[Federal Register Volume 76, Number 14 (Friday, January 21, 2011)]
[Rules and Regulations]
[Pages 3831-3837]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-1211]
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Rules and Regulations
Federal Register
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Federal Register / Vol. 76, No. 14 / Friday, January 21, 2011 / Rules
and Regulations
[[Page 3831]]
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 135
[Docket No.: FAA-2009-0023; Amendment No.: 135-122]
RIN 2120-AJ32
Crew Resource Management Training for Crewmembers in Part 135
Operations
AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).
ACTION: Final rule.
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SUMMARY: This final rule requires all certificate holders conducting
operations under part 135 to include in their training programs crew
resource management training for crewmembers, including pilots and
flight attendants. This final rule is needed to ensure that crewmembers
in part 135 operations receive training in the use of crew resource
management principles, as appropriate for their operation. This final
rule responds to National Transportation Safety Board recommendations,
addresses a recommendation from the Part 125/135 Aviation Rulemaking
Committee, and codifies current FAA guidance. The intended effect of
this final rule is to reduce the frequency and severity of errors that
are crew based, which will reduce the frequency of accidents and
incidents within the scope of part 135 operations.
DATES: This final rule becomes effective March 22, 2011.
FOR FURTHER INFORMATION CONTACT: For technical questions concerning
this final rule, contact Nancy Lauck Claussen, Air Transportation
Division, AFS-200, Federal Aviation Administration, 800 Independence
Avenue, SW., Washington, DC 20591; telephone: 202-267-8166; e-mail:
[email protected]. For legal questions concerning this final
rule, contact Anne Bechdolt, Office of the Chief Counsel, AGC-200,
Federal Aviation Administration, 800 Independence Avenue, SW.,
Washington, DC 20591; telephone: 202-267-3073; e-mail:
[email protected].
SUPPLEMENTARY INFORMATION:
I. Authority for This Rulemaking
The FAA's authority to issue rules on aviation safety is found in
Title 49 of the United States Code. This rulemaking is promulgated
under the authority described in 49 U.S.C. 44701(a)(5), which requires
the Administrator to promulgate regulations and minimum standards for
other practices, methods, and procedures necessary for safety in air
commerce and national security.
II. Background
A. Summary of Notice of Proposed Rulemaking (NPRM)
Crew Resource Management (CRM) training is the incorporation of
team management concepts in flight operations. This training focuses on
communication and interactions among pilots, flight attendants,
operations personnel, maintenance personnel, air traffic controllers,
flight service stations, and others. CRM also focuses on single pilot
communications, decision making and situational awareness. On May 1,
2009, the FAA published an NPRM proposing to require all part 135
certificate holders required to have training programs under 14 CFR
135.341 to implement CRM training for pilots and flight attendants in
part 135 operations.\1\ See 74 FR 20263 (May 1, 2009). The comment
period for the NPRM closed on September 28, 2009.
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\1\ This requirement does not extend to part 135 operators with
only one pilot.
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The intent of the NPRM was to create uniform standards for CRM
training in part 135 operations by codifying existing guidance material
in Advisory Circular (AC) 120-51E, Crew Resource Management Training,
(Jan. 22, 2004), and AC 00-64, Air Medical Resource Management, (Jan.
22, 2005). The FAA determined this was necessary following a review of
268 accidents in part 135 operations that occurred between 1998 and
2008. Of these 268 accidents, 24 were directly related to ineffective
CRM and resulted in 83 fatalities and 12 serious injuries. The NPRM
also addressed National Transportation Safety Board (NTSB)
recommendations A-01-12, A-03-52,\2\ and A-95-124, in addition to
recommendations from the part 125/135 Aviation Rulemaking Committee
that all pilots in part 135 operations be proficient at mastering the
resources available to them while managing many operational factors.
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\2\ The NPRM exceeded the requirements outlined in NTSB
recommendation A-03-52, which only addressed CRM training for dual-
pilot operations in part 135. The FAA determined that CRM issues are
not limited to dual-pilot operations, but rather, as indicated by
the accident review, extend to all operations. Therefore, the FAA
decided it was necessary to require CRM training for crewmembers
conducting either dual- or single-pilot operations under part 135.
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B. Summary of Comments
The FAA received seven comments on the proposed rule. Commenters
include the Air Line Pilots Association (ALPA), Century CRM, LLC,
Helicopter Association International (HAI), NTSB, Scientific Alliance
for Education, and 2 individuals. All comments were generally
supportive of requiring CRM training for crewmembers in part 135
operations. Additionally, some comments discussed increasing the
requirements for certain provisions in the proposal, such as
establishing minimum programmed hour requirements for training, and
prohibiting credit for previous CRM training when a crewmember changes
employers. One of the comments resulted in a substantive change to the
proposed requirements, as discussed below.
C. Summary of Final Rule
The final rule requires certificate holders to establish initial
and recurrent CRM academic training programs for crewmembers within 2
years of the effective date of the rule. At a minimum, the CRM training
programs must address the authority of the pilot in command,
communication processes, building and maintaining a flight team,
managing workload and time, maintaining situational awareness,
recognizing and mitigating fatigue and stress, and mastering
aeronautical decision-making skills based on the certificate holder's
operating environment. Some credit may be given
[[Page 3832]]
for CRM training provided to crewmembers before the effective date of
this rule under a voluntary CRM training program developed by
certificate holders in accordance with AC 120-51E and AC 00-64.
III. Discussion of Final Rule and Comments
In the final rule, the FAA has retained all the requirements as
proposed with one exception. The NTSB did not support the provision in
the proposed rule that allowed part 135 operators to waive the
requirement to provide initial CRM training to crewmembers who have
previously received initial CRM training from another operator. The
NTSB stated that such a provision would not be consistent with CRM
training requirements for part 121 operators, and, in the interest of
safety, should not be allowed for part 135 operations. The NTSB further
supported this position by stating that part 135 operations are
characterized by a wide range of operational environments,
applications, aircraft and automation capabilities, and crew
complements. As a result, CRM training programs may vary widely among
operators. To ensure the crewmember is familiar with its operator's
processes and procedures, NTSB asserted that initial CRM should be
provided to crewmembers when transitioning to a new certificate holder.
The NTSB recommended the FAA withdraw the provision that would allow
certificate holders to waive the requirement for initial CRM training
for crewmembers who have received initial CRM training from another
part 135 operator.
Upon further review, the FAA has removed the language that allows
certificate holders to waive the requirement for initial CRM training
for crewmembers who have received initial CRM training from another
operator. Given the unique operating environments of the various part
135 operators, it is essential that a crewmember receive training on
the certificate holder's operational environment, procedures, effective
use of automation capabilities, and communication with fellow
crewmembers. When a crewmember begins employment with a different part
135 certificate holder, the crewmember must complete that certificate
holder's initial CRM training program to ensure the crewmember is
familiar with the operator's policies and procedures.
The NTSB also responded to the FAA's request for comments about
whether there is justification for applying the proposed rule
differently for intrastate operations in Alaska. The NTSB stated that
it believed that CRM training would improve safety for all part 135 on-
demand operations, including certificate holders in Alaska. The NTSB
recommended that the proposed requirements should be applied to
certificate holders conducting operations in Alaska.
The FAA agrees with the NTSB regarding the application of the
requirements for CRM training. Of the 24 accidents that the FAA
identified as directly related to ineffective CRM, one-third of the
accidents occurred in Alaska. Therefore, the FAA has retained the
language proposed in the NPRM. There is no exception for certificate
holders conducting intrastate operations in Alaska.
ALPA supported the proposal and also recommended integrating CRM
into flightcrew member job performance training as a tool to minimize
the consequences of human error and to improve flightcrew performance.
ALPA also agreed with the FAA that CRM training is appropriate for both
pilots of single and multi-crew operations conducted under part 135.
ALPA suggests the FAA require that individuals providing CRM training
be employees of the air carrier. ALPA asserts this would ensure the
instructors are familiar with the air carrier's culture, policies and
procedures, as opposed to a contracted instructor. As with the CRM
requirements for part 121 operations, the requirements in this final
rule allow each operator the flexibility to design a training program
that can meet the curriculum requirements via academic training and
does not require job performance training. As recognized by HAI, these
requirements allow ``significant flexibility to allow training to be
customized to the specific needs of individual operators.'' For some
operators, it may be appropriate to incorporate CRM training in their
job performance training curriculums. This may not be necessary for all
operators, however, because of the size of their operations. At a
minimum, CRM training elements must be completed in initial and
recurrent academic training. This final rule does not preclude an
operator from incorporating CRM training into its job performance
training curriculum if the operator determines it is necessary based on
the complexity of its operations.
The FAA has not required that all CRM instructors be employed by
the air carrier. The FAA believes that the current requirements for
instructors are appropriate. As with any other academic training,
whether or not an instructor is a direct employee of the part 119
certificate holder or the employee of a part 142 certificate holder
does not relieve the instructor or the certificate holder from the
requirement in 14 CFR 135.323 that all instructors must be properly
qualified to conduct the training in the certificate holder's training
program.
The FAA also received a comment from a commercial provider of CRM
training, Century CRM, LLC. Century CRM, LLC supported adoption of the
provisions in the NPRM with regard to requiring CRM training for part
135 operators, recognizing that CRM and human factors training are
crucial to flight safety. In addition, Century CRM recommended that the
FAA establish a minimum programmed hour requirement for CRM training to
cover the required CRM training topics.
The amount of CRM training that is necessary for each certificate
holder may vary based on the complexity of the operations. Therefore,
similar to the CRM training requirements for part 121 operators, the
FAA has not established a minimum programmed hour requirement for CRM
for part 135 operators. In evaluating and approving part 135 CRM
training programs, the FAA will consider instructional techniques, the
number of students in a class, the use of performance-based scenarios,
new training technology, the use of student feedback, the measurement
of training outcomes, as well as the time necessary to accomplish the
training requirements for each certificate holder.
The FAA is adopting the rule as proposed, with the exception that
certificate holders will not be permitted to give credit for initial
CRM training to new employees who have received initial CRM training
with another operator. Within 2 years after the effective date of this
rule, a certificate holder conducting part 135 operations is prohibited
from using a crewmember unless that person has completed the
certificate holder's approved initial CRM training.
Under the final rule, initial and recurrent CRM academic training
must be provided to crewmembers in part 135 operations. At a minimum,
the training must address the authority of the pilot in command,
communication processes, building and maintaining a flight team,
managing workload and time, maintaining situational awareness,
recognizing and mitigating fatigue and stress, and mastering the
aeronautical decision-making skills tailored to the certificate
holder's operations. This training is in addition to current training
requirements for crewmembers under part 135. In evaluating and
[[Page 3833]]
approving part 135 CRM training programs, the FAA will consider
instructional techniques, the number of students in a class, the use of
performance-based scenarios, new training technology, the use of
student feedback, the measurement of training outcomes, as well as the
number of hours of training time.
Paperwork Reduction Act
This final rule will impose the following new information
collection requirements. As required by the Paperwork Reduction Act of
1995 (44 U.S.C. 3507(d)), the FAA has submitted these information
collection amendments to OMB for its review. Notice of OMB approval for
this information collection will be published in a future Federal
Register document.
Title: Crew Resource Management Training for Crewmembers in Part
135 Operations.
Summary: This final rule requires CRM training for crewmembers in
14 CFR part 135 operations. This final rule is necessary to ensure that
crewmembers in part 135 operations receive training and practice in the
use of CRM principles, as appropriate for their operation. The intended
effect of this final rule is to reduce the frequency and severity of
errors that are crew-based, which will reduce the frequency of
accidents and incidents within the scope of part 135 operations.
Use of: This project is in direct support of the Department of
Transportation's Strategic Plan--Strategic Goal--SAFETY; i.e., to
promote the public health and safety by working toward the elimination
of transportation-related deaths and injuries. This clearance reflects
requirements necessary under Title 14 CFR part 135 to ensure safety-of-
flight by making certain that complete and adequate training is
provided and maintained by those who operate under this part of the
regulation. The FAA will use the information it collects and reviews to
ensure compliance and adherence to regulations and, where necessary, to
take enforcement action on violators of the regulations.
Respondents (including number of): The FAA estimated that there are
1,625 certificate holders who are required to provide information in
accordance with the final rule. The respondents to this proposed
information requirement are certificate holders using the training
requirements in 14 CFR part 135.
Frequency: The FAA estimated that certificate holders will have a
one time information collection and will then collect or report
information occasionally thereafter.
Annual Burden Estimate: This rulemaking results in a 10-year
recordkeeping and reporting burden as follows:
Summary of Time and Costs
[10-Year]
------------------------------------------------------------------------
Cost Hours
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Development and submission of CRM $302,260.00 8,636.0
Training Program.......................
Crewmember Training Record Keeping...... 65,540.50 1,872.5
-------------------------------
Total............................... 367,800.50 10,508.5
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As required by the Paperwork Reduction Act of 1995 (44 U.S.C.
3507(d)), the FAA submitted a copy of the new information collection
requirements in this final rule to the Office of Management and Budget
for its review.
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.
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 regulations.
IV. Regulatory Evaluation, Regulatory Flexibility Determination,
International Trade Impact Assessment, and Unfunded Mandates Assessment
Economic Evaluation, Regulatory Flexibility Determination,
International Trade Impact Assessment, and Unfunded Mandates Assessment
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 (Pub. L. 96-354) requires
agencies to analyze the economic impact of regulatory changes on small
entities. Third, the Trade Agreements Act (Pub. L. 96-39) 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, that they 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 with base year of
1995). This portion of the preamble summarizes the FAA's analysis of
the economic impacts of this rule. We suggest readers seeking greater
detail read the full regulatory evaluation, a copy of which we have
placed in the docket for this rulemaking.
In conducting these analyses, FAA has determined that this rule:
(1) Has benefits that justify its costs; (2) is not an economically
``significant regulatory action'' as defined in section 3(f) of
Executive Order 12866; (3) is not ``significant'' as defined in DOT's
Regulatory Policies and Procedures; (4) will not have a significant
economic impact on a substantial number of small entities; (5) will not
create unnecessary obstacles to the foreign commerce of the United
States; and (6) will not impose an unfunded mandate on State, local, or
Tribal governments, or on the private sector by exceeding the threshold
[[Page 3834]]
identified above. These analyses are summarized as follows.
Total Benefits and Costs of This Rule
As seen in Table 1, the cost of this rule is $12.749 million
($9.015 million in present value terms using a 7 percent discount
rate). Using a 25 percent accident rate reduction in which causal
factors involved CRM training, the benefits are $32.261 million
($21.021 million in present value terms using a 7 percent discount
rate). The net benefits from the rule will be $19.512 million ($12.016
million in present value terms using a 7 percent discount rate).
Table 1--Summary of the Total and Present Value CRM Training Costs and Benefits
[Rounded to the nearest thousand 2010 dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total costs Total benefits Benefits--costs
Year --------------------------------------------------------------------------------------------------------
Total P.V. 7% P.V. 3% Total P.V. 7% P.V. 3% Total P.V. 7% P.V. 3%
--------------------------------------------------------------------------------------------------------------------------------------------------------
2011........................................... $1,177 $1,101 $1,143 $0 $0 $0 ($1,177) ($1,101) ($1,143)
2012........................................... 1,870 1,634 1,762 0 0 0 (1,870) (1,634) (1,762)
2013........................................... 1,133 924 1,037 4,032 3,292 3,690 2,899 2,368 2,653
2014........................................... 1,155 881 1,026 4,032 3,076 3,583 2,877 2,195 2,557
2015........................................... 1,177 839 1,016 4,032 2,875 3,478 2,855 2,036 2,462
2016........................................... 1,200 799 1,005 4,032 2,687 3,377 2,832 1,888 2,372
2017........................................... 1,223 761 995 4,032 2,511 3,279 2,809 1,750 2,284
2018........................................... 1,247 726 984 4,032 2,347 3,183 2,785 1,621 2,199
2019........................................... 1,271 691 974 4,032 2,193 3,091 2,761 1,502 2,117
2020........................................... 1,296 659 964 4,032 2,050 3,001 2,736 1,391 2,037
--------------------------------------------------------------------------------------------------------
Total...................................... 12,749 9,015 10,906 32,261 21,031 26,681 19,512 12,016 15,775
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Aviation Industry Affected
The rule will affect part 135 certificate holders who are required
to have an approved training program. In 2009, there were 1,625 part
135 operators that employed 25,033 crewmembers, of which 24,447 were
pilots and 586 were flight attendants.
Period of Analysis
We used a 10-year time period (2011-2020) to calculate the CRM
training costs and benefits from CRM training. A 10-year period of
analysis is sufficient to determine costs and benefits because much of
the costs are front-loaded.
Risk of an Accident Caused by the Absence of CRM Training
We evaluated part 135 accidents from March 20, 1997 through March
7, 2008. During this time period, there were 24 accidents (18 involving
airplanes and 6 involving helicopters) with causal factors directly
related to a lack of effective CRM. These accidents were responsible
for 83 fatalities (66 involving airplanes and 17 involving helicopters)
and 12 serious injuries (all involving airplanes).
Further, of the 18 airplane accidents, 8 involved single-pilot
operations and 10 involved dual-pilot operations. All 6 of the
helicopter accidents involved single-pilot operations. The individual
accident histories are in the Final Regulatory Evaluation, which is in
the docket.
Assumptions and Data Used To Estimate Benefits
The values are $6 million for a prevented fatality, $2.015 million
for a prevented serious injury, and $53,000 for a minor injury.
Potential CRM Training Effectiveness and Benefits
We reviewed all part 121 accidents contained in the NTSB data base
between 1988 through 2007 involving the same causal factors relevant to
CRM and divided them into accidents occurring from 1988 through 1997,
and accidents occurring after 1997, the effective date of the CRM
training requirement for certificate holders conducting operations
under 14 CFR part 121. We then calculated the CRM training-related
accident rates for these two groups and found that the accident rates
decreased from 0.0000206 to 0.0000182 (an 11.65 percent decline) and
the accident rate for all fatal accidents decreased from 0.0000048 to
0.0000036 (a 25 percent decline). Although these rate reductions are
not statistically significant due to the infrequency of these
accidents, they can be useful in establishing an upper bound for the
potential CRM training effectiveness rate for part 135 operations.
In order to illustrate the potential part 135 CRM training
benefits, we applied the part 121 accident rate reductions of 25
percent for fatal accidents and 11.65 percent for non-fatal accidents
to the 24 CRM-related part 135 accidents. Had the CRM training rule
been effective in 1997 for all certificate holders conducting
operations under part 135 that are required to have an approved
training program, it could have prevented 2.75 of these fatal airplane
accidents involving 16.5 fatalities and 2.25 serious injuries, as well
as 1 fatal helicopter accident involving 4.25 fatalities. It also could
have prevented 1 non-fatal airplane and helicopter accident. On that
basis, the rule could have prevented 3.75 fatal accidents involving
20.75 fatalities and 2.25 serious injures.
Applying the DOT values to all of the accidents hypothetically
prevented, an upper-bound quantified benefit of about $121 million,
which has a present value of about $84 million using a 7 percent
discount rate, would have resulted had the rule been in effect since
1997.
Compliance Cost Assumptions
Current industry practice is the baseline for the incremental
compliance costs.
Each operator will provide training for its employees because CRM
training is classroom training that will be incorporated into the
current initial and recurrent academic training programs required by
existing rules.
All 26 large operators with more than 100 crewmembers and 10
percent of the 400 operators with 10-99 crewmembers (40 operators)
already provide CRM training and will incur minimal compliance costs.
The FAA estimates that 360 of the medium-sized operators and all of
the 1,199 small operators with fewer than 10 crewmembers currently do
not provide CRM training. These operators will incur compliance costs.
[[Page 3835]]
The average cost to develop a CRM training program will be $1,170
for a medium-sized operator and $680 for a small operator.
Current pilots and future new pilots in medium-sized operations
will need 4 hours for initial CRM training while those in small
operations will need 3 hours.
Current flight attendants and future new flight attendants will
need 2 hours for initial CRM training.
Annual recurrent CRM training will take one-half of the time that
initial CRM training would require.
There will be an average of 10 pilots in an initial or recurrent
CRM training session for a medium-sized operator and an average of 3.66
pilots for a small operator.
There will be an average of 3.92 flight attendants in an initial or
recurrent CRM training session for a medium-sized operator and an
average of 1.1 flight attendants for a small operator.
The average cost for an initial CRM pilot training session will be
$1,293 for a medium-sized operator and $428 for a small operator.
The average cost for an initial CRM flight attendant training
session will be $207 for a medium-sized operator and $94 for a small
operator.
The average cost for recurrent CRM pilot training will be $647 for
a medium-sized operator and $214 for a small operator.
The average cost for recurrent CRM flight attendant training will
be $104 for a medium-sized operator and $47 for a small operator.
Initial CRM training for crewmembers new to part 135 employment as
well as initial CRM training for crewmembers who change employers
within part 135 operators will be done on a one-to-one basis with the
trainer. The average cost will be $208 per new pilot hire for medium-
sized operators and $156 for small operators. The average cost will be
$76 per new flight attendant hire for medium-sized and small operators.
Compliance Costs
Based on those data and assumptions, as shown in Table 2, we
estimated that the rule from 2011 through 2020 would have a total cost
of $12.749 million, which would have a present value of $9.015 million
using a 7 percent discount rate, and a present value of $10.906 million
using a 3 percent discount rate.
Table 2--Summary of the Total CRM Training Costs by Source of Cost
[2011 through 2020]
[Rounded to the nearest thousand 2010 dollars]
----------------------------------------------------------------------------------------------------------------
Total costs
--------------------------------------------------------
Source of cost Present value Present value
Nominal (7%) (3%)
----------------------------------------------------------------------------------------------------------------
EXISTING OPERATOR CRM PLAN............................. $1,177 $1,101 $1,143
NEW OPERATOR CRM PLAN.................................. 345 234 290
EXISTING PILOT TRAINING................................ 1,621 1,415 1,527
NEW PILOT TRAINING..................................... 1,513 1,015 1,267
JOB-TRANSFERRED PILOT TRAINING......................... 882 582 733
PILOT RECURRENT (ANNUAL) TRAINING...................... 7,135 4,617 5,881
FLIGHT ATTENDANT TRAINING.............................. 76 51 65
--------------------------------------------------------
TOTAL.............................................. 12,749 9,015 10,906
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Cost-Benefit Comparison
As presented earlier, an upper-bound estimate of the quantified
benefits using a $6 million value for a prevented fatality would be
$121 million, which would be larger than the undiscounted compliance
cost of $12.75 million.
An alternative way of looking at the cost-benefit analysis is that
if the rule were to prevent only 2 fatalities and 1 serious injury
during this 10-year period, the rule would be cost beneficial.
Finally, we should not overlook the fact that 9 out of 9 operators
we surveyed already provide CRM training. Thus, these operators have
already made an implied internal cost-benefit analysis that the
benefits from CRM training are worth its costs.
For those reasons, we conclude that the CRM training rule would be
cost beneficial.
Regulatory Flexibility Determination
The Regulatory Flexibility Act of 1980 (Pub. L. 96-354) (RFA)
establishes ``as a principle of regulatory issuance that agencies shall
endeavor, consistent with the objectives of the rule and of applicable
statutes, to fit regulatory and informational requirements to the scale
of the businesses, organizations, and governmental jurisdictions
subject to regulation. To achieve this principle, agencies are required
to solicit and consider flexible regulatory proposals and to explain
the rationale for their actions to assure that such proposals are given
serious consideration.'' 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 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 RFA.
However, if an agency determines that a 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. Based on the following, the FAA certifies that this rule would
not have a significant impact on a substantial number of small
entities.
There would be 1,559 small entities employing 11,815 crewmembers
under the North American Industrial Classification System (NACIS) codes
481211 (Non-Scheduled Air Services) and 621910 (Ambulance Services)
that would be affected by the rule. The average number of crewmembers
would be 7.6. The Small Business Administration (SBA) has established,
under NAICS code 481211, that all operators with fewer than 1,500
employees are small businesses. Furthermore, for all operators that
fall
[[Page 3836]]
under NAICS code 621910, SBA has established that all operators with
annual receipts of $7 million or less are small businesses. All of the
operators affected by the rule except one are small businesses.
This rule will not have a significant economic impact on a
substantial number of entities because the average initial cost per
operator is between $680 and $1,170. Further, the average annual cost
per operator is $450, which is less than one percent of annual
revenues. The Initial Regulatory Flexibility Assessment had estimated
similar compliance costs and the FAA received no adverse comments in
response to its assessment.
Therefore, as Administrator I certify that this rule will not have
a significant economic impact on a substantial number of small
entities.
International Trade Analysis
The Trade Agreements Act of 1979 (Pub. L. 96-39), as amended by the
Uruguay Round Agreements Act (Pub. L. 103-465), prohibits Federal
agencies from establishing any standards or engaging in related
activities that create unnecessary obstacles to the foreign commerce of
the United States. Pursuant to these Acts, the establishment of
standards are not considered unnecessary obstacles to the foreign
commerce of the United States, so long as the standards have a
legitimate domestic objective, such as the protection of safety, and do
not operate in a manner that excludes imports that meet this objective.
The FAA notes the purpose is to ensure the safety of the American
public, and has assessed the effects of this rule to ensure it does not
exclude imports that meet this objective. As a result this rule is not
considered as creating an unnecessary obstacle to foreign commerce.
Unfunded Mandates Assessment
Title II of the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-
4) 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
(in 1995 dollars) 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 $143.1 million in lieu of $100
million. This rule does not contain such a mandate; therefore, the
requirements of Title II of the Act do not apply.
Executive Order 13132, Federalism
The FAA has analyzed this final rule under the principles and
criteria of Executive Order 13132, Federalism. We determined that this
action does not have a substantial direct effect on the States, or the
relationship between the Federal Government and the States, or on the
distribution of power and responsibilities among the various levels of
government, and, therefore, does not have federalism implications.
Regulations Affecting Intrastate Aviation in Alaska
Section 1205 of the FAA Reauthorization Act of 1996 (110 Stat.
3213) requires the FAA, when modifying its regulations in a manner
affecting intrastate aviation in Alaska, to consider the extent to
which Alaska is not served by transportation modes other than aviation,
and to establish appropriate regulatory distinctions. In the NPRM, we
requested comments on whether the proposed rule should apply
differently to intrastate operations in Alaska. We did receive a
comment from the NTSB recommending that this rule should apply to
operations in Alaska. We have determined, based on the administrative
record of this rulemaking, that there is no need to make any regulatory
distinctions applicable to intrastate aviation in Alaska.
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 rulemaking action qualifies for the categorical
exclusion identified in paragraph 312F and involves no extraordinary
circumstances.
Regulations That Significantly Affect Energy Supply, Distribution, or
Use
The FAA analyzed this final rule under Executive Order 13211,
Actions Concerning Regulations that Significantly Affect Energy Supply,
Distribution, or Use (May 18, 2001). We have determined that it is not
a ``significant energy action'' under the executive order because it is
not likely to have a significant adverse effect on the supply,
distribution, or use of energy.
Availability of Rulemaking Documents
You can get an electronic copy of rulemaking documents using the
Internet by--
1. Searching the Federal eRulemaking Portal (http://www.regulations.gov);
2. Visiting the FAA's Regulations and Policies Web page at http://www.faa.gov/regulations_policies/; 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 amendment number or docket number of this
rulemaking.
Anyone is able to search the electronic form of all comments
received into any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted 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 (Volume 65, Number 70; Pages 19477-78) or you may visit
http://DocketsInfo.dot.gov.
Small Business Regulatory Enforcement Fairness Act
The Small Business Regulatory Enforcement Fairness Act (SBREFA) of
1996 requires FAA to comply with small entity requests for information
or advice about compliance with statutes and regulations within its
jurisdiction. If you are a small entity and you have a question
regarding this document, you may contact your local FAA official, or
the person listed under the FOR FURTHER INFORMATION CONTACT heading at
the beginning of the preamble. You can find out more about SBREFA on
the Internet at http://www.faa.gov/regulations_policies/rulemaking/sbre_act/.
List of Subjects in 14 CFR Part 135
Air carriers, Aircraft, Aviation safety, Reporting and
recordkeeping requirements, Safety, Transportation.
The Amendment
In consideration of the foregoing, the Federal Aviation
Administration amends Chapter I of Title 14, Code of Federal
Regulations, as follows:
PART 135--OPERATING REQUIREMENTS: COMMUTER AND ON DEMAND OPERATIONS
AND RULES GOVERNING PERSONS ON BOARD SUCH AIRCRAFT
0
1. The authority citation for part 135 continues to read as follows:
Authority: 49 U.S.C. 106(g), 41706, 40113, 44701-44702, 44705,
44709, 44711-44713, 44715-44717, 44722, 45101-45105.
[[Page 3837]]
0
2. In Sec. 135.329, add paragraph (a)(4) to read as follows:
Sec. 135.329 Crewmember training requirements.
(a) * * *
(4) Crew resource management training in Sec. 135.330.
* * * * *
0
3. Add Sec. 135.330 to subpart H to read as follows:
Sec. 135.330 Crew resource management training.
(a) Each certificate holder must have an approved crew resource
management training program that includes initial and recurrent
training. The training program must include at least the following:
(1) Authority of the pilot in command;
(2) Communication processes, decisions, and coordination, to
include communication with Air Traffic Control, personnel performing
flight locating and other operational functions, and passengers;
(3) Building and maintenance of a flight team;
(4) Workload and time management;
(5) Situational awareness;
(6) Effects of fatigue on performance, avoidance strategies and
countermeasures;
(7) Effects of stress and stress reduction strategies; and
(8) Aeronautical decision-making and judgment training tailored to
the operator's flight operations and aviation environment.
(b) After March 22, 2013, no certificate holder may use a person as
a flightcrew member or flight attendant unless that person has
completed approved crew resource management initial training with that
certificate holder.
(c) For flightcrew members and flight attendants, the
Administrator, at his or her discretion, may credit crew resource
management training completed with that certificate holder before March
22, 2013, toward all or part of the initial CRM training required by
this section.
(d) In granting credit for initial CRM training, the Administrator
considers training aids, devices, methods and procedures used by the
certificate holder in a voluntary CRM program included in a training
program required by Sec. 135.341, Sec. 135.345, or Sec. 135.349.
0
4. In Sec. 135.351, revise paragraph (b)(2) to read as follows:
Sec. 135.351 Recurrent training.
* * * * *
(b) * * *
(2) Instruction as necessary in the subjects required for initial
ground training by this subpart, as appropriate, including low-altitude
windshear training and training on operating during ground icing
conditions as prescribed in Sec. 135.341 and described in Sec.
135.345, crew resource management training as prescribed in Sec.
135.330, and emergency training as prescribed in Sec. 135.331.
* * * * *
Issued in Washington, DC, on January 11, 2011.
J. Randolph Babbitt,
Administrator.
[FR Doc. 2011-1211 Filed 1-20-11; 8:45 am]
BILLING CODE 4910-13-P