[Federal Register Volume 77, Number 56 (Thursday, March 22, 2012)]
[Rules and Regulations]
[Pages 16664-16668]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-6886]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 67
[Docket No. FAA-2012-0056; Amdt. No. 67-21]
RIN 2120-AK00
Removal of the Requirement for Individuals Granted the Special
Issuance of a Medical Certificate To Carry Their Letter of
Authorization While Exercising Pilot Privileges
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Direct final rule; request for comments.
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SUMMARY: This rule removes a regulatory provision under Federal
Aviation Administration (FAA) medical certification standards intended,
in part, to require that individuals granted the Special Issuance of a
Medical Certificate (Authorization) have their letter of Authorization
in their physical possession or readily accessible on the aircraft
while exercising pilot privileges. The FAA imposed this regulatory
provision in 2008 to respond to a 2007 International Civil Aviation
Organization (ICAO) adverse audit finding regarding endorsement of FAA
certificates. The FAA is not aware of any individuals affected by the
standard who have had to produce their letter of Authorization for any
civil aviation authorities during the 3-year period the rule has been
in effect. For this reason, and because affected individuals find the
standard burdensome given that other longstanding FAA operational
requirements already mandate that pilots carry their medical
certificate when exercising pilot privileges, the FAA has identified
this regulation as one that can be removed under Executive Order 13563
of January 18, 2011: ``Improving Regulation and Regulatory Review.''
While this action removes the burden for affected individuals to carry
their medical letter of Authorization, long-standing requirements under
FAA operational standards requiring individuals to carry FAA
certificates while exercising pilot privileges remain unchanged.
DATES: Effective July 20, 2012.
Submit comments on or before May 21, 2012. If adverse comment is
received, the FAA will publish a timely withdrawal in the Federal
Register.
ADDRESSES: You may send comments identified by docket number FAA-2012-
0056 using any of the following methods:
Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for sending your
comments electronically.
Mail: Send comments to Docket Operations, M-30; U.S.
Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room
W12-140, West Building Ground Floor, Washington, DC 20590-0001.
Hand Delivery or Courier: Take comments to Docket
Operations in Room W12-140 of the West Building Ground Floor at 1200
New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.
Fax: Fax comments to Docket Operations at (202) 493-2251.
Privacy: The FAA will post all comments it receives, without
change,
[[Page 16665]]
to http://www.regulations.gov, including any personal information the
commenter provides. Using the search function of the docket web site,
anyone can find and read the electronic form of all comments received
into any FAA docket, including the name of the individual sending the
comment (or signing the comment for an association, business, labor
union, etc.). DOT's complete Privacy Act Statement can be found in the
Federal Register published on April 11, 2000 (65 FR 19477-19478), as
well as at http://DocketsInfo.dot.gov.
Docket: Background documents or comments received may be read at
http://www.regulations.gov at any time. Follow the online instructions
for accessing the docket or go to Docket Operations in Room W12-140 of
the West Building Ground Floor at 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays.
FOR FURTHER INFORMATION CONTACT: For technical questions concerning
this action, contact Ms. Judi Citrenbaum, Office of Aerospace Medicine,
Federal Aviation Administration, 800 Independence Avenue SW.,
Washington, DC 20591; telephone (202) 267-9689; email
[email protected].
For legal questions concerning this action, contact Sabrina Jawed,
Office of the Chief Counsel, Regulations Division, Federal Aviation
Administration, 800 Independence Avenue SW., Washington, DC 20591;
telephone (202) 267-3073; email [email protected].
SUPPLEMENTARY INFORMATION:
Authority for This Rulemaking
The FAA's authority to issue rules on aviation safety is found in
Title 49 of the United States Code. Subtitle I, Section 106 describes
the authority of the FAA Administrator. Subtitle VII, Aviation
Programs, describes in more detail the scope of the Agency's authority.
This rulemaking is promulgated under the authority described in
Subtitle VII, Part A, Subpart III, Chapter 447, Sections 44701, 44702
and 44703. Under Section 44701 the Administrator has the authority to
prescribe regulations and minimum standards for practices, methods and
procedures necessary for safety in air commerce and national security.
Under Section 44702 the Administrator has the authority to issue
certificates. More specifically, under Section 44703(b)(C) the
Administrator has the authority to decide terms necessary to ensure
safety in air commerce, including terms on the duration of certificates
and tests of physical fitness. This rule removes a regulatory provision
that requires individuals granted the Special Issuance of a Medical
Certificate to have their letter of Authorization in their physical
possession or readily accessible on the aircraft while exercising pilot
privileges. For this reason, the proposed change is within the scope of
the FAA's authority and is a reasonable and necessary exercise of the
FAA's statutory obligations.
The Direct Final Rule Procedure
The FAA is adopting this action without prior notice and prior
public comment as a direct final rule. Individuals granted the Special
Issuance of a Medical Certificate are required to carry sufficient
documentation validating their medical fitness to fly, but should not
have the additional burden of carrying their letter of Authorization.
The FAA has identified this action as burden-relieving under Executive
Order 13563 of January 18, 2011, entitled ``Improving Regulation and
Regulatory Review,'' because affected individuals no longer will have
to carry their letter of Authorization with them when exercising pilot
privileges. The Regulatory Policies and Procedures of the Department of
Transportation (DOT) (44 FR 1134; February 26, 1979) provide that, to
the maximum extent possible, operating administrations for the DOT
should provide an opportunity for public comment on regulations issued
without prior notice. Accordingly, the FAA invites interested persons
to participate in this rulemaking by submitting written comments, data,
or views. The Agency also invites comments relating to the economic,
environmental, energy, or federalism impacts that might result from
adopting this final rule.
Unless a written adverse or negative comment or a written notice of
intent to submit an adverse or negative comment is received within the
comment period, the regulation will become effective on the date
specified above. After the close of the comment period, the FAA will
publish a document in the Federal Register indicating that no adverse
or negative comments were received, and confirming the date on which
the final rule will become effective. If the FAA does receive an
adverse or negative comment within the comment period, or written
notice of intent to submit such a comment, a document withdrawing the
direct final rule will be published in the Federal Register, and a
notice of proposed rulemaking may be published with a new comment
period.
See the ``Additional Information'' section for information on how
to comment on this direct final rule and how the FAA will handle
comments received. The ADDRESSES section contains related information
about the docket, privacy, and the handling of proprietary or
confidential business information. In addition, there is information on
obtaining copies of related rulemaking documents.
I. Overview of Final Rule
As discussed in greater detail throughout this document, this final
rule relieves individuals vetted through the FAA special-issuance
medical certification process from having to carry their FAA-issued
letter of Authorization with them when exercising pilot privileges.
Individuals granted special-issuance medical certification are issued a
time-limited FAA medical certificate along with a letter of
Authorization. Collectively both documents comprise an individual's
Authorization. According to FAA records, the FAA issued 28,423
Authorizations in the 2011 fiscal year. Under Executive Order 13563 of
January 18, 2011, the FAA identified this action as burden-relieving
for affected individuals. This rule imposes no cost on affected pilots.
It imposes only a one-time, minor administrative cost to the FAA
associated with removing a reference on the FAA medical certificate
(FAA Form 8500-9) to the current standard. This rule removes only the
requirement to carry the letter of Authorization. It does not remove or
modify longstanding operational requirements under Title 14 of the Code
of Federal Regulations, Part 61, Sec. 61.3, regarding documentation
that must be in an individual's personal possession or readily
accessible in the aircraft when exercising pilot privileges.
II. Background
In November 2007, ICAO, the aviation wing of the United Nations,
audited the civil aviation safety oversight system of the United States
as part of the ICAO Universal Safety Oversight Audit Program (USOAP).
ICAO USOAP teams assess whether signatory states, such as the United
States, meet international civil aviation standards. Civil aviation
licensing and credentialing system compliance with international
standards is a main focus area of these audits. As a result of the 2007
audit, the United States received a finding specifying that certain
U.S. licenses are not ``systematically endorsed as stipulated by
Article 39 \1\ of the Chicago
[[Page 16666]]
Convention, when the holders do not satisfy in full the conditions laid
down in the international standard with respect to the class of licence
(sic) or certificate of holders.''
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\1\ Article 39 of the Chicago Convention of 1944 stipulates the
following: ``Any person holding a license who does not satisfy in
full the conditions laid down in the international standard relating
to the class of license or certificate which he holds shall have
endorsed on or attached to his licence (sic) a complete enumeration
of the particulars in which he does not satisfy such conditions.''
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U.S. pilots who fly internationally must comply with international
aviation standards. In cases where ICAO standards may exceed U.S.
standards, U.S. pilots take measures to make sure they conform with
ICAO standards for international operations. For example, U.S. pilots
serving as second-in-command on a U.S.-registered aircraft must hold an
FAA commercial pilot certificate and an FAA second-class medical
certificate. ICAO standards require commercial pilots to meet ICAO
Class 1 medical assessment standards, which include electrocardiography
provisions. While ICAO Class 1 medical assessment standards and FAA
first-class medical standards include electrocardiography provisions,
FAA second-class medical standards do not. When exercising privileges
internationally, therefore, U.S. second-in-command pilots would obtain
an FAA first-class medical certificate to compensate for the
electrocardiography difference. As specified in this example, U.S.
pilots exercising privileges internationally take measures necessary to
conform to ICAO standards; therefore, the FAA has not found cause to
``systematically'' endorse medical certificates of U.S. pilots.
Explanations provided at the time of the audit in this regard, however,
were not sufficient to avoid ICAO's finding for corrective action.
Because Article 39 of the Chicago Convention provides that
endorsements may be placed on ``or attached to'' a license, the focus
of the corrective action plan was limited to a small population of
pilots who, due to special medical considerations, are granted a time-
limited, special-issuance medical certificate along with a letter of
Authorization. These individuals, the FAA determined, are most likely
to be most impacted by the ICAO finding. The letter of Authorization
serves as an addendum to the special-issuance medical certificate for
affected individuals, and provides information regarding conditions
affected individuals must meet in order to exercise pilot privileges.
The FAA determined that a corrective action requiring, in part, that
individuals carry their Authorization when exercising pilot privileges
would be more acceptable than developing and implementing burdensome
new licensing procedures for all pilots.
Therefore, on July 24, 2008, the FAA issued a final rule (73 FR
43059) that amended Sec. 67.401 to add new paragraph (j) requiring
individuals holding an Authorization to carry it with them when
exercising pilot privileges. In addition to this regulatory
requirement, the FAA also revised the FAA medical certificate (FAA Form
8500-9) not only to note this requirement for affected medical
certificate holders, but also to add more elaborate regulatory
references and instructions for all pilots, including instructions to
consult the U.S. Aeronautical Information Publication, which contains a
listing of U.S. differences with ICAO Standards and Recommended
Practices, when flying internationally. By adding several important
regulatory references and instructions on the medical certificate, as
suggested during the ICAO audit, the FAA met the intent of the ICAO
audit finding. The regulatory references and instructions added to the
medical certificate will remain as enumerated on FAA medical
certificates, only the ``Note'' making reference to the letter of
Authorization will be removed by this action.
III. Discussion of the Direct Final Rule
Before an Authorization is granted, applicants must be thoroughly
vetted through a lengthy and rigorous FAA medical certification
process. As specified under Sec. 67.401, individuals with specifically
disqualifying medical conditions are medically certificated only when
they can demonstrate to the satisfaction of the Federal Air Surgeon
that the duties authorized by the class of medical certificate applied
for can be performed without endangering public safety for the period
of time the certificate is held. To demonstrate ability, a special
medical flight test, practical test, extensive medical evaluation, or
any combination of these may be required. An individual's operational
experience and any medical facts that may affect the ability of the
individual to perform airman duties is taken into consideration before
medical certification is granted.
With such a viable and rigorous special-issuance medical
certification process, the FAA did not anticipate an ICAO audit finding
that would result in further regulatory requirements. As such, adding
Sec. 67.401 (j) to require affected individuals to carry their letter
of Authorization was not an expected outcome of the ICAO audit, but was
put forth as a negotiated compromise in the audit corrective action
plan. The Sec. 67.401 (j) requirement has not been well-received by
affected U.S. pilots. The FAA continues to receive complaints from
affected U.S. pilots that the full force of the requirement is overly
burdensome as well as invasive. It was imposed, however, out of concern
that traditional enumeration placed on U.S. medical certificates under
the FAA's special-issuance medical certification process might not be
detailed enough for affected U.S. pilots during a ramp check in a
foreign country, for example. Having the letter of Authorization
readily available was deemed to be in the affected pilots' best
interest. With 3 years of experience under the rule, however, the FAA
is not aware that any civil aviation authority has requested any
affected U.S. pilot to produce a letter of Authorization.
In August 2010, the FAA informed ICAO that the U.S. would prefer to
remove this requirement, and received no objection to this request. In
addition, in April 2011, the FAA conducted a briefing on this matter
for a member of the ICAO Air Navigation Commission, indicating that,
unless objections were raised, the United States would proceed to
revise the regulation to make it less burdensome. The series of new
regulatory references and instructions added to all U.S. medical
certificates provides sufficient information to medical certificate
holders regarding the need for compliance with international standards
when exercising pilot privileges.
This action, therefore, removes paragraph (j) of Sec. 67.401 and
deletes the ``Note'' on FAA medical certificates under the header
``Conditions of Issue,'' which directs affected individuals to carry
their letter of Authorization. This action does not affect longstanding
FAA operational requirements under Sec. 61.3 regarding FAA
certificates that must be carried while exercising pilot privileges,
including FAA medical certificates.
Paragraph (j) of Sec. 67.401 no longer will apply once this rule
becomes effective. This means that the ``Note'' under the regulatory
reference to Sec. 67.401 (j) listed under the ``Conditions of Issue''
on an individual's existing FAA medical certificate no longer will be
necessary. This does not mean that the FAA needs or intends to re-issue
medical certificates. It will be acceptable for the FAA medical
certificate to reference this ``Note'' until an individual's medical
certificate is renewed. The FAA will begin using medical certificates
with updated ``Conditions of Issue'' that do not include reference to
the removed
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standard as soon as possible following the effective date of the rule.
IV. Regulatory 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 and Executive Order 13563 direct
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 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
proposed rule.
Department of Transportation Order DOT 2100.5 prescribes policies
and procedures for simplification, analysis, and review of regulations.
If the expected cost impact is so minimal that a proposed or final rule
does not warrant a full evaluation, this order permits a statement to
that effect and the basis for it to be included in the preamble if a
full regulatory evaluation of the cost and benefits is not prepared.
Such a determination has been made for this direct final rule. The
reasoning for this determination follows:
A. Regulatory Evaluation
Benefit
The benefit of this direct final rule will be that it relieves
approximately 28,000 airmen vetted through the FAA special-issuance
medical certification process from having to carry their FAA-issued
letter of Authorization with them when they fly.
Costs
This rule removes a regulatory provision that requires airmen who
have been granted the Special Issuance of a Medical Certificate to have
their letter of Authorization in their physical possession or readily
accessible on the aircraft while exercising pilot privileges. The only
cost associated with this rule is FAA manpower cost associated with
making a revision to the FAA medical certificate (FAA Form 8500-9) to
remove a reference to the standard that is being removed.
We estimate that it will take an FAA information technology program
manager approximately 8 hours to make the revision to the FAA medical
certificate. With a burdened labor rate of $115, the total cost is $923
($863 present value).
The FAA has, therefore, determined that this final rule is not an
economically ``significant regulatory action'' as defined in section
3(f) of Executive Order 12866 and is not ``significant'' as defined in
DOT's Regulatory Policies and Procedures.
B. 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.
This rule is burden-relieving; it imposes no cost on affected
pilots. Consequently, as the Acting FAA Administrator I certify that
the final rule will not have a significant economic impact on a
substantial number of small entities.
C. International Trade Impact 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 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 is not
considered an unnecessary obstacle to the foreign commerce of the
United States, so long as the standard has a legitimate domestic
objective, such as the protection of safety, and does not operate in a
manner that excludes imports that meet this objective. 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 direct final rule and determined
that it will primarily have only a domestic impact and therefore no
effect on international trade.
D. 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 final rule does not contain such a mandate; therefore,
the requirements of Title II of the Act do not apply.
E. Paperwork Reduction Act
The Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)) requires
that the FAA consider the impact of paperwork and other information
collection burdens imposed on the public. 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 Office of Management and Budget (OMB) control number.
This rule is burden-relieving. No information collection is
associated with the removal of the requirement for affected individuals
to carry their letter of Authorization or with the removal of certain
notation on medical certificates. The Office of Management and Budget
(OMB) has approved the collection of information associated with
medical certification in accordance with the provisions of the
Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)) under OMB Control
Number 2120-0034, valid through August 31, 2014.
F. International Compatibility
In keeping with U.S. obligations under the Convention on
International Civil Aviation, it is FAA policy to conform to
International Civil Aviation Organization (ICAO) Standards and
Recommended Practices to the maximum extent practicable. Prior to
[[Page 16668]]
adopting this action, the FAA consulted with ICAO counterparts in the
ICAO Aviation Medicine Section and on the ICAO Air Navigation
Commission to inform them this action is being taken. The FAA did not
receive any objections to removing this regulatory provision.
V. Executive Order Determinations
A. Executive Order 13132, Federalism
The FAA has analyzed this final rule under the principles and
criteria of Executive Order 13132, Federalism. The Agency determined
that this action will 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.
B. Executive Order 13211, 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). The agency has determined that it
is not a ``significant energy action'' under the executive order and it
is not likely to have a significant adverse effect on the supply,
distribution, or use of energy.
VI. Additional Information
A. Comments Invited
The FAA invites interested persons to participate in this
rulemaking by submitting written comments, data, or views. The Agency
also invites comments relating to the economic, environmental, energy,
or federalism impacts that might result from adopting the rulemaking
action in this document. The most helpful comments reference a specific
portion of the rulemaking action, explain the reason for any
recommended change, and include supporting data. To ensure the docket
does not contain duplicate comments, commenters should send only one
copy of written comments, or if comments are filed electronically,
commenters should submit only one time.
The FAA will file in the docket all comments it receives, as well
as a report summarizing each substantive public contact with FAA
personnel concerning this rulemaking. Before acting on this rulemaking
action, the FAA will consider all comments it receives on or before the
closing date for comments. The FAA will consider comments filed after
the comment period has closed if it is possible to do so without
incurring expense or delay. The Agency may change this rulemaking
action in light of the comments it receives.
B. Availability of Rulemaking Documents
An electronic copy of rulemaking documents may be obtained from 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.gpo.gov/fdsys/.
Copies may also be obtained 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.
Commenters must identify the docket or amendment number of this
rulemaking.
All documents the FAA considered in developing this rulemaking
action, including economic analyses and technical reports, may be
accessed from the Internet through the Federal eRulemaking Portal
referenced in item (1) above.
List of Subjects in 14 CFR Part 67
Aircraft, Airmen, Alcohol abuse, Drug abuse, Recreation and
recreation areas, Reporting and recordkeeping requirements.
The Amendment
In consideration of the foregoing, the Federal Aviation
Administration amends chapter I of title 14, Code of Federal
Regulations as follows:
PART 67--MEDICAL STANDARDS AND CERTIFICATION
0
1. The authority citation for part 67 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701-44703, 44707, 44709-
44711, 45102-45103, 45301-45303.
Sec. 67.401 [Amended]
0
2. Amend Sec. 67.401 by removing paragraph (j).
Issued in Washington, DC, on March 8, 2012.
Michael P. Huerta,
Acting Administrator.
[FR Doc. 2012-6886 Filed 3-21-12; 8:45 am]
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