Revision to Minimum Altitudes for the Use of an Autopilot

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Parts 121, 125, and 135

[Docket No. 27987; Amendment No. 121-265, 125-29, 135-68]

RIN 2120-AF19

Revision to Minimum Altitudes for the Use of an Autopilot

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: The Federal Aviation Administration amends the regulations

governing the use of approved flight control guidance systems with

automatic capability (autopilot), and would permit the use of an

autopilot at altitudes less than 500 feet above ground level (AGL)

during the takeoff and initial climb phases of flight. This amendment

permits this use of approved autopilot systems for takeoff and initial

climb phases of flight if the Administrator authorizes their use as

stated in an air carrier's operations specifications. By permitting air

carriers to take advantage of technological improvements in the

operational capabilities of autopilot systems, safety will be enhanced

by decreasing pilot workload during the critical takeoff phase of

flight.

EFFECTIVE DATE: This amendment is effective June 20, 1997.

FOR FURTHER INFORMATION CONTACT: Richard A. Temple, AFS-410, Flight

Standards Service, Federal Aviation Administration, 800 Independence

Avenue, SW., Washington, DC 20591, telephone (202) 267-5824.

SUPPLEMENTARY INFORMATION:

Background

The FAA is amending Secs. 121.579 125.329, and 135.93 of Title 14

of the Code of Federal Regulations to permit certificate holders that

operate under parts 121, 125, or 135 to obtain authorization to use an

approved autopilot system for takeoff if authorized by the FAA in the

certificate holders's operations specifications. Section 121.579(a)

currently states that no person may use an autopilot en route,

including climb and descent, at an altitude above the terrain that is

less than twice the maximum altitude loss specified in the Airplane

Flight Manual (AFM) for a malfunction of the autopilot under cruise

conditions, or less than 500 feet, whichever is higher. Sections

125.329(a) and 135.93(a) state that no person may use an autopilot at

an altitude above the terrain which is less than 500 feet or less than

twice the maximum altitude loss specified in the approved Airplane

Flight Manual or equivalent for a malfunction of the autopilot,

whichever is higher. Paragraphs (b) and (c) in Sec. 121.579, paragraphs

(b), (c) and (d) of Sec. 125.329, and paragraphs (b), (c), and (d) in

Sec. 135.93 provide exceptions to this restriction for the approach and

landing phases of flight.

The current restrictions in the regulations regarding the use of an

autopilot below 500 feet AGL have not been amended since 1965, when

provisions for the landing phase of flight were incorporated into

Sec. 121.579. This change was incorporated into part 135 when

Sec. 135.93 was recodified in 1978, and into part 125 when Sec. 125.329

was established in 1980. Although significant improvements in autopilot

technology have been made, the regulations have not been amended to

specifically permit the use of an autopilot system during the takeoff

and initial climb phases of flight. In addition, the aviation industry

anticipates further improvements in autopilot technology, particularly

in relation to using the autopilot during the takeoff phase of flight.

The Aviation Rulemaking Advisory Committee (ARAC) and some industry

members expressed their opinion that amending the regulation to permit

increased usage of autopilot engagement during takeoff would have

certain benefits, such as allowing pilots to focus proportionately more

attention on duties other than the manual manipulation of the flight

controls and constant surveillance of the cockpit instruments during

the critical takeoff phase of flight. Based on a recommendation from

the Autopilot Engagement Working Group of the ARAC, the FAA published a

Notice of Proposed Rulemaking (NPRM) in the Federal Register on

December 9, 1994 (59 FR 63868). Comments on the proposal closed January

9, 1995. Seven comments were received.

Based on autopilot technology, the expectation that technology will

continue to advance, and the safety benefits that will result from

using improved technology, the FAA amends the current regulations to

permit authorization for the use of an autopilot during the takeoff and

initial climb phases of flight; to enable parts 121, 125, and 135

operators, when authorized, to use existing technology; and to further

promote technological advances while increasing the level of public

safety.

The FAA and the aviation industry anticipate that further

technological advances will lead to the evolution of additional

autoflight guidance systems that can safely be used from initiation of

takeoff roll to completion of landing.

Comments

The FAA received seven comments on the proposal. The Regional

Airline Association (RAA) comments that it supports the proposal; that

support is based primarily on its development and recommendation by the

ARAC.

The National Air Transportation Association (NATA) comments that it

supports the proposal because it allows operators to take advantage of

advanced technology, thus decreasing pilot workload during a critical

phase of flight. NATA also comments that it will achieve a significant

increase in aviation operating safety without a corresponding increase

in capital or operating expenses.

Maine Instrument Flight (MIF) supports the proposal, saying that

this is a good example of how the FAA can respond to advances in

technology and give regulatory relief to operators.

The Air Line Pilots Association (ALPA) also supports the proposed

rule and advisory circular based on the permitted advantages of

technological improvements in the operational capabilities of approved

flight control guidance systems.

Boeing Commercial Airplane Group comments that it agrees with the

FAA that an automatic pilot system can provide the flightcrew with work

load relief during the busy takeoff and landing phases of flight.

Boeing notes, however, that the NPRM addresses only a limited part of

the total minimum engagement altitude issue, which is currently being

addressed by the FAA/JAA/Industry All Weather Operations Harmonization

Program. Boeing also sees no value in the proposed advisory circular

discussed in the NPRM, commenting that existing methods of approval and

use of the autopilot are adequate.

AVRO International Aerospace comments that it supports the

proposal, but is concerned that it does not cover all phases of flight

for which modern autopilots are being used, e.g., circling approaches.

AVRO also comments that the certification procedures of 14 CFR 25.1329

must be updated since they do not specifically cover the operational

changes of this proposal. AVRO notes that there is some overlap in the

areas covered by the Autopilot Engagement Requirements Working Group

and the All Weather Operations Working Group, and urges the FAA to

coordinate within

[[Page 27921]]

the ARAC system to determine areas of responsibility. AVRO views the

proposed advisory circular as ``increasing certification costs,'' and

therefore recommends that it not be issued. AVRO also requests that

commenters be given at least 30 working days to comment; they find 30

calendar days, over a holiday period, unacceptable.

The Civil Aviation Authority makes a similar comment on the

abbreviated comment period. CAA commends the removal of arbitrary

takeoff limitations, but also notes that this operational proposal

fails to provide detailed airworthiness requirements, which it finds

need to be developed in harmonization with the JAA requirements in JAR

25.1329.

In response to Boeing, AVRO, and CAA, the FAA notes that the ARAC,

in establishing the initial terms of reference for its task, focused on

the takeoff phase of flight only which is addressed in this rule

change. Certification issues for future autopilot systems are presently

being addressed by the ICAO All Weather Operations Harmonization

working group and will complement this rule change.

The ICAO All Weather Operations Harmonization working group will

propose the modification of 14 CFR 25.1329, automatic pilot systems, to

determine any additional certification requirements for future uses of

autopilot systems. This action is in keeping with the goal of FAR/JAR

harmonization to the maximum extent possible.

The FAA agrees with Boeing and AVRO that the initial approval of

the equipment installation would be addressed in the normal

certification process. The advisory circular is addressed to operators

under parts 119, 121, 125, and 135, providing issues to consider when

requesting changes to their operations specifications. The FAA sees no

additional program requirement or cost in the areas of certification

and maintenance to the certificate holder by providing this list for

their use. However, the FAA acknowledges that there may be minimal

costs voluntarily incurred by the certificate holder associated with

modifying existing training programs and manuals to utilize the new/

lower engagement altitude.

An abbreviated comment period was determined by the FAA as adequate

because of previous FAA/Industry participation and agreement through

the ARAC process.

In the course or reviewing and addressing comments to the proposed

minimum takeoff engagement height requirement the FAA noted that

additional adjustments to the proposed provisions were necessary to

properly relate these amended provisions to operational procedures and

other provisions of the FAR, such as 14 CFR 121.189. Adjustments to the

language of the provisions were also necessary to acknowledge that

proper operational use of automatic flight guidance and control systems

may sometimes require specific mode use constraints or minimum

engagement altitudes above that demonstrated in the AFM. For example,

because autoflight system use must be consistent with both lateral and

vertical obstacle clearance requirements, and must take into account

irregular terrain in the departure path, non-normal procedures for such

things as engine failure, and the application of different methods for

autoflight engagement height airworthiness demonstrations, it was

recognized that the FAA and the operator may sometimes need to

operationally specify mode use constraints or minimum engagement

heights above that demonstrated and specified in the AFM. Issues such

as these are typically addressed by the FAA's Flight Standardization

Board (FSB) for each aircraft type, and any additional provisions for

safe operational autoflight system use, if required, are identified by

the FAA. Although the language in sections 121.579(d)(2),

125.329(e)(2), and 135.93(e)(2) [redesignated in this rule as sections

121.579(d)(3), 125.329(e)(3), and 135.93(e)(3)] was designed to address

issues like the irregular terrain in the departure path, it would not

have addressed some of the other issues mentioned above which warrant a

higher minimum engagement height for the autopilot than specified in

the AFM. Accordingly, the language of each of the provisions was

modified to acknowledge this, and note that the Administrator may in

certain instances find it necessary for safety to operationally specify

engagement heights above or different than the minimum specified in the

AFM. In view of the modifications discussed above, it was necessary to

add some new language to the three sections to make it clear that

engagement of the autopilot below the greater of two altitudes

specified in Secs. 121.579(a), 125.329(a), or 135.93(a) is only

permitted if the AFM specifies a minimum engagement height. Thus, under

these amendments, engagement of the autopilot is prohibited below the

minimum engagement altitude specified in the AFM and may in some

circumstances be prohibited below an altitude that is higher than the

altitude specified in the AFM.

The Amendment

Section 121.579

Section 121.579 is amended by adding a new paragraph (d), which

will allow the Administrator to issue operations specifications that

establish the minimum altitude permitted to engage/use an autopilot

during the takeoff and initial climb phases of flight. In addition,

Sec. 121.579(a) will be amended by striking the words ``paragraphs (b)

and (c)'' and inserting the words ``paragraphs (b), (c), and (d).''

Section 125.329

Section 125.329 is amended by adding paragraph (e) to allow the

Administrator to issue operations specifications that establish the

minimum altitude permitted to engage/use an autopilot during the

takeoff and initial climb phases of flight. In addition,

Sec. 125.329(a) is amended by striking the words ``paragraphs (b), (c),

and (d)'' and inserting the words ``paragraphs (b), (c), (d), and

(e).''

Section 135.93

Section 135.93 is amended by redesignating paragraph (e) as

paragraph (f) and adding a new paragraph (e) to allow the Administrator

to issue operations specifications that establish the minimum altitude

permitted to engage/use an autopilot during the takeoff and initial

climb phases of flight. In addition, Sec. 135.93(a) is amended by

striking the words ``paragraphs (b), (c), and (d)'' and inserting the

words ``paragraphs (b), (c), (d), and (e).''

Paperwork Reduction Act

The information collection requirements in the amendment to

Secs. 121.579, 125.329, and 135.93 have previously been approved by the

Office of Management and Budget (OMB) under the provisions of the

Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.) and have been

assigned OMB Control Number 2120-0008.

Economic Assessment

The FAA has determined that this rulemaking is not a significant

rulemaking action as defined by Executive Order 12866, and therefore no

assessment is required. In accordance with Department of Transportation

Policies and Procedures (44 FR 11034; February 26, 1979) when the

impact of a regulation will be minimal if adopted, a full regulatory

evaluation does not need to be prepared. The following discussion

provides an economic

[[Page 27922]]

assessment of the proposal's anticipated costs and benefits.

Costs

The amendment will allow air carriers and commercial operators to

seek authorization for the use of autopilot systems during the takeoff

phase of flight. Because the decision whether to seek authorization for

the use of autopilot is optional and voluntary, the amendment will not

impose any additional costs on certificate holders that operate under

parts 121, 125, or 135.

Benefits

This amendment will have positive effects on the safety of air

operations. As with any change to operations specifications, the FAA

reserves the right to determine whether suggested revisions to an air

carrier's operations specifications meet the various criteria and

guidelines that will ensure that the current level of safety is met or

exceeded.

The use of the autopilot system below 500 feet AGL will enable the

pilot to monitor the performance of the aircraft while performing other

safety-related functions, such as scanning the outside area for other

aircraft. Since less time is spent manipulating the controls, the use

of the autopilot also enables the flightcrew to more readily identify

any deviations from expected aircraft performance thus increasing the

pilot's opportunity to quickly respond to any aircraft malfunctions.

Increasing the pilot's opportunity to scan the area outside the

aircraft for other airborne traffic, to detect aircraft malfunctions,

and to respond more quickly to problems will increase the level of

safety.

International Trade Impact Analysis

The FAA has determined that the amendments to parts 121, 125, and

135 will not have a significant impact on international trade. The

amendments are expected to have no negative impact on trade

opportunities for U.S. firms doing business overseas or foreign firms

doing business in the United States.

International Civil Aviation Organization and Joint Aviation

Regulations

In keeping with U.S. obligations under the Convention on

International Civil Aviation, it is FAA policy to comply with ICAO

Standards and Recommended Practices (SARP) to the maximum extent

practicable. In reviewing the SARP for air carrier operations and JAR-

OPS 1, the FAA finds that there is not a comparable rule under either

ICAO standards or the JAR.

Regulatory Flexibility Determination

Congress enacted the Regulatory Flexibility Act (RFA) of 1980 (Pub.

L. 96-354) to ensure that small entities are not unnecessarily and

disproportionately burdened by government regulations. The RFA requires

agencies to review rules that may have a significant impact on a

substantial number of small entities. This amendment will impose no

additional costs on air carriers; therefore, it will not have a

significant economic impact on small business entities.

Federalism Implications

The regulations contained herein will not have substantial direct

effects on the states, on the relationship between the national

government and the states, or on the distribution of power and

responsibilities among the various levels of government. Therefore, in

accordance with Executive Order 12612, it is determined that this

amendment will not have sufficient implications to warrant the

preparation of a Federalism Assessment.

Conclusion

For the reasons discussed in the preamble, and based on the

findings in the Regulatory Flexibility Determination and the

International Trade Impact Analysis, the FAA has determined that this

regulation is not a significant rulemaking action under Executive Order

12866. This amendment is also considered nonsignificant under

Department of Transportation Regulatory Policies and Procedures (44 FR

11034; February 26, 1979). In addition, the FAA certifies that this

amendment will not have a significant economic impact, positive or

negative, on a substantial number of small entities under the criteria

of the RFA.

List of Subjects

14 CFR Part 121

Air carriers, Aircraft, Airmen, Aviation safety, Reporting and

recordkeeping requirements, Safety, Transportation.

14 CFR Part 125

Aircraft, Airmen, Aviation safety, Reporting and recordkeeping

requirements.

14 CFR Part 135

Air taxis, Aircraft, Airmen, Aviation safety, Reporting and

recordkeeping requirements.

The Amendment

In consideration of the foregoing, the Federal Aviation

Administration amends parts 121, 125, and 135 of the Federal Aviation

Regulations (14 CFR parts 121, 125, and 135) as follows:

PART 121--OPERATING REQUIREMENTS: DOMESTIC, FLAG, AND SUPPLEMENTAL

OPERATIONS

1. The authority citation for part 121 continues to read as

follows:

Authority: 49 U.S.C. 106(g), 40113, 40119, 44101, 44701-44702,

44705, 44709-44711, 44713, 44716-44717, 44722, 44901, 44903-44904,

44912, 46105.

2. Section 121.579 is amended by removing ``paragraphs (b) and

(c)'' and adding in their place ``paragraphs (b), (c), and (d)'' in

paragraph (a) and adding new paragraph (d) to read as follows:

Sec. 121.579 Minimum altitudes for use of autopilot.

* * * * *

(d) Takeoffs. Notwithstanding paragraph (a) of this section, the

Administrator issues operations specifications to allow the use of an

approved autopilot system with automatic capability below the altitude

specified in paragraph (a) of this section during the takeoff and

initial climb phase of flight provided:

(1) The Airplane Flight Manual specifies a minimum altitude

engagement certification restriction;

(2) The system is not engaged prior to the minimum engagement

certification restriction specified in the Airplane Flight Manual or an

altitude specified by the Administrator, whichever is higher; and

(3) The Administrator finds that the use of the system will not

otherwise affect the safety standards required by this section.

PART 125--CERTIFICATION AND OPERATIONS: AIRPLANES HAVING A SEATING

CAPACITY OF 20 OR MORE PASSENGERS OR A MAXIMUM PAYLOAD CAPACITY OF

6,000 POUNDS OR MORE

3. The authority citation for part 125 continues to read as

follows:

Authority: 49 U.S.C. 106(g), 40113, 44701-44702, 44705, 44710-

44711, 44713, 44716-44717, 44722.

4. Section 125.329 is amended by removing ``paragraphs (b), (c),

and (d)'' and adding in their place ``paragraphs (b), (c), (d), and

(e)'' in paragraph (a) and adding new paragraph (e) to read as follows:

[[Page 27923]]

Sec. 125.329 Minimum altitudes for use of autopilot.

* * * * *

(e) Notwithstanding paragraph (a) of this section, the

Administrator issues operations specifications to allow the use of an

approved autopilot system with automatic capability during the takeoff

and initial climb phase of flight provided:

(1) The Airplane Flight Manual specifies a minimum altitude

engagement certification restriction;

(2) The system is not engaged prior to the minimum engagement

certification restriction specified in the Airplane Flight Manual or an

altitude specified by the Administrator, whichever is higher; and

(3) The Administrator finds that the use of the system will not

otherwise affect the safety standards required by this section.

PART 135--OPERATING REQUIREMENTS: COMMUTER AND ON-DEMAND OPERATIONS

5. The authority citation for part 135 continues to read as

follows:

Authority: 49 U.S.C. 106(g), 40113, 44701-44702, 44705, 44709,

44711-44713, 44715-44717, 44722.

6. Section 135.93 is amended by removing ``paragraphs (b), (c), and

(d)'' and adding in their place ``paragraphs (b), (c), (d), and (e)''

in paragraph (a), redesignating paragraph (e) as paragraph (f), and

adding new paragraph (e) to read as follows:

Sec. 135.93 Autopilot: Minimum altitudes for use.

* * * * *

(e) Notwithstanding paragraph (a) of this section, the

Administrator issues operations specifications to allow the use of an

approved autopilot system with automatic capability during the takeoff

and initial climb phase of flight provided:

(1) The Airplane Flight Manual specifies a minimum altitude

engagement certification restriction;

(2) The system is not engaged prior to the minimum engagement

certification restriction specified in the Airplane Flight Manual, or

an altitude specified by the Administrator, whichever is higher; and

(3) The Administrator finds that the use of the system will not

otherwise affect the safety standards required by this section.

* * * * *

Issued in Washington, DC, on May 9, 1997.

Barry L. Valentine,

Acting Administrator.

[FR Doc. 97-12747 Filed 5-20-97; 8:45 am]

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