of the
approximately 208,700 pilot certificates that must be replaced,
approximately 67,800 would be replaced without the rule and therefore
approximately 140,900 would have to be replaced because of the rule in
each of the first two years.
35% of both the replacement and new certificates issued
for additional ratings are for other airmen.
Without the rule, each year approximately 19,700 other
airmen certificates would be replaced and approximately 16,800 other
airmen certificates would be issued for additional ratings. Of the
approximately 89,300 other airmen certificates that would be replaced
each year, approximately 36,500 would be replaced without the rule and
approximately 52,800 would have to be replaced because of the rule in
each of the first five years.
High Cost Scenario Assumption
Assumes that airmen would not replace or upgrade paper
certificates without the rule.
Benefits of This Rulemaking
Congress has determined that, at the present time, the smuggling of
drugs into the United States by general aviation aircraft is a major
contributing factor in the illegal drug crisis facing the nation. As a
result of that determination, the Congress expanded the mission of the
FAA to include assisting law enforcement agencies in the enforcement of
laws regulating controlled substances, to the extent consistent with
aviation safety.
The Congress has stated in the Drug-Free America Policy of the Drug
Enforcement Assistance Act of 1988 that the total cost of drug use to
the economy is estimated to be over $100 billion annually. Were this
rule to reduce society's economic cost of drug use by approximately 1/
85,000th for the high cost scenario or 1/134,000th for the low cost
scenario over five years, that achievement would approximately equal
the estimated cost to society of these regulatory changes. The FAA
believes that such a reduction is achievable. Congress, which reflects
the will of the American public, has determined that this proposed
action is in the best interest of the nation.
Costs of This Rulemaking
The FAA assumes that an equal number of paper airmen certificates
will be replaced each year. The FAA projects that there will be about
417,300 pilots who will still hold paper certificates at the start of
2006, so the FAA assumes that about 208,700 would get their new plastic
certificate in 2006 and in 2007. Excluding the CFI's, about 446,500
other individuals with airman certificates would need to replace their
certificates over a 5 year period, or about 89,300 a year.
The FAA has considered two cost scenarios. The first low cost
scenario assumes that, since some airmen have been replacing their
paper certificates with the new plastic certificates either because
they have requested replacement certificates or because they have
received new certificates after attaining additional ratings, they
would continue to do so without the rule. The cost that these pilots
would incur to replace their certificates cannot be considered a cost
of the proposed rule, since they would replace their certificates
without the rule. The second high cost scenario assumes that no pilots
or airmen would replace their paper certificates with plastic
certificates unless the rule required them to do so.
Low Cost Scenario
In this scenario, we assume that without the rule, approximately
36,500 pilots and about 19,700 other airmen would replace their
certificates annually. Further, some airmen acquire a new certificate
because they earn additional ratings. We estimate that approximately
31,200 pilots and about 16,800 other airmen would earn additional
ratings annually and be issued a new plastic certificate to reflect
these additional ratings. Since this would occur regardless of the
proposed rule, the cost to replace these certificates would not be
considered a cost of the rule.
To summarize, approximately 67,800 pilots would acquire plastic
certificates annually regardless of the proposed rule. In each of the
first two years, approximately 140,900 pilots would have to replace
their certificates because of the proposed rule (208,700 minus 68,000).
In addition, approximately 36,500 other airmen would acquire plastic
certificates annually regardless of the proposed rule. In each of the
first five years, approximately 52,800 other airmen would have to
replace their certificates because of the proposed rule (89,300 minus
36,500). This scenario may underestimate costs because it assumes that
replacements and upgrades that would occur regardless of the proposed
rule would always replace paper certificates. However, once paper
certificates become replaced with plastic, some of the later
replacements/upgrades not related to the rule, would
[[Page 495]]
involve replacement/upgrades of plastic certificates.
High Cost Scenario
In this scenario the FAA assumes that there would be no
replacements or upgrades without the rule and that the cost of the
proposed rule would be the cost to replace all paper certificates that
exist as of the start of 2006 (which is when we assume the rule will
take effect). Therefore, the FAA assumes that in each of the first two
years, approximately 208,700 pilots would have to replace their paper
certificates with plastic, and that these costs are attributed
completely to the proposed rule. The FAA also assumes that in each of
the first five years, approximately 89,300 other airmen would have to
replace their paper certificates with plastic because of the proposed
rule. This is an extremely conservative scenario, which overestimates
cost.
Costs
There are two sets of costs associated with replacing the current
paper certificates, one for airmen and one for the Government.
Airmen Costs
Each airman having a paper certificate would need to provide the
FAA, the Airmen Certification Branch at the Civil Aviation Registry
with the appropriate paperwork. This can be done either through the
mail or electronically. The fee for this new replacement certificate is
$2. The FAA assumes that it will take no more than five minutes for
each airman to process the paperwork; the total cost to each airman
would be about $3. Five-year costs range from $2.87 million ($2.47
million, discounted) to $4.54 million ($3.90 million, discounted). The
lower cost represents the low cost scenario; the higher cost represents
the high cost scenario.
Government Costs
There are several steps involved with the FAA processing a request
for a duplicate airman certificate. These steps include different grade
levels and/or contract costs and includes Legal Instruments Examiners
as well as contractors who would preprocess and scan the images, index
the image, review the certificate for accuracy, and print and mail the
certificates. The total costs per new certificate sum to $3.59.
However, airmen would pay $2 for the certificate and therefore the net
cost to the government would be $1.59 per certificate; five-year costs
range from $867,900 ($749,300, discounted) to $1.37 million ($1.18
million discounted). The lower cost represents the low cost scenario;
the higher cost represents the high cost scenario.
Total costs, over five years, to replace the existing paper
certificates range from $3.73 million ($3.22 million, discounted) to
$5.91 million ($5.09 million, discounted). The lower cost represents
the low cost scenario; the higher cost represents the high cost
scenario.
Initial 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 will 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 Act.
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 1980 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 rule affects aircraft owners, through part 47, and pilots,
through parts 61, 63, and 65.
The change to part 47 would affect all aircraft owners. However, as
stated above, they have always been required to send in the
registration package upon purchase of a new aircraft; this proposal
does not impose any new requirements on new aircraft owners.
Accordingly, there are no additional costs for these owners.
The changes to parts 61, 63, and 65 would impose an estimated $5 in
compliance costs on pilots applying for certificate reissuances. This
cost covers the costs for the postage, applicant's time, and the $2
reissuance fee charged to pilots. However, pilots are not small
entities and are not covered by the Regulatory Flexibility Act. The FAA
recognizes that there are one-man businesses that provide aviation
services; however, the cost of this proposed rule to them would be
negligible and, therefore, not significant.
Thus, the FAA certifies that this proposal would not have a
significant economic impact on a substantial number of small entities.
International 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 FAA has assessed the
potential effect of this NPRM and has determined that it would have
only a domestic impact and therefore no affect on any trade-sensitive
activity.
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.'' The FAA currently
uses an inflation-adjusted value of $128.1 million in lieu of $100
million.
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 NPRM under the principles and criteria of
Executive Order 13132, Federalism. We determined that this action will
not have a substantial direct effect on the States, or 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 NPRM does not have federalism
implications.
[[Page 496]]
Plain English
Executive Order 12866 (58 FR 51735, Oct. 4, 1993) requires each
agency to write regulations that are simple and easy to understand. We
invite your comments on how to make these regulations easier to
understand, including answers to questions such as the following:
Are the requirements in the regulations clearly stated?
Do the regulations contain technical language or jargon
that interferes with their clarity?
Would the regulations be easier to understand if they were
divided into more (but shorter) sections?
Is the description in the preamble helpful in
understanding the regulations?
Please send your comments to the address specified in the ADDRESSES
section.
Environmental Analysis
FAA Order 1050.1E identifies FAA actions that are categorically
excluded from preparation of an environmental assessment or
environmental impact statement under the National Environmental Policy
Act in the absence of extraordinary circumstances. The FAA has
determined this proposed rulemaking action qualifies for the
categorical exclusion identified in paragraph 312d and involves no
extraordinary circumstances.
Regulations That Significantly Affect Energy Supply, Distribution, or
Use
The FAA has analyzed this NPRM under Executive Order 13211, Actions
Concerning Regulations that Significantly Affect Energy Supply,
Distribution, or Use (66 FR 28355, May 18, 2001). We have determined
that it is not a ``significant energy action'' under the executive
order because it is not a ``significant regulatory action'' under
Executive Order 12866, and it is not likely to have a significant
adverse effect on the supply, distribution, or use of energy.
List of Subjects
14 CFR Part 47
Aircraft, Reporting and recordkeeping requirements.
14 CFR Part 61
Aircraft, Airmen, Alcohol abuse, Drug abuse, Recreation and
recreation areas, Reporting and recordkeeping requirements, Teachers.
14 CFR Part 63
Aircraft, Airmen, Alcohol abuse, Drug abuse, Navigation (air),
Reporting and recordkeeping requirements.
14 CFR Part 65
Air traffic controllers, Aircraft, Airmen, Airports, Alcohol abuse,
Drug abuse, Reporting and recordkeeping requirements.
The Proposed Amendments
In consideration of the foregoing the Federal Aviation
Administration proposes to amend Chapter I of Title 14 Code of Federal
Regulations as follows:
PART 47--AIRCRAFT REGISTRATION
1. The authority citation for part 47 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113-40114, 44101-44108, 44110-
44111, 44703-44704, 44713, 45302, 46104, 46301; 4 U.S.T. 1830.
2. Redesignate existing paragraphs (b) and (c) as (c) and (d) and
the undesignated text following paragraph (a)(3) is designated as a new
paragraph (b) and revised to read as follows:
Sec. 47.31 Application.
* * * * *
(b) The FAA rejects an application when--
(1) Any form is not completed;
(2) The name and signature of the applicant are not the same
throughout; or
(3) The applicant does not provide a legibly printed or typed name
with the signature in the signature block.
* * * * *
3. Amend Sec. 47.41 by revising paragraph (b) to read as follows:
Sec. 47.41 Duration and return of Certificate.
* * * * *
(b) The Certificate of Aircraft Registration, with the reverse side
completed, must be returned to the FAA Aircraft Registry--
(1) Within 5 days in the case of registration under the laws of a
foreign country, by the person who was the owner of the aircraft before
foreign registration;
(2) Within 60 days after the death of the holder of the
certificate, by the administrator or executor of his estate, or by his
heir-at-law if no administrator or executor has been or is to be
appointed; or
(3) Within 5 days of the termination of the registration, by the
holder of the Certificate of Aircraft Registration in all other cases
mentioned in paragraph (a) of this section.
PART 61--CERTIFICATION: PILOTS, FLIGHT INSTRUCTORS, AND GROUND
INSTRUCTORS
4. The authority citation for part 61 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701-44703, 44707, 44709-
44711, 45102-45103, 45301-45302.
5. Amend Sec. 61.19 by:
A. Revising paragraph (e); and
B. By adding new paragraph (h) to read as follows:
Sec. 61.19 Duration of pilot and instructor certificates.
* * * * *
(e) Ground instructor certificate.
(1) A ground instructor certificate issued under this part is
issued without a specific expiration date.
(2) The holder of a paper certificate issued under this part may
not exercise the privileges of that certificate after [DATE 5 YEARS AND
30 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER].
* * * * *
(h) Duration of pilot certificates. The holder of a paper
certificate issued under this part may not exercise the privileges of
that certificate after [DATE 2 YEARS AND 30 DAYS FROM DATE OF
PUBLICATION IN THE FEDERAL REGISTER].
PART 63--CERTIFICATION: FLIGHT CREWMEMBERS OTHER THAN PILOTS
6. The authority citation for part 63 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701-44703, 44707, 44709-
44711, 45102-45103, 45301-45302.
7. Amend Sec. 63.15 by adding new paragraph (d) to read as
follows:
Sec. 63.15 Duration of certificates.
* * * * *
(d) The holder of a paper certificate issued under this part may
not exercise the privileges of that certificate after [DATE 5 YEARS AND
30 DAYS FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER].
PART 65--CERTIFICATION: AIRMEN OTHER THAN FLIGHT CREWMEMBERS
8. The authority citation for part 65 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701-44703, 44707, 44709-
44711, 45102-45103, 45301-45302.
9. Amend Sec. 65.15 by adding new paragraph (d) to read as
follows:
Sec. 65.15 Duration of certificates.
* * * * *
(d) The holder of a paper certificate issued under this part may
not exercise the privileges of that certificate after [DATE 5 YEARS AND
30 DAYS FROM
[[Page 497]]
DATE OF PUBLICATION IN THE FEDERAL REGISTER].
Issued in Washington, DC, on December 27, 2006.
James Ballough,
Director, Flight Standards Service.
[FR Doc. 06-9989 Filed 1-4-07; 8:45 am]
BILLING CODE 4910-13-P