[Federal Register Volume 89, Number 159 (Friday, August 16, 2024)]
[Proposed Rules]
[Pages 66645-66647]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-18327]


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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 129


International Aviation Safety Assessment (IASA) Program

AGENCY: Federal Aviation Administration (FAA), Department of 
Transportation (DOT).

ACTION: Request for comments on proposed changes to the IASA Program.

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SUMMARY: On September 28, 2022, the FAA published a Policy Statement in 
the Federal Register that described policy changes to the FAA's 
International Aviation Safety Assessment (IASA) program as well as 
clarification or restatement of prior policy to ``enhance engagement 
with civil aviation authorities (CAAs) through pre- and post-IASA 
assessment and to promote greater transparency.'' After receiving 
inquiries and questions about the changes described in that policy 
statement, the FAA is, elsewhere in this issue of the Federal Register, 
suspending implementation of the September 28, 2022, Policy Statement 
while the agency reassesses the policy, and invites public comments on 
proposed changes to the FAA IASA program policy contained herein. The 
policy statement of March 8, 2013, remains active.

DATES: The FAA must receive comments by September 16, 2024.

ADDRESSES: You may send comments identified by docket number FAA-2024-
2058 using any of the following methods:
     Federal eRulemaking Portal: Go to https://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, 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 20590-0001, between 9:00 a.m. and 
5:00 p.m., Monday through Friday, except Federal holidays.
     Fax: Fax comments to Docket Operations at (202) 493-2251.

FOR FURTHER INFORMATION CONTACT: Rolandos Lazaris, Division Manager, 
International Program Division (AFS-50), Flight Standards Service, 
Federal Aviation Administration, 800 Independence Avenue SW, 
Washington, DC 20591; (202) 267-3719.

SUPPLEMENTARY INFORMATION:

Background

    The IASA program is the means by which the FAA determines whether 
another country's oversight of its air carriers that (1) operate, or 
seek to operate, services to/from the United States using their own 
aircraft and crews, or (2) seek to display the code of a U.S. air 
carrier on any services, complies with safety standards established by 
the International Civil Aviation Organization (ICAO). The published 
IASA results of a country's placement in Category 1 or Category 2 is 
the notification to the U.S. traveling public as to whether a foreign 
air carrier's homeland civil aviation authority meets ICAO safety 
standards. A Category 1 rating indicates that the civil aviation 
authority meets ICAO safety standards for these operations, and a 
Category 2 rating indicates that the civil aviation authority does not 
meet ICAO safety standards. The IASA program was established by a 
document published in the Federal Register in 1992. Subsequent 
published documents in the Federal Register notified of the program's 
evolution. These Federal Register documents are as follows:
     August 24, 1992--Established the FAA Procedures for 
Examining and Monitoring Foreign Air Carriers (57 FR 38342).
     September 8, 1994--Established the Public Disclosure of 
the Results of Foreign Civil Aviation Authority Assessments, through a 
three-category numbered rating system (59 FR 46332).
     October 31, 1995--DOT Notice Clarification Concerning 
Examination of Foreign Carriers' Request for Expanded Economic 
Authority, clarified the Department's licensing policy regarding 
requests for expanded economic authority from foreign air carriers 
whose CAA's safety oversight capability has been assessed by the FAA as 
conditional (Category II) or unacceptable (Category III) (60 FR 55408).
     May 25, 2000--Changes to the International Aviation Safety 
Assessment program removed the Category 3 rating and combined it with 
Category 2 (65 FR 33751).
     March 8, 2013--Changes to the International Aviation 
Safety Assessment program removed inactive countries (countries with no 
air carrier operations to the United States or code-shares with U.S. 
air carrier for four years and no significant interaction between the 
country's CAA and the FAA) from the IASA Category list (78 FR 14912).
    Through the IASA program, the FAA seeks continuous improvement to 
global aviation safety. As noted in the above-referenced policy 
statement of September 8, 1994, initial IASA assessments found that 
two-thirds of the assessed CAAs were deficient in meeting their safety 
oversight obligations under the Convention on International Civil 
Aviation.
    The September 28, 2022, Policy Statement (87 FR 58725) (now 
suspended) announced certain changes to the IASA program and provided 
clarification to other aspects of the IASA policy. Since that 
publication, the FAA and DOT have received inquiries and questions that 
warrant reassessment of those changes and clarifications, and an 
opportunity for public comment before they are adopted permanently. As 
noted above, the FAA is suspending

[[Page 66646]]

implementation of the September 28, 2022, Policy Statement while the 
agency reassesses the policy and considers public comments. Public 
comment is invited on the matters and issues described below.

IASA Program Policy Changes, Clarification, or Restatement

    The following paragraphs describe proposed policy changes, 
clarification, or restatement to the FAA's IASA program to enhance 
engagement with CAAs through pre- and post-IASA assessment and to 
promote greater transparency.

Proposed Changes to the Definition of the IASA Categories

    The FAA is proposing to modify the scope of the IASA Category 
definitions to align them with the types of operations that require an 
IASA Category rating. The March 8, 2013, IASA policy statement 
describes two possible IASA Categories in which the FAA places 
countries:
    [cir] Category 1, Meets ICAO Standards: The FAA has found that the 
country meets ICAO standards for safety oversight of civil aviation. 
When a country is in Category 1, its foreign air carriers may provide 
service to the United States with their own aircraft/crews under 14 CFR 
part 129 and 14 CFR 375.42 and 375.70 or may, with the DOT's Office of 
the Secretary (OST) and FAA approval, engage in code-sharing 
partnerships with U.S. air carriers where a U.S. air carrier places its 
code on flights operated by a foreign air carrier(s).
     Category 2, Does Not Meet ICAO Standards: The FAA has 
found that the country does not meet ICAO standards for safety 
oversight of civil aviation.
    In addition, the May 25, 2000, policy statement introduced the 
Category 2* designation for those countries not serving the U.S. at the 
time of their IASA assessment.
    The 2013 policy statement further states that ``the IASA category 
rating applies only to services to and from the United States and to 
codeshare operations when the code of a U.S. air carrier is placed on a 
foreign carrier flight. . . . The [FAA] assessment team looks at [a 
foreign carrier's domestic flights or flights by that carrier between 
its homeland and a third country] only to the extent that they reflect 
on the country's oversight of operations to and from the United States 
and to codeshare operations where a U.S. air carrier code is placed on 
a flight conducted by a foreign air operator.'' The FAA highlights this 
explanation in this document to address any mistaken perception that 
the IASA program evaluates the oversight of all operations of foreign 
air carriers of a particular country. The FAA exercises oversight 
authority of foreign air carriers with service to the United States 
through issuance and oversight of operations specifications (OpSpecs) 
issued under 14 CFR part 129 to foreign air carriers that operate 
services to/from the United States with their own aircraft and crews. 
This requires the FAA to engage in regular contact with the relevant 
foreign CAA as to various aspects of these operations. When a U.S. air 
carrier places its code on a foreign air carrier's flight that is 
conducted by the foreign carrier entirely outside the United States, 
part 129 OpSpecs are not required, but those code-share arrangements 
are subject to regular audits conducted by the FAA under the U.S. 
Department of Transportation Office of the Secretary (OST)/FAA Code-
Share Safety Program Guidelines.
    In addition, as part of its standard foreign carrier licensing 
process, the DOT requests that the FAA determine if foreign charters 
requesting service to the U.S. under 14 CFR 375.42 and 375.70 are 
receiving ICAO-compliant safety oversight from their CAA. In some 
instances, these part 375 applications have resulted in the FAA 
extending the IASA program to countries with only part 375 operators 
and no part 129 operators. Foreign civil aircraft operators authorized 
by OST to conduct charters to/from the United States under part 375 do 
not hold operations specifications from the FAA, nor are they allowed 
to carry the code of a U.S. operator.

Remove Category 2 *

    The FAA proposes to remove the 2 * designation. The FAA has used 
the 2 * category for those countries not serving the U.S. at the time 
of their IASA assessment. This distinction is no longer relevant, and 
the FAA will simply categorize any country that does not meet ICAO 
standards with a Category 2 rating.

New Category 1 *

    In order to better address the safety awareness and expectations of 
the U.S. traveling public, and to advise the U.S. traveling public, 
once a Category 1 country has been notified through official channels 
for a reassessment based on identified risks of possible noncompliance 
with ICAO standards pursuant to the FAA's risk assessment process, the 
FAA proposes that it would adjust the Category 1 rating of the country 
to a rating of Category 1 *.
    [cir] Category 1 *: The FAA will add an asterisk ``*'' to a 
country's Category 1 rating once that country has been notified through 
official channels for a reassessment based on identified risks of 
possible noncompliance with ICAO standards. The 1 * category 
designation does not indicate that the FAA has determined that safety 
risks have been conclusively found or that a country's air operations 
are being modified at this time, but rather only serves as notice that 
the FAA initiated the IASA reassessment. The asterisk ``*'' will be 
removed once a reassessment is complete and the country either retains 
its Category 1, or the country is assessed as not meeting ICAO 
standards and is subsequently assigned a Category 2 rating.

Change in the Timeframe for Country Removal From the IASA Category List 
Due to Inactivity, and Clarification on ``Significant Activity''

    Under the March 8, 2013, policy statement, a country can be removed 
from the IASA category list after four years of inactivity. The three 
criteria that must be met for the FAA to remove the country from the 
IASA category list are: the country has no air carrier providing air 
transport service to the United States; the country has no air carrier 
that participates in a code-share arrangement with U.S. air carriers; 
and the CAA does not ``interact significantly with the FAA.''
    The FAA's experience and analysis indicates that IASA information 
is not reliable after an initial assessment or reassessment without 
significant safety oversight interaction between the FAA and foreign 
CAA. Such interaction includes when a foreign air carrier is conducting 
services to/from the United States with its own aircraft/crews and 
holds FAA OpSpecs under part 129, operating under Sec. Sec.  375.42 and 
375.70, and/or when a U.S. air carrier places its code on any of a 
foreign air carrier's flight as authorized under the OST/FAA Code-Share 
Safety Program Guidelines.
    The FAA seeks to amend the criteria for removal as follows: the 
country has no foreign operators holding OpSpecs under part 129, or 
operating under Sec. Sec.  375.42 and 375.70 with service to the United 
States nor foreign operators carrying the code of a U.S. operator as 
authorized under the OST/FAA Code-Share Safety Program Guidelines, and 
the country has not received technical assistance from the FAA for 
identified ICAO safety oversight deficiencies within the prior two-year 
period. The FAA seeks comment on these proposed additional or 
clarifying criteria for

[[Page 66647]]

removal of a country from the IASA category list.
    In addition, the FAA proposes to reduce the time for removal from 
the IASA list from four years to two years. The removal criteria 
published in 2013 no longer meet the need for timeliness and accuracy 
of information on the IASA Category Rating list. The 2013 criteria 
leave Category 1 countries on the list for an extended period of time 
and may give the U.S. traveling public a false sense of safety. Also, 
leaving Category 2 countries on the list for an extended period of time 
can be perceived as unfairly penalizing those countries when there has 
been no activity since the Category 2 rating was issued. As a result, 
the FAA proposes to reduce the removal benchmark from four years to two 
years absent the interaction described above. The FAA seeks comment on 
the proposed change from four years to two years, or whether any other 
timeframe would be appropriate.

Clarification as to When an IASA Will Be Performed in a Country With No 
IASA Category Rating

    The FAA will perform an IASA of a country with no IASA Category 
rating after an operator from that country files an application with 
OST for economic authority to conduct (1) services to/from the United 
States with its own aircraft/crews, and/or (2) code-share operations 
that involve the foreign air carrier displaying the code of a U.S. air 
carrier on any services operated by the foreign air carrier. This would 
ensure that an initial IASA is used to assess whether the CAA and its 
operator(s) have each taken the necessary measures to manage and 
oversee operations in accordance with ICAO standards.

Clarification of FAA and CAA Development of a Corrective Action Plan 
Upon Notification of an IASA Category 2 Rating

    If the FAA finds, as a result of an assessment, that a foreign CAA 
is not overseeing aviation safety in accordance with ICAO standards, 
the FAA will, prior to the conclusion of an assessment, state its 
findings in an oral briefing to that foreign CAA. The FAA will also 
deliver to the foreign CAA a written record of FAA findings and will 
schedule a follow-up final discussion with the foreign CAA. The final 
discussion shall take place no earlier than 15 calendar days following 
the delivery of the written record of findings. In any case in which 
the assessment finds an instance of non-compliance, the FAA will notify 
the foreign CAA that is the subject of such finding. Within 90 days 
after the transmission of such notification, the FAA will request and 
initiate final discussions with the foreign country to recommend 
actions by which the foreign country can mitigate the noncompliance. If 
the FAA determines that the foreign CAA has not corrected its oversight 
deficiencies after the conclusion of the final discussion, the country 
will, upon formal communication from the United States Government, 
receive an official determination of Category 2 status, and be subject 
to restrictions on the operations of its air carriers to the United 
States and on the placement of U.S. carrier codes on flights operated 
by its carriers.
    For additional communication and support for a country assigned an 
IASA Category 2 rating, the FAA may conduct a virtual meeting with the 
CAA to discuss the IASA findings. The FAA proposes to provide the CAA 
with a Corrective Action Plan outline for the CAA to use to document 
the actions needed to resolve safety deficiencies and the timelines for 
resolution. This would allow the CAA to begin work to address its 
safety oversight findings from the IASA in a timely manner.
    Upon CAA request, the FAA may, under a technical assistance 
agreement, assist the CAA in developing a Corrective Action Plan to 
address its safety oversight deficiencies and timelines for completion.

FAA Actions To Address Safety Concerns Outside of the IASA Process

    The FAA retains its authority to take action to address a known 
safety concern to prevent further non-compliance or unsafe operation of 
an aircraft by an air carrier, including limiting operations to/from 
the United States by foreign air carriers with their own aircraft/
crews; placing limits on code share arrangements involving the display 
of a U.S. air carrier code by foreign air carriers from countries for 
which the FAA has identified safety oversight concerns and initiating 
immediate IASA category changes when justified based on available 
safety information. The FAA may also communicate with a CAA about 
safety concerns the FAA may be aware of so that the CAA can immediately 
take its own mitigating action. The FAA believes that immediate action 
that results in the resolution of a safety concern or provides the 
avenue for clarifying information from the CAA is in the best interest 
of public safety.

Comments Invited

    The FAA invites public comments on the proposed IASA policy 
modifications and clarifications. The FAA will consider the public 
comments submitted during this comment period in finalizing the IASA 
policy.

    Issued in Washington, DC.
Jodi L. Baker,
Deputy Administrator for Aviation Safety.
[FR Doc. 2024-18327 Filed 8-15-24; 8:45 am]
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