[Federal Register Volume 80, Number 240 (Tuesday, December 15, 2015)]
[Rules and Regulations]
[Pages 77586-77588]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-30758]


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NATIONAL TRANSPORTATION SAFETY BOARD

49 CFR Part 830

[Docket No. NTSB-AS-2012-0001]
RIN 3147-AA11


Notification and Reporting of Aircraft Accidents or Incidents and 
Overdue Aircraft, and Preservation of Aircraft Wreckage, Mail, Cargo, 
and Records

AGENCY: National Transportation Safety Board (NTSB).

ACTION: Direct final rule.

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SUMMARY: The NTSB is publishing an amendment to its regulations 
concerning notification and reporting requirements with regard to 
aircraft accidents or incidents, titled, ``Immediate notification.'' 
The regulation currently requires reports of Airborne Collision and 
Avoidance System (ACAS) advisories issued under certain specific 
circumstances. The NTSB now narrows the ACAS reporting requirement, 
consistent with the agency's authority to issue non-controversial 
amendments to rules, pursuant to the direct final rulemaking procedure. 
The NTSB also updates its contact information for notifications.

DATES: This direct final rule will be effective February 16, 2016, 
without further notice, unless the NTSB receives adverse comment by 
January 14, 2016. If the NTSB receives adverse comment, we will publish 
a timely withdrawal of the direct final rule in the Federal Register 
informing the public that the rule will not take effect.

ADDRESSES: A copy of this direct final rule, published in the Federal 
Register, is available for inspection and copying in the NTSB's public 
reading room, located at 490 L'Enfant Plaza SW., Washington, DC 20594-
2000. Alternatively, a copy of the rule is available on the NTSB Web 
site, at http://www.ntsb.gov, and at the government-wide Web site on 
regulations, at http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Scott Dunham, National Resource 
Specialist--ATC, Office of Aviation Safety, (202) 314-6387.

SUPPLEMENTARY INFORMATION: 

Regulatory History

    On October 7, 2008, the NTSB published a Notice of Proposed 
Rulemaking (NPRM) titled ``Notification and Reporting of Aircraft 
Accidents or Incidents and Overdue Aircraft, and Preservation of 
Aircraft Wreckage, Mail, Cargo, and Records.'' 73 FR 58520. The NPRM 
proposed several additions to 49 CFR 830.5, to require reports of 
various types of serious aviation incidents. Among the proposed 
requirements, the NTSB sought mandatory reports of Airborne Collision 
Avoidance System (ACAS) resolution advisories issued either (i) when an 
aircraft is being operated on an instrument flight rules (IFR) flight 
plan and compliance with the advisory is necessary to avert a 
substantial risk of collision between two or more aircraft, or (ii) to 
an aircraft operating in class A airspace. 73 FR 58523-24.
    On January 7, 2010, the NTSB published its amendment to the final 
rule by requiring operators of civil aircraft to report certain ACAS 
incidents, along with other types of serious incidents. 75 FR 922. The 
NTSB explained its intent in imposing this reporting requirement is to 
identify, evaluate, and investigate (when appropriate) serious 
incidents where aircraft maneuvers were required to avert a substantial 
risk of collision between aircraft equipped with traffic collision 
avoidance systems (TCAS) and other aircraft and to evaluate situations 
where resolution advisories occur between aircraft under positive 
control in class A airspace. The NTSB clarified it did not intend to 
require the reporting of all resolution advisories or, outside class A 
airspace, to require the reporting of any resolution advisory resulting 
from an encounter between aircraft where no substantial risk of 
collision exists. 75 FR 925-26.
    The NTSB stated it believed the reporting requirement would achieve 
the NTSB's objective of receiving notification of aircraft encounters 
that

[[Page 77587]]

present a significant risk of collision. In the Final Rule, the NTSB 
adopted the proposed language, which now appears at 49 CFR 
830.5(a)(10).\1\
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    \1\ On December 8, 2011, the NTSB published an NPRM proposing to 
exempt certain ``monitor vertical speed'' advisories from Sec.  
830.5(a)(10)(ii). 76 FR 76686. The NTSB did not incorporate this 
exemption in an amendment to the rule.
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Collection of Reports

    By this direct final rule, the NTSB removes the requirement of 
notifications of ACAS reports from aircraft operators within Class A 
airspace. The NTSB has determined, through review of the types of 
events submitted, that it is possible to reduce the scope of the 
notification requirement while still achieving the safety objective of 
the rule, which is to increase our awareness of potentially hazardous 
occurrences in the air traffic control system.
    When it issued the requirement of Sec.  830.5(a)(10), the NTSB 
anticipated its collection of ACAS incident reports would educate the 
agency concerning whether the TCAS equipment functioned appropriately. 
In addition, the NTSB sought information concerning whether operators 
received improper resolution advisories, as well as a general 
understanding of the effectiveness of TCAS.
    Collecting the data on the volume of TCAS alerts that fulfill the 
criteria listed in Sec.  830.5(a)(10) has been educational and has 
assisted the NTSB Office of Aviation Safety with understanding the 
general effectiveness of TCAS as well as the types of encounters that 
are likely to cause TCAS resolution advisories.
    Amending Sec.  830.5(a)(10) to narrow the reporting requirement of 
TCAS resolution advisories also achieves the purpose of Executive Order 
13579, ``Regulation and Independent Regulatory Agencies'' (76 FR 41587, 
July 14, 2011). The purpose of Executive Order 13579 is to ensure all 
agencies adhere to the key principles found in Executive Order 13563, 
``Improving Regulation and Regulatory Review'' (76 FR 3821, January 21, 
2011), which emphasizes agencies must promulgate regulations that are 
written plainly and clearly written, and do not present duplicative or 
unnecessary requirements. Removing the requirement of notifications 
from aircraft operators within Class A airspace that receive a TCAS 
resolution advisory achieves the purpose of Executive Order 13563, 
because the NTSB has concluded the notifications are not necessary.

Direct Final Rulemaking Procedure

    The NTSB has determined it is appropriate to narrow the reporting 
requirement in Sec.  830.5(a)(10) by publishing a Direct Final Rule. On 
September 23, 2015, the NTSB published a Final Rule codifying its 
authority to utilize the direct final rulemaking process to alter rules 
that are not controversial and to which the NTSB does not expect 
substantive comments. 80 FR 57307. As explained in its NPRM describing 
this process, agencies frequently use the direct final rulemaking 
process for minor changes to rules to which it does not expect adverse 
comments. 80 FR 34874 (June 18, 2015). The NTSB's rule on this 
procedure, codified at 49 CFR 800.44, states a direct final rule makes 
changes to a regulation which will take effect on a certain date unless 
the NTSB receives an adverse comment or a notice of intent to file an 
adverse comment. If the NTSB receives an adverse comment or notice of 
intent to file one, the agency will publish a document in the Federal 
Register withdrawing the rule change. The NTSB may then issue an NPRM 
proposing the change it sought to make by way of the direct final 
rulemaking process. Id. Sec.  800.44(d). Section 800.44 also defines 
``adverse comment'' for purposes of the direct final rulemaking 
procedure.
    This change limits required notifications to events that evidence a 
significant risk of collision, thereby reducing the regulatory burden 
on aircraft operators while continuing to achieve the safety objective 
of the rule. Informal discussions with organizations such as Air Line 
Pilots Association, International, Airlines for America, Regional 
Airline Association, and National Air Carrier Association have shown 
these organizations support the amendment. Overall, we do not expect to 
receive any negative industry comments.

Legal Analyses and Effective Date

    The NTSB notes it analyzed the potential application of the 
Regulatory Flexibility Act (5 U.S.C. 601-612) to this rule. The NTSB 
certifies under 5 U.S.C. 605(b) that this rule would not have a 
significant economic impact on a substantial number of small entities.
    In addition, this rule will not require collection of new 
information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520). Operators continue to have the option of notifying the NTSB of 
an ACAS advisory that fulfills the requirements of this rule via 
telephone or email. The NTSB is continuing to work with the Office of 
Information and Regulatory Affairs, Office of Management and Budget 
(OMB), to obtain an OMB control number under the Paperwork Reduction 
Act to collect reports of ACAS advisories, as well as other 
notifications, via a web-based form. See 80 FR 38751 (July 7, 2015).
    Pursuant to 49 CFR 800.44(c), the NTSB will publish a confirmation 
rule in the Federal Register if it has not received an adverse comment 
or notice of intent to file an adverse comment within 30 days of the 
date of publication of this direct final rule.

List of Subjects in 49 CFR Part 830

    Aircraft accidents, Aircraft incidents, Aviation safety, Overdue 
aircraft notification and reporting, Reporting and recordkeeping 
requirements.

    For the reasons discussed in the preamble, the NTSB amends 49 CFR 
part 830 as follows:

PART 830--[AMENDED]

0
1. The authority citation for part 830 is revised read as follows:

    Authority:  49 U.S.C. 1101-1155; Pub. L. 85-726, 72 Stat. 731 
(codified as amended at 49 U.S.C. 40101).


0
2. Section 830.5 is amended by revising the introductory text and 
paragraphs (a) introductory text and (a)(10) to read as follows:


Sec.  830.5  Immediate notification.

    The operator of any civil aircraft, or any public aircraft not 
operated by the Armed Forces or an intelligence agency of the United 
States, or any foreign aircraft shall immediately, and by the most 
expeditious means available, notify the nearest National Transportation 
Safety Board (NTSB) office,\1\ when:
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    \1\ NTSB headquarters is located at 490 L'Enfant Plaza SW., 
Washington, DC 20594. Contact information for the NTSB's regional 
offices is available at http://www.ntsb.gov. To report an accident 
or incident, you may call the NTSB Response Operations Center, at 
844-373-9922 or 202-314-6290.
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    (a) An aircraft accident or any of the following listed serious 
incidents occur:
* * * * *
    (10) Airborne Collision and Avoidance System (ACAS) resolution 
advisories issued when an aircraft is being operated on an instrument 
flight rules flight plan and compliance with the advisory is necessary 
to avert a

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substantial risk of collision between two or more aircraft.
* * * * *

Christopher A. Hart,
Chairman.
[FR Doc. 2015-30758 Filed 12-14-15; 8:45 am]
 BILLING CODE 7533-01-P