Medical Certification Standards for Commercial Balloon Operations, 64419-64438 [2021-24141]
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Federal Register / Vol. 86, No. 220 / Thursday, November 18, 2021 / Proposed Rules
(j) Related Information
(1) For information about EASA AD 2021–
0141, contact EASA, Konrad-Adenauer-Ufer
3, 50668 Cologne, Germany; telephone +49
221 8999 000; email ADs@easa.europa.eu;
internet www.easa.europa.eu. You may find
this EASA AD on the EASA website at
https://ad.easa.europa.eu. You may view this
material at the FAA, Airworthiness Products
Section, Operational Safety Branch, 2200
South 216th St., Des Moines, WA. For
information on the availability of this
material at the FAA, call 206–231–3195. This
material may be found in the AD docket on
the internet at https://www.regulations.gov
by searching for and locating Docket No.
FAA–2021–1006.
(2) For more information about this AD,
contact Dan Rodina, Aerospace Engineer,
International Section, Transport Standards
Branch, FAA, 2200 South 216th St., Des
Moines, WA 98198; telephone and fax 206–
231–3225; email dan.rodina@faa.gov.
Issued on November 12, 2021.
Lance T. Gant,
Director, Compliance & Airworthiness
Division, Aircraft Certification Service.
[FR Doc. 2021–25072 Filed 11–17–21; 8:45 am]
BILLING CODE 4910–13–P
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 61 and 68
[Docket No. FAA–2021–1040; Notice No. 22–
02]
RIN 2120–AL51
Medical Certification Standards for
Commercial Balloon Operations
Federal Aviation
Administration (FAA), Department of
Transportation (DOT).
ACTION: Notice of proposed rulemaking
(NPRM).
AGENCY:
The FAA proposes that
airmen hold a valid second-class
medical certificate when exercising the
privileges of a commercial pilot
certificate in a balloon for compensation
or hire except when conducting flight
training in a balloon. In addition, the
FAA proposes miscellaneous
amendments related to medical
certification requirements for medical
flight tests and a minor change to the
BasicMed regulations.
DATES: Send comments on or before
January 18, 2022.
ADDRESSES: Send comments identified
by docket number FAA–2021–1040
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.
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SUMMARY:
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• 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: In accordance with 5 U.S.C.
553(c), DOT solicits comments from the
public to better inform its rulemaking
process. DOT posts these comments,
without edit, including any personal
information the commenter provides, to
www.regulations.gov, as described in
the system of records notice (DOT/ALL–
14 FDMS), which can be reviewed at
https://www.transportation.gov/privacy.
Docket: Background documents or
comments received may be read at
https://www.regulations.gov at any time.
Follow the online instructions for
accessing the docket or go to the 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:
Bradley Zeigler, Airman Training and
Certification Branch, Federal Aviation
Administration, 800 Independence
Avenue SW, Washington, DC 20591;
(202) 267–9601; email
Bradley.C.Zeigler@faa.gov.
SUPPLEMENTARY INFORMATION:
List of Abbreviations and Acronyms
Frequently Used in This Document
AMCD Aerospace Medical Certification
Division
ADHD Attention Deficit Hyperactivity
Disorder
AME Aviation Medical Examiner
ASI Aviation Safety Inspector
ATP Airline Transport Pilot
BFA Balloon Federation of America
IRFA Initial Regulatory Flexibility Analysis
LOA Letter of Authorization
NDR National Driver Register
NPRM Notice of proposed rulemaking
NTSB National Transportation Safety Board
PDPS Problem Driver Pointer System
PIC Pilot in Command
SIC Second in Command
SODA Statement of Demonstrated Ability
I. Executive Summary
This rulemaking proposes
amendments in §§ 61.3 and 61.23 of title
14 of the Code of Federal Regulations
(14 CFR) to require commercial balloon
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pilots 1 conducting operations for
compensation or hire to hold a valid
second-class medical certificate.
Additionally, this proposed rule would
continue to allow pilots to provide flight
training in balloons without requiring a
medical certificate. The proposed rule
includes related amendments to the
table of medical certificate duration in
§ 61.23(d) for consistency with the
proposed amendments to §§ 61.3 and
61.23(a) and (b). The FAA is also
proposing miscellaneous amendments
related to medical certification for
medical flight tests and a minor change
to the Alternative Pilot Physical
Examination and Education
Requirements final rule, which
amended sections of part 61 and
established part 68. In this preamble,
these regulations will be referred to as
BasicMed.
This rulemaking would implement
section 318 (‘‘Commercial Balloon Pilot
Safety Act of 2018’’) of Public Law 115–
254, the FAA Reauthorization Act of
2018. In addition, this rulemaking
responds to National Transportation
Safety Board (NTSB) Safety
Recommendation A–17–034, which
recommends that the FAA remove the
medical certification exemption in part
61 for commercial balloon pilots
receiving compensation for transporting
passengers.
The proposed rule would generate
costs for balloon pilots to obtain a
second-class medical certificate and for
some pilots to seek authorization
through special issuance. There would
also be costs to the FAA to implement
this requirement in terms of reviewing
and processing submissions related to
certification. The FAA estimates the
present value of total costs over ten
years is $2.6 million to $17.8 million
with a mid-estimate of $7.5 million at a
7 percent discount rate and $3.1 million
to $21.7 million with a mid-estimate of
$9.1 million at a 3 percent discount rate.
The annualized costs over ten years is
$0.4 million to $2.5 million with a midestimate of $1.1 million at a 7 percent
discount rate and $0.4 million to $2.5
million with a mid-estimate of $1.1
million at a 3 percent discount rate. The
wide range in the cost estimates
primarily reflect the uncertainty on the
number of commercial balloon pilots.2
The benefits of the proposed rule
include enhanced safety of commercial
1 The FAA uses the term ‘‘commercial balloon
pilots’’ in this NPRM to refer to airmen conducting
operations in a balloon for compensation or hire,
including operations involving the carriage of
persons or property.
2 For more detail on the model used to predict the
range, please refer to the ‘‘Affected Entities’’ under
section V.A. of this preamble.
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balloon operations through reduced
risks of accidents, fatalities, and injuries
caused by medical impairment of
balloon pilots.
II. Authority for the Rulemaking
The FAA’s authority to issue rules on
aviation safety is 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.
The FAA is issuing this proposal
under the authority described in
Subtitle VII, Part A, Subpart iii, Section
44701, General Requirements; Section
44702, Issuance of Certificates; and
Section 44703, Airman Certificates.
Under these sections, the FAA
prescribes regulations and minimum
standards for practices, methods, and
procedures the Administrator finds
necessary for safety in air commerce.
The FAA is also authorized to issue
certificates, including airman
certificates and medical certificates, to
qualified individuals. This rulemaking
proposal is within the scope of that
authority.
Further, Section 318 of Public Law
115–254, directs the Administrator to
revise 14 CFR 61.3(c) (relating to
second-class medical certificates) to
apply to an operator of an air balloon to
the same extent such regulations apply
to a pilot flightcrew member of other
aircraft.
III. Background
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A. Current Regulatory Framework
Under current regulations, a person
may serve as a required pilot flightcrew
member of an aircraft only if that person
holds the appropriate medical
certificate.3 There are certain exceptions
to this requirement, including pilots
operating under the provisions of
BasicMed,4 or those flying balloons,
gliders, or light sport aircraft.5
Additionally, part 61 sets forth which
operations require a medical certificate.6
A medical certificate provides
validation that a person meets FAA
3 14 CFR 61.3(c)(1). When referring to a ‘‘medical
certificate’’ in this NPRM, the FAA is referring only
to a current and valid first-, second-, or third-class
FAA airman medical certificate issued under 14
CFR part 67, which may have been issued under an
authorization for special issuance. Under certain
circumstances, this may include other
documentation acceptable to the FAA, such as
temporary documentation provided to the airman
by the FAA when that person is awaiting the
replacement of a lost or destroyed certificate. 62 FR
16220, page 16237 (Apr. 4, 1997).
4 In order to establish medical eligibility to
conduct operations under BasicMed, a person must
meet the requirements of § 61.23(c)(3).
5 14 CFR 61.3(c)(2).
6 14 CFR 61.23(a).
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medical certification requirements.
Airmen must meet the applicable
medical standards of part 67 to receive
an unrestricted medical certificate. An
aviation medical examiner (AME) makes
this determination by conducting a
physical examination and medical
history review. In cases where the
airman’s medical condition does not
meet the part 67 standard, the airman
may be issued a medical certificate by
authorization for special issuance or
statement of demonstrated ability
(SODA) when the Federal Air Surgeon
has determined that the risk associated
with the medical condition(s) is
sufficiently mitigated.7
Part 67 provides for the issuance of
three classes of medical certificates—
first-, second-, and third-class medical
certificates. In most cases, a first-class
medical certificate is required for
operations requiring an airline transport
pilot (ATP) certificate. At minimum, a
second-class medical certificate is
required for operations requiring a
commercial pilot certificate. Unless an
airman chooses to operate under the
conditions and limitations of BasicMed,
a third-class medical certificate is
required for operations requiring a
private pilot certificate, a recreational
pilot certificate, a flight instructor
certificate (when acting as pilot-incommand (PIC) or serving as a required
flightcrew member in operations other
than a light sport aircraft, glider, or
balloon), or a student pilot certificate
(other than a light sport aircraft, glider
or balloon).8
A person obtains a medical certificate
by completing an online application
(FAA form 8500–8, Application for
Medical Certificate) using the FAA’s
medical certificate application tool,
MedXPress 9 and undergoing a physical
examination with an FAA-designated
AME. An AME may defer an applicant
to the FAA for further review when
there is information indicating the
existence or potential of an adverse
medical finding that may warrant
further FAA medical evaluation or
oversight.
Under § 61.53, all airmen—regardless
of whether they are required to hold a
medical certificate—are prohibited from
operating an aircraft during a medical
deficiency. Specifically, § 61.53(b)
prohibits a person who is not required
to hold a medical certificate from
conducting operations while that person
knows or has reason to know of any
7 14
CFR 67.401.
exercising sport pilot privileges in a
light sport aircraft without a medical certificate
must meet the requirements of § 61.23(c)(2).
9 https://medxpress.faa.gov/.
8 Airmen
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medical condition that would make him
or her unable to operate the aircraft in
a safe manner. Accordingly, even in the
absence of an existing requirement for
balloon pilots to hold a medical
certificate, all balloon pilots are
currently subject to the requirements of
§ 61.53(b).
As discussed earlier, pilots
conducting operations in a balloon are
not required to hold a medical
certificate. Specifically, under
§ 61.3(c)(2)(vi), a person holding a pilot
certificate with a balloon class rating
who is piloting or providing training in
a balloon is excepted from the
requirement to hold a medical
certificate.
A person holding a commercial pilot
certificate with a balloon class rating is
granted privileges to conduct flights for
compensation or hire and to provide
flight training. As described in
§ 61.133(a), an airman who holds a
commercial pilot certificate may act as
PIC of an aircraft for compensation or
hire, including operations involving the
carriage of persons or property,
provided the person is qualified in
accordance with part 61 and other parts
(such as part 91, 121 or 135) that apply
to the operation. Further, the FAA does
not issue flight instructor certificates
with lighter-than-air category ratings.10
Flight training privileges in a balloon
are included in the privileges conveyed
to the holder of a commercial pilot
certificate with a balloon class rating.
This approach is unlike other aircraft
categories such as airplanes, gliders, and
rotorcraft, which require a person to
hold a flight instructor certificate in
order to exercise such privileges.11
B. Medical Certificate Requirements for
Commercial Flight Operations
While unpowered 12 commercial
operations in balloons and gliders
currently have no associated medical
10 There are two classes within the lighter-thanair aircraft category: Airship and balloon.
11 Section 61.133(a)(2) sets forth certain
additional privileges granted to airmen holding
commercial pilot certificates with a lighter-than-air
category rating. Airmen who hold a lighter-than-air
category with balloon class rating on their
commercial pilot certificate have the following
privileges:
1. Give flight and ground training in a balloon for
the issuance of a certificate or rating;
2. Give an endorsement for a pilot certificate with
a balloon rating;
3. Endorse a pilot’s logbook for solo operating
privileges in a balloon; and
4. Give ground and flight training and
endorsements that are required for a flight review,
an operating privilege, or recency-of-experience
requirements of part 61.
12 For the purposes of this rulemaking proposal,
the phrase ‘‘unpowered aircraft’’ includes selflaunch gliders, which are considered by type
certificate to be gliders.
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certificate requirement, similar
commercial operations in powered
aircraft require either a first- or secondclass medical certificate. Powered
aircraft operations that require a
commercial pilot certificate require the
airman to hold at least a second-class
medical certificate. See 14 CFR
61.23(a)(2). Generally, these operations
include any operation for compensation
or hire that does not require an ATP
certificate (which requires a first-class
medical certificate) and does not qualify
under the compensation or hire
exceptions in § 61.113(b) through (h) for
persons holding a private pilot
certificate. Examples of powered aircraft
operations that require a commercial
pilot certificate with at least a secondclass medical certificate include
sightseeing flights conducted under
§ 91.147; 13 commercial transportation
of skydivers, banner towing, or aerial
photography; and part 135 non-turbine
operations of nine passengers or less.
Currently, operations in balloons for
compensation or hire that may be
conducted without a medical certificate
include, but are not limited to,
operations for purposes of passenger
sightseeing, aerial advertising,
maintenance test flights, and research
and development flights. There are no
operating rules under part 91 that limit
the number of passengers an operator
may carry. While an operator of a
sightseeing flight in a powered aircraft
conducted under § 91.147 is required to
hold a second-class medical certificate
when transporting a single passenger, an
operator of a balloon carrying any
number of passengers has no
requirement to hold a medical
certificate. This NPRM includes a
proposal to address this disparity.
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C. Commercial Balloon Operations 14 in
the U.S.
Approximately 4,870 commercial
pilots hold balloon ratings,15 and
approximately 4,940 balloons are
registered with the FAA.16 The FAA
does not have a database of commercial
13 Section 91.147 is a provision for airplane and
helicopter operations conducting passengercarrying flights for compensation or hire. This
provision requires the operators to obtain a Letter
of Authorization (LOA) from the FAA, to comply
with the various safety provisions of part 136,
subpart A, and to implement a drug and alcohol
testing program.
14 The FAA uses the term ‘‘Commercial Balloon
Operations’’ in this NPRM to refer to the operation
of a balloon for compensation or hire, including
operations involving the carriage of persons or
property.
15 FAA Airman Registry, as of July 2021. https://
www.faa.gov/licenses_certificates/airmen_
certification/releasable_airmen_download/.
16 FAA Aircraft Registry, as of October 2019
https://registry.faa.gov/currentreg/.
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balloon operators actively operating in
the United States. Using commercial
sources, the FAA estimates there are
about 356 individual operators.17 The
commercial balloon industry estimates
it conducts 100,000 to 250,000
passenger rides annually, as well as
aerial advertising and other commercial
activities.18
When ballooning was first regulated
as an aeronautical activity in the 1940s
by the predecessor of the FAA, the Civil
Aeronautics Administration, pilots were
required to complete a medical
examination (CAR part 22).19 This
requirement continued through the
establishment of part 61 in 1962.20
By the late 1960s, sport ballooning
had grown significantly.21 In 1973, part
61 was revised substantially. Under the
revision, a part 67 medical certificate
was no longer required for either private
or commercial free balloon 22
operations.23 The medical certificate
requirements for balloon operations
have remained substantively unchanged
since the 1973 revision.
D. FAA Oversight
In the decades following the 1973
revisions, the FAA generally considered
commercial balloon operations to be a
low-risk and extremely small segment of
aviation in the United States. Research
conducted by the Agency revealed 54
commercial hot air balloon accidents
between 2003 and 2013, including four
fatal accidents. In 2015, commercial
sightseeing balloon operations
17 Estimate based on number of commercial
operators advertising on www.blastvalve.com.
Accessed on April 27, 2021.
18 Testimony of Scott Appelman, Representing
the Professional Ride Operators Division of the
Balloon Federation of America to NTSB
Investigative Hearing, December 9, 2016. Transcript
Page 53–54, a copy of which has been placed in the
docket for this rulemaking.
19 Amendment 127 to Civil Air Regulations, Part
22 Lighter-Than-Air Pilot Certificates. Effective
September 15, 1941. Section 22.13 required the
holder to complete ‘‘a physical examination
conducted by an authorized medical examiner of
the Administrator.’’ This requirement was further
refined in an October 15, 1942, amendment,
requiring a free balloon pilot certificate holder to
meet the third-class physical standards prescribed
in CAR part 29.
20 27 FR 7954 (Aug. 10, 1962), Subchapter D
Airmen [New] Addition of Subchapter. Effective
November 1, 1962, CAR part 22 was recodified as
14 CFR part 61. Free balloon pilot certificates were
prescribed in § 61.181 with a requirement for those
certificate holders to hold at least a third-class
medical certificate issued under the newly created
part 67.
21 National Balloon Museum: History of
Ballooning https://www.nationalballoon
museum.com/about/history-of-ballooning/.
22 The term ‘‘free balloon’’ was later replaced with
‘‘balloon’’ in April 4, 1997 revision of Part 61. 62
FR 16220.
23 37 FR 6012, 6018 (Mar. 23, 1972).
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represented .057% of the flight hours of
total civil aircraft operations.24
E. 2016 Heart of Texas Hot Air Balloon
Accident 25
On the morning of July 30, 2016, a hot
air balloon, N2469L, operated by Heart
of Texas Hot Air Balloon Rides,
impacted power lines and burst into
flames over a pasture near Lockhart,
Texas. The pilot and all 15 passengers
were killed. The balloon was destroyed
by impact forces and post-crash fire.
The flight was conducted under part 91
as a sightseeing passenger flight, and the
pilot was exercising the privileges of a
commercial pilot certificate.
The NTSB determined that forecast
information before launch showed that
weather conditions were marginal and
deteriorating. While the pilot could
have decided to cancel the flight, he
opted to launch the hot air balloon and
continue the flight into worsening
weather conditions. The NTSB also
determined that the pilot had been
diagnosed with depression and
attention deficit hyperactivity disorder
(ADHD). These medical conditions are
known to cause cognitive deficits that
may affect decision-making and,
ultimately, safety of flight. The NTSB
stated that the medical conditions
‘‘would likely have led an aviation
medical examiner (AME) to either defer
or deny a medical certificate.’’ In
addition, the NTSB reported that
medications were found in the pilot’s
system that are known to cause
impairment.26 The NTSB stated, ‘‘[a]n
AME would likely have deferred or
denied a medical certificate to a pilot
reporting use of these medications.’’ 27
The NTSB determined that the
probable cause of this accident was the
pilot’s pattern of poor decision-making
that led to the initial launch, continued
flight in fog and above clouds, and
descent near or through clouds that
decreased the pilot’s ability to see and
avoid obstacles. The NTSB further
determined that (1) the pilot’s impairing
medical conditions and medications,
and (2) the FAA’s policy to not require
a medical certificate for commercial
24 FAA Docket Submission to the National
Transportation Safety Board for the investigation of
the Heart of Texas Hot Air Balloon Accident Balony
Kubicek BB85Z balloon, N2469L, Lockhart, Texas;
July 30, 2016, Dated April 19, 2017. Page 6.
25 NTSB accident No. DCA16MA204, Lockhart,
TX, July 30, 2016 Accident Report NTSB/AAR–17/
03 PB2018–100161.
26 The medications identified by the NTSB are
listed on the FAA’s ‘‘Do Not Issue’’ and ‘‘Do Not
Fly’’ lists found in the AME Guide.
27 NTSB accident No. DCA16MA204, Lockhart,
TX, July 30, 2016 Accident Report NTSB/AAR–17/
03 PB2018–100161 Executive Summary Page vii.
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balloon pilots, were contributing factors
in the accident.28
F. NTSB Recommendations Following
the 2016 Heart of Texas Balloon
Accident
On October 31, 2017, the NTSB made
two Safety Recommendations in
response to the 2016 Heart of Texas
balloon accident. Safety
Recommendation A–17–034 29 urged the
FAA to ‘‘remove the medical certificate
exemption in 14 [CFR] 61.23(b) for
pilots who are exercising their
privileges as commercial balloon pilots
and are receiving compensation for
transporting passengers.’’ Safety
Recommendation A–17–045 30 urged the
FAA to ‘‘analyze your current policies,
procedures, and tools for conducting
oversight of commercial balloon
operations in accordance with your
Integrated Oversight Philosophy, taking
into account the findings of this
accident; [and] based on this analysis,
develop and implement more effective
ways to target oversight of the operators
and operations that pose the most
significant safety risks.’’
The FAA agreed with the safety
benefits of recommendation A–17–034
and stated its intention to add the
proposed change to its rulemaking
agenda. The FAA responded to Safety
Recommendation A–17–045 by
initiating a plan to develop and
implement more effective ways to target
oversight of operators posing the most
significant safety risk to the public. The
FAA identified and increased
surveillance on the operators of the
largest classes of balloons using
information obtained from the Civil
Aviation Registry, repair stations, and
industry.
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G. Industry Efforts and Voluntary
Compliance
Immediately following the 2016 Heart
of Texas accident, the FAA worked with
an industry group, Balloon Federation
of America (BFA), to support its 2017
Envelope of Safety Program. The
program promotes safety within the
commercial balloon industry by
educating consumers with information
when making balloon ride purchase
decisions. The program includes
voluntary standards for both pilots and
28 NTSB accident No. DCA16MA204, Lockhart
TX, July 30, 2016 Accident Report NTSB/AAR–17/
03 PB2018–100161 Page 49.
29 NTSB Safety Recommendation A–17–034
https://www.ntsb.gov/_layouts/ntsb.recsearch/
Recommendation.aspx?Rec=A-17-034.
30 NTSB Safety Recommendation A–17–045
https://www.ntsb.gov/_layouts/ntsb.recsearch/
Recommendation.aspx?Rec=A-17-045.
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operators and offers multiple tiers of
safety accreditation by the BFA.31
The FAA supports the efforts of the
BFA to enhance safety and
professionalism of the industry while
providing consumers with more
information when choosing a
commercial balloon ride operator. The
agency notes, however, that not all
balloon operators are members of BFA.
Moreover, members are not required to
adhere to any specific standards in
order to maintain professional
membership. Consequently, the FAA
considers BFA’s efforts to achieve
voluntary compliance with industry
standards to be insufficient alone to
address the need for additional
oversight of airmen conducting balloon
operations for compensation or hire.
IV. Discussion of the Proposed Rule
This proposed rule would amend part
61 to require a person who holds a
commercial pilot certificate with a
lighter-than-air category balloon class
rating to hold a valid second-class
medical certificate when exercising the
privileges of that certificate in a balloon
for compensation or hire, unless that
person is conducting flight training in
accordance with § 61.133(a)(2)(ii).
A. Proposed Rule Amendments
As previously discussed, balloon
pilots currently are not required to hold
a medical certificate when exercising
the privileges of a commercial pilot
certificate. Section 318 (‘‘Commercial
Balloon Pilot Safety Act of 2018’’) of
Public Law 115–254, The FAA
Reauthorization Act of 2018, directed
the FAA to ‘‘revise section 61.3(c) of
title 14, Code of Federal Regulations
(relating to second-class medical
certificates), to apply to an operator of
an air balloon to the same extent such
regulations apply to a pilot flightcrew
member of other aircraft.’’ While the
statute specifically directs the FAA to
revise § 61.3(c), the FAA notes that
§ 61.23, Medical certificates:
Requirement and duration, establishes
the requirements and exceptions for
medical certificates based on certain
types of operations. The FAA proposes
to amend § 61.23 in addition to § 61.3(c)
for purposes of implementing the
statutory requirement.
Section 61.3(c)(1) sets forth the
requirement for any person serving as a
required pilot flightcrew member of an
aircraft to hold the appropriate medical
certificate issued under part 67 and to
keep evidence of such certificate in the
person’s physical possession or readily
31 BFA Envelope of Safety Program https://
www.bfa.net/envelope-of-safety-program.
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accessible in the aircraft. Exceptions to
the medical certificate requirement are
set forth in § 61.3(c)(2). Currently, under
§ 61.3(c)(2)(vi), a person holding a pilot
certificate with a balloon class rating
who is piloting or providing training in
a balloon is not required to hold a
medical certificate.
Consistent with the legislative
directive, the FAA proposes to amend
the medical certificate requirement
exception in § 61.3(c)(2)(vi) by limiting
it to certain balloon operations.
Specifically, the exception would be
amended to reflect that any person
holding a pilot certificate with a balloon
class rating who is (A) exercising the
privileges of a private pilot certificate in
a balloon; or (B) providing flight
training in a balloon in accordance with
§ 61.133(a)(2)(ii) is not required to hold
a medical certificate. By revising the
exception in § 61.3(c)(2)(vi), balloon
pilots conducting operations for
compensation or hire in a balloon (other
than flight training), such as carrying
passengers or property and advertising
operations, would be required under
§ 61.3(c)(1) to hold a medical certificate
issued under part 67.
Section 61.23 sets forth the specific
requirements for when a particular class
of medical certificate is required. Under
§ 61.23(a)(2)(ii), a second-class medical
certificate generally is required when
exercising the privileges of a
commercial pilot certificate. However,
under § 61.23(b)(3), a second-class
medical certificate is not required when
exercising the privileges of a pilot
certificate with a glider category rating
or balloon class rating in a glider or
balloon, as appropriate.
The FAA proposes amending § 61.23
to require any person exercising the
privileges of a commercial pilot
certificate for compensation or hire in a
balloon, except when conducting flight
training, to hold a second-class medical
certificate. First, the FAA proposes to
amend § 61.23(a)(2) to add a
requirement for any person exercising
the privileges of a commercial pilot
certificate for compensation or hire in a
balloon to hold a second-class medical
certificate. Second, the FAA proposes to
amend § 61.23(b) to remove the
allowance to exercise the privileges of a
balloon pilot certificate without a
medical certificate. Third and finally,
the FAA proposes to add an exception
at § 61.23(b)(4)–(5) to explain under
what circumstances balloon operations
are excepted from the proposed
requirement to hold a second-class
medical certificate. This exception
would specify that a medical certificate
is not required when exercising the
privileges of a private pilot certificate
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with a balloon class rating in a balloon
or when exercising the privileges of a
commercial pilot certificate with a
balloon class rating in a balloon if the
PIC is providing flight training in
accordance with § 61.133(a)(2)(ii).
Further, § 61.23(d) includes a table
providing the duration for each class of
medical certificate depending on the
several factors including the certificate
privilege that is being exercised. The
FAA proposes to make related
amendments to the table of medical
certificate durations at § 61.23(d)(1)(iii)
and (d)(2)(i). Specifically, the FAA
proposes to add persons who are
exercising the privileges of a
commercial pilot certificate (other than
for flight training) in a balloon to the
established medical certificate durations
in § 61.23(d).32 These proposed
amendments are for clarification and
consistency with the other proposed
amendments to §§ 61.3 and 61.23. The
FAA does not propose to amend any
existing substantive requirement to
change the duration of a medical
certificate.
All certificated airmen are prohibited
from operating an aircraft in the
national airspace system during a
medical deficiency, regardless of
whether they hold a medical certificate
or not. This requirement in § 61.53 for
medical self-evaluation applies to every
flight a person conducts as a required
flightcrew member. Airmen conducting
commercial balloon operations are
currently subject to the requirements of
§ 61.53(b). Under the proposal, these
airmen would be subject to § 61.53(a) by
virtue of exercising the privileges of a
commercial pilot certificate in a balloon
for compensation or hire.
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B. Rationale for Medical Requirement
for Commercial Balloons
Some medical conditions, such as
mental health conditions, inherently
impair the judgement of the person to
properly self-evaluate their medical
condition. A lack of medical knowledge
about one’s own condition may also
preclude an airman from effectively
determining his or her ability to safely
operate the aircraft. Lastly, external
factors, such as economic factors or
concerns about customer dissatisfaction,
32 As a miscellaneous amendment, the FAA has
added flight engineers to § 61.23(d). Section 65.3(b)
requires a person serving as a flight engineer of an
aircraft to hold a current second-class (or higher)
medical certificate issued to that person under part
67, or other documentation acceptable to the FAA,
that is in that person’s physical possession or
readily accessible in the aircraft. In developing this
rule, the FAA identified that flight engineers had
been inadvertently omitted from the medical
certificate duration in § 61.23(d). The FAA proposes
to correct that error in this rulemaking.
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may affect the ability of a commercial
balloon pilot to make an impartial
assessment of his or her health.
Operators conducting flights for
compensation or hire are held to a
higher safety standard with increased
oversight. The commercial balloon
industry has evolved and commercial
operators today fly much larger balloons
carrying many more passengers than in
the past. As a result, the risk associated
with commercial balloon operations has
increased. This increased risk justifies a
level of medical oversight equivalent to
that of pilots of powered aircraft for
certain operations such as commercial
sightseeing operations.
The purpose of the FAA medical
certification program is to ensure that
only pilots, who are physically and
mentally fit, will be authorized to
operate aircraft, thereby enhancing
aviation safety by mitigating the risk of
medical factors as a cause of aircraft
accidents.
Prior to the Heart of Texas accident,
pilots conducted commercial balloon
operations in the U.S. for decades
without any accidents attributed to
medical deficiencies. However, the FAA
agrees with the NTSB and Congress that
a second-class medical certificate is
necessary to increase balloon passenger
safety and other balloon operations
conducted for compensation or hire.
The Heart of Texas accident highlights
how the medical certification process
could reduce the risk of a similar
accident in the future by increasing the
level of FAA oversight of commercial
balloon operations.
For instance, the pilot in the Heart of
Texas accident had a 20-year history of
drug and alcohol convictions, which he
failed to report to the FAA in
accordance with § 61.15(e). If the airman
had been required to hold a medical
certificate, he would have been required
to disclose any history of those arrests
and convictions on his medical
application form, completed through
MedXPress. By signing and submitting
the medical application, the airman
authorizes the FAA to receive National
Driver Register (NDR) pointer data as
well as any individual state records, as
applicable, as part of the medical
certificate application.33
The NDR Problem Driver Pointer
System (PDPS) identifies records on
individuals whose privilege to operate a
motor vehicle has been revoked,
suspended, canceled or denied, or who
33 When applying for a medical certificate in
MedXPress, an applicant authorizes the National
Driver Register (NDR), through a designated State
Department of Motor Vehicles, to furnish to the
FAA information pertaining to his or her driving
record consistent with 49 U.S.C. 30305(b)(3).
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have been convicted of serious trafficrelated offenses. Even if an airman fails
to disclose these convictions on the
application, the FAA receives a report
from the NDR, providing an additional
safeguard and mechanism for verifying
the accuracy of the information
provided by the airman.
In addition, this pilot had multiple
known medical conditions—notably
depression and ADHD—which generally
could be disqualifying for any class of
medical certification under §§ 67.107(c),
67.207(c), and 67.307(c), respectively.
Unless the airman was able to
demonstrate, to the satisfaction of the
Federal Air Surgeon, that the risk
associated with each condition and
associated treatment warranted an
authorization for special issuance, an
application for a medical certificate
with this medical history disclosed
would likely have been denied, if a
medical certificate had been required as
provided for in this proposal.34
Finally, the accident pilot was also
using medications that typically are
disqualifying 35 for use due to sedation
and cognitive impairment. Had he
reported their usage to an AME during
a medical review, the AME would have
discussed this matter with the airman
and addressed appropriate usage.
Performance demands of a
commercial balloon pilot are very
similar to the performance demands of
a pilot operating a powered aircraft. In
both contexts, commercial pilots should
be required to be both physically and
mentally fit to operate their respective
aircraft. The Heart of Texas accident
serves as an example of how a lack of
medical oversight allowed the pilot to
continue to operate a balloon for
compensation or hire in spite of a
questionable medical history. The FAA
therefore concludes the unpowered
nature of commercial balloon operations
no longer justifies excepting operators
from holding a second-class medical
certificate in order to act as PIC.
Flight Training
Unlike other categories of aircraft, the
FAA does not issue a flight instructor
certificate with a lighter-than-air
category rating for part 61 subpart H
flight instructors. Flight training
privileges in a balloon are conferred to
commercial pilots via a balloon rating
34 FAA AME Guide: Pharmaceuticals https://
faa.gov/go/ameguide.
35 Such medications are typically prohibited for a
period of five half-lives. A half-life is a
pharmacologic term for the period of time, based on
average human physiology, that 50% of the drug
can be expected to remain in the body following
consumption.
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on the individual’s commercial pilot
certificate.
While the FAA considers flight
training to be a commercial operation, it
has—for purposes of medical
certification—distinguished instructors
providing flight training from pilots
engaged in other commercial operations
involving the carriage of passengers or
property for compensation or hire. For
example, under current regulations,
conducting flight training while serving
as PIC in either a glider or balloon does
not require any medical certification.
See §§ 61.3(c)(2) and 61.23(b).
The FAA acknowledges that a flight
instructor serving as PIC in an operation
other than a glider or lighter-than-air
aircraft during which private pilot
privileges are being exercised must hold
a third-class medical certificate or opt
into the requirements of BasicMed in
accordance with § 61.23(a)(3) or
§ 61.23(c). However, section 318 of
Public Law 115–254 specifically directs
the FAA to ‘‘revise section 61.3(c) of
title 14, Code of Federal Regulations
(relating to second-class medical
certificates), to apply to an operator of
an air balloon to the same extent such
regulations apply to a pilot flightcrew
member of other aircraft’’ (emphasis
added). Therefore, the FAA has
determined that Congress did not intend
amendments to be made to other classes
of medical certification. As such, the
FAA is not proposing in this NPRM to
extend third-class medical certification
requirements to balloon operations
during which flight instruction is
conducted by an airman serving as PIC.
However, the FAA invites comment on
this issue.
As previously explained, § 61.23(b)(4)
and (5) would specify that a medical
certificate is not required when
exercising the privileges of a private
pilot certificate with a balloon class
rating in a balloon or when exercising
the privileges of a commercial pilot
certificate with a balloon class rating in
a balloon if the PIC is providing flight
training in accordance with
§ 61.133(a)(2)(ii). The FAA notes that, in
some cases, flight training may be
conducted concurrently with an
operation conducted for compensation
or hire.36 In circumstances such as this,
the PIC would be required to hold either
a first- or second-class medical
certificate, as appropriate, for the
commercial operation being conducted
36 An
example of this may be an operator who is
providing flight instruction, but is conducting the
instruction in a balloon that displays aerial
advertising and the operator has received
compensation to display the advertising.
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in conjunction with the flight
instruction.
While the medical certificate
requirements in §§ 61.3(c)(2) and
61.23(b) do not apply to both balloons
and gliders, the FAA is not proposing to
extend the second-class medical
certification requirement described in
this NPRM to commercial glider
operations at this time. Due to the
limited passenger carrying capacity of
gliders,37 the FAA has not identified a
safety risk basis for imposing similar
medical certification requirements on
glider operations. However, the FAA
invites comment on this issue.
C. Invitation for Comment Regarding
Options for Enhanced Safety Oversight
of Commercial Balloon Operations
As previously discussed, balloon
operations conducted for compensation
or hire–many of which involve
passenger-carrying operations
conducted for purposes of sightseeing–
are not required under § 91.147 to
obtain a Letter of Authorization (LOA)
from the FAA. Under § 91.147, to obtain
an LOA, a sightseeing operator must: (1)
Identify the business, where it is
located, where it principally operates
from, and who is responsible for
management and maintenance; (2)
identify the type of aircraft used; and (3)
implement an Antidrug and Alcohol
Misuse Prevention Program in
accordance with 14 CFR part 120.
Following a 2013 non-fatal accident of
a commercially operated balloon
carrying 10 passengers, the NTSB issued
Safety Recommendations A–14–011 38
and A–14–012.39 The recommendations
urged the FAA to require commercial
balloon operators to obtain and
maintain an LOA under § 91.147 to
conduct air tour flights and to enhance
oversight by including commercial
balloon operators in general
surveillance activities.
Recommendations A–14–011 and A–
14–012 were ultimately superseded by
Safety Recommendation A–17–045,
described previously.
The FAA is not proposing to apply
similar requirements to balloon
operations conducted for compensation
or hire in this rulemaking. The FAA,
however, invites comment on whether
the FAA should consider rulemaking in
the future to expand the definition of an
operator under § 91.147 to include
37 Gliders are typically limited to a capacity of 1–
2 passengers in addition to the pilot in command.
38 NTSB Safety Recommendation A–14–011
https://www.ntsb.gov/_layouts/ntsb.recsearch/
Recommendation.aspx?Rec=A-14-011.
39 NTSB Safety Recommendation A–14–012
https://www.ntsb.gov/_layouts/ntsb.recsearch/
Recommendation.aspx?Rec=A-14-012.
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nonstop passenger-carrying flights in a
balloon, which would require an LOA
and drug and alcohol testing
requirements for balloon operations
conducted for compensation or hire.40
Specifically, the FAA requests
information and data regarding the
following:
(1) Should the applicability of
§ 91.147 LOA and drug and alcohol
testing requirements be limited to
certain thresholds of balloon
operations? If so, what thresholds, such
as passenger capacity, number of annual
operations, or size of aircraft should be
used?
(2) Currently, operators who are
required to comply with drug and
alcohol testing under part 120 must
establish a program that covers all
individuals performing safety-sensitive
functions directly or by contract. In the
context of balloon operations, this
testing would include non-pilots, such
as persons conducting maintenance of
the balloon. If the applicability of such
testing was extended to operators
conducting passenger carrying
operations in a balloon for
compensation or hire, what factors
might affect the ability of the balloon
operator to comply with a requirement
to test all individuals performing safetysensitive functions? How many
personnel conducting safety-sensitive
functions does each operator have and
what are their functions?
(3) What current voluntary drug and
alcohol testing is being conducted
among commercial balloon operators?
Do these testing programs apply only to
persons serving as PIC or to all
individuals performing safety-sensitive
functions?
(4) What are the incremental initial
and recurring costs and benefits of
implementing and executing drug and
alcohol testing and complying with
LOA requirements?
D. Miscellaneous Amendments
The FAA is also proposing
miscellaneous amendments to alleviate
confusion and eliminate burdens for
persons obtaining medical flight tests
and for persons operating under
BasicMed.
First, the FAA proposes an
amendment to §§ 61.3(c)(2) and 61.23(b)
to allow persons to receive medical
flight tests authorized under part 67
without holding a medical certificate.
Some medical certificate applicants are
40 More information about initiating a Drug and
Alcohol Testing Program can be found at: https://
www.faa.gov/about/office_org/headquarters_
offices/avs/offices/aam/drug_alcohol/starting/
media/Air_Tour_Operators_Defined_in_Section_
91_147_Implementation.pdf.
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not qualified for an unrestricted medical
certificate due to disqualifying medical
conditions and therefore require the
issuance by authorization for a special
issuance or SODA as discussed above.
In most cases, the FAA can determine
if an individual is eligible for a special
issuance or SODA by means of
additional medical evaluations.
However, for some conditions, a
medical flight test is necessary to
determine whether the individual is
qualified to hold a medical certificate.
In the past, the FAA issued a medical
certificate to applicants for the sole
purpose of conducting a medical flight
test to determine whether a special
issuance was appropriate. The FAA has
determined that temporary issuance of
medical certificates for this purpose is
inconsistent with the requirements in
part 67. Accordingly, the FAA has
ceased issuing them. As a result, a
person authorized to take a medical
flight test may not currently act as PIC
during the test because he or she does
not hold a medical certificate (for those
aircraft for which a medical certificate is
required).41 This places an
unintentional burden on the FAA
aviation safety inspector (ASI) who
conducts the medical flight test because
to complete the medical flight test, the
ASI would need to assume the duties of
PIC.42 To allow persons to continue to
act as PIC during these medical flight
tests, the FAA is proposing to amend
§ 61.3(c)(2) by adding new paragraph
(xv), which would allow persons to act
as PIC during authorized medical flight
tests without holding a medical
certificate.43 The FAA has also
proposed to add a parallel provision in
§ 61.23(b)(12). This proposed change
would not apply to any other flight
activity for which a medical certificate
is required. The FAA has determined
that this action would not compromise
safety. First, by policy, the ASI must
hold a valid medical certificate in order
to conduct medical flight tests
regardless of whether the ASI acts as
PIC.44 Second, in order for the FAA to
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41 Under
the current regulations, a person may act
as PIC during a medical flight test only if that
person holds a medical certificate issued under part
67. 14 CFR 61.3(c)(1).
42 A PIC is the person who has final authority and
responsibility for the operation and safety of the
flight. 14 CFR 1.1. By FAA policy, Aviation Safety
Inspectors (ASI) do not routinely act as PIC during
airman evaluation flights (e.g., practical tests,
medical flight tests, etc.).
43 The FAA notes that it proposes to remove the
‘‘or’’ from paragraph (c)(2)(xiii) and relocate it to
paragraph (c)(2)(xiv) to coincide with the additional
paragraph FAA proposes to add to the list of
exceptions in § 61.3(c)(2).
44 FAA order 8900.1 Volume 5, Chapter 8, Section
1, paragraph 5–1523(D)(3) and Volume 1, Chapter
3, Section 6.
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initiate an LOA for a medical flight test,
the applicant must have a medical
evaluation that determines that the
applicant is otherwise medically
qualified.45
Additionally, the FAA is proposing to
amend §§ 61.3(c)(2), 61.23(c)(3),
61.113(i), 68.3, and 68.9 to alleviate
certain burdens that resulted from the
BasicMed final rule.46 This rule codified
section 2307 of the FAA Extension,
Safety, and Security Act of 2016, (Pub.
L. 114–190) (FESSA). Section 2307
directed the FAA to ‘‘issue or revise
regulations to ensure that an individual
may operate as pilot in command of a
covered aircraft’’ without having to
undergo the medical certification
process under part 67. In that final rule,
the FAA adopted the statutory language
set forth in section 2307, without
interpretation.
To accommodate safety pilots 47 who
wish to operate under BasicMed, but
who are not acting as PIC, the FAA is
proposing to expand the BasicMed
requirements to include persons serving
as required pilot flightcrew members
who are not acting as PIC. Currently,
BasicMed applies only to PICs, because
section 2307 of FESSA applies only to
PICs.48 As a result, BasicMed does not
provide relief from the requirement to
hold a medical certificate under
§ 61.3(c) to a person who is not acting
as PIC. Specifically, pilots who are
acting as safety pilots in accordance
with § 91.109(c), but who are not acting
as PIC, must hold a medical certificate
because they are required flightcrew
members. Instead, a safety pilot who
intends to operate under BasicMed must
agree to act as PIC for the portion of the
flight in which they will serve as safety
pilot.49
The FAA encourages pilots to seek
opportunities to increase proficiency
45 FAA order 8900.1 Volume 5, Chapter 8, Section
1, paragraph 5–1523(B).
46 82 FR 3149 (Jan. 11, 2017).
47 A safety pilot is a person who occupies a
control seat in an aircraft and maintains a visual
watch when the pilot manipulating the flight
controls of the aircraft is using a view-limiting
device to simulate flight by reference to
instruments. See 14 CFR 91.109.
48 There is statutory evidence that the provision
creating BasicMed was not intended to be limited
to only persons acting as PIC. One of the
attestations that a person intending to operate under
BasicMed must agree to states ‘‘I understand that I
cannot act as pilot in command, or any other
capacity as a required flight crew member
[emphasis added], if I know or have reason to know
of any medical condition that would make me
unable to operate the aircraft in a safe manner.’’
49 In certain circumstances, a person who is
qualified to act as a safety pilot may not meet the
regulatory requirements to act as PIC for the flight.
Further, a person may not agree to act as PIC while
acting as safety pilot for several non-regulatory
reasons, personal limits, operating experience,
aircraft rental requirements, or insurance coverage.
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through operations, such as simulated
instrument flying. As such, the FAA
proposes to alleviate the current burden
on safety pilots by allowing persons to
operate under BasicMed while serving
as required pilot flightcrew members.
Specifically, the FAA is proposing to
amend §§ 61.3(c)(2)(xiv),
61.23(c)(3)(i)(C) through (E), 61.113(i),
68.3(a) and (b), and 68.9(a) by
expanding the requirements to include
required pilot flightcrew members. The
FAA notes that, in very limited
circumstances, this amendment would
also allow a private pilot to act as
second-in-command (SIC) of an aircraft
type certificated for more than one
required pilot flightcrew member or in
operations requiring a SIC flightcrew
member while operating under
BasicMed, provided the aircraft meets
the covered aircraft requirements of
§ 61.113(i)(1).
E. Effective Date
The FAA proposes that the medical
certificate requirement of this proposed
rule become effective no less than 180
days from publication of the final rule.
This time span would provide sufficient
time for affected persons to comply with
this rule by obtaining a medical
certificate in a timely manner. The FAA
notes that airman with certain medical
conditions may be required to obtain an
authorization for special issuance. The
process for obtaining a special issuance
may require additional time for the FAA
to review additional medical
information provided by the airman. As
such, persons who are required by this
rule provision to obtain a medical
certificate should seek to obtain a
medical certificate in a timely manner
in order to avoid a loss of operating
privileges due to the inability to comply
with the requirement.
The FAA proposes that the two
miscellaneous amendments of this
proposed rule related to BasicMed
become effective 30 days from
publication of the final rule.
V. Regulatory Notices and Analyses
Federal agencies consider impacts of
regulatory actions under a variety of
executive orders and other
requirements. 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 the
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
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from setting standards that create
unnecessary obstacles to the foreign
commerce of the United States. 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 that may result in the
expenditure by State, local, and tribal
governments, in the aggregate, or by the
private sector, of $100,000,000 or more
(adjusted annually for inflation) in any
one year. The current threshold after
adjustment for inflation is $158,000,000,
using the most current (2020) Implicit
Price Deflator for the Gross Domestic
Product.
In conducting these analyses, the FAA
has determined that this rule: Is not a
‘‘significant regulatory action’’ as
defined in section 3(f) of Executive
Order 12866; may have a significant
economic impact on a substantial
number of small entities; will not create
unnecessary obstacles to the foreign
commerce of the United States; and will
not impose an unfunded mandate on
State, local, or tribal governments, or on
the private sector.
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A. Regulatory Impact Analysis
Summary of Benefits and Costs of This
Rule
The proposed rule would generate
costs for balloon pilots to obtain a
second-class medical certification and
for some pilots to seek authorization
through special issuance. There would
also be costs to the FAA to implement
this requirement in terms of reviewing
and processing submissions related to
certification. The FAA estimates the
present value of total costs over ten
years is $2.6 million to $17.8 million
with a mid-estimate of $7.5 million at a
7 percent discount rate and $3.1 million
to $21.7 million with a mid-estimate of
$9.1 million at a 3 percent discount rate.
The FAA estimates the annualized costs
over ten years is $0.4 million to $2.5
million with a mid-estimate of $1.1
million at a 7 percent discount rate and
$0.4 million to $2.5 million with a midestimate of $1.1 million at a 3 percent
discount rate. While lack of data on the
effectiveness of the rulemaking prevents
quantification of benefits, the FAA
anticipates the rulemaking will enhance
safety of commercial balloon operations,
including reduced risks of accidents,
fatalities, and injuries caused by
medical impairment of balloon pilots.
The FAA estimates that it would take
between 0.4 to 3.0 averted fatalities in
the next ten years for the benefits to
breakeven with the costs of this
rulemaking.
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In addition to the requirement for
commercial balloon pilots to hold a
second-class medical certificate, the rule
proposes two miscellaneous
amendments. The first amendment
addresses certain inconsistencies in
current regulations for conducting
medical flight tests and the second
amendment addresses inconsistencies
regarding who may operate under
BasicMed. The FAA does not quantify
the effects of the two miscellaneous
amendments but anticipates there
would be minor cost savings. By
allowing persons to receive medical
flight tests under part 67 without
holding a medical certificate, the FAA
ASI will no longer have the burden of
assuming the responsibility as PIC. This
would also eliminate the inconsistency
of both having to hold a medical
certificate for the purposes of receiving
a medical flight test and needing the
medical flight test to obtain medical
certification. The amendment to extend
BasicMed eligibility to other pilot
flightcrew members would reduce the
burden for those pilots not acting as PIC
of having to hold a medical certificate
under current regulations and would
hold them to the same standard as those
acting as PIC. This may also result in
more pilots seeking opportunities to
serve as safety pilot by lowering the
medical certificate barrier without
compromising safety. It would also
increase the number of pilots eligible to
serve as safety pilot, easing the burden
of pilots with instrument privileges
conducting flights to meet recent flight
experience requirements and
consequently increasing overall safety
in the national airspace system.
Statement of Need
This rulemaking addresses the need
for additional oversight of airmen
conducting balloon operations for
compensation or hire by implementing
the statutory mandate under the
Commercial Balloon Pilot Safety Act of
2018 and NTSB Safety Recommendation
A–17–034 to extend second-class
medical certification requirements to
operators of air balloons. As discussed
elsewhere in the preamble, the 2016
Heart of Texas balloon accident
highlights the potential for a pilot’s
medical condition to pose safety risks,
which are not necessarily less than that
of powered aircraft sightseeing
operations that require at least a secondclass medical certificate (e.g.,
commercial transportation of skydivers,
banner towing, or aerial photography).
Following the 2016 Heart of Texas
accident, there have been voluntary
efforts by the industry to raise the
standard for balloon pilots notably
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through the Envelope of Safety Program.
While incentives to ensure a certain
level of safety exist in the private market
for commercial balloon operations, it is
unlikely in the absence of federal
regulation that all balloon pilots would
choose to comply with the requirements
of a second-class medical certification.
At the same time, consumers may be
insufficiently aware of the risks
associated with balloon pilots operating
under a lower standard to demand full
compliance. Therefore, this rulemaking
is necessary to achieve a higher level of
safety for commercial balloon
operations.
Data and Assumptions
This section summarizes key data
sources and assumptions used
throughout the analysis:
• Costs and benefits are estimated
over 10 years.
• Costs and benefits are presented in
2020 dollars.
• The present value discount rate of
seven and three percent is used as
required by the Office of Management
and Budget.
• The cost for a medical examination
fee with an AME is in the following
range: Low = $100, Mid = $150 or High
= $200.50
• The hourly rate of a pilot (VPT)
exercising their commercial balloon
rating varies greatly. Therefore, the FAA
used the following hourly wages: Low=
$15, Mid= $31.50 or High= $48.51
• Vehicle operating cost per mile
(VOC) as determined by the Internal
Revenue Service (IRS) is $0.16.52
• The FAA assumes 1.5 hour to
complete the MedXPress form.53
• The FAA assumes 1 hour to
complete a medical examination.
Affected Entities
At the time of writing, the FAA used
2021 data from the Airmen Certification
database to identify pilots certified as
commercial balloon pilots. There are
currently 4,869 commercial pilots with
balloon class ratings. This balloon class
50 According to FAA subject matter experts and
Phoenix East Aviation, https://www.pea.com/blog/
posts/the-faa-medical-exam-common-questions/,
the cost per medical exam ranges from $100 to
$200.
51 According to the FAA subject matter experts,
responses from the Balloon Federation of America
and online sources, the FAA estimates a
commercial balloon pilot earns from $15 to $48 an
hour. Online source: https://www.jobmonkey.com/
uniquejobs3/hot-air-balloon-pilot-jobs/.
52 https://www.irs.gov/newsroom/irs-issuesstandard-mileage-rates-for-2021 Accessed on April
21, 2021.
53 This estimate is consistent with FAA’s
estimated burden hours associated with the
MedXPress form 8500–8 approved under OMB No.
2120–0034.
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rating does not have an expiration.
Unlike other pilot ratings, a person
exercising the privileges of a balloon
class rating does not require an active
first-, second-, or third-class medical
certificate. Because of this, there is
uncertainty in the number of active
commercial balloon pilots actively
exercising commercial pilot privileges.
For this reason, the FAA produced a
low, mid, and high range estimate of
how many pilots would possibly be
affected by this proposed rule.
In addition to the current number of
certificated pilots with a commercial
balloon rating, the FAA gathered data
from the last 14 years to estimate an
average growth of newly certificated
commercial balloon pilots per year.
Over the course of the last 14 years from
2007 through 2020, there was on
average 56 newly certificated
commercial balloon pilots per year.
As mentioned earlier, there is
uncertainty with the number of active
pilots exercising their commercial
64427
balloon privileges. The FAA assumes a
low estimate of 20%, a mid-estimate of
50% and a high estimate of 100% of the
4,869 commercial pilots with a balloon
class rating would be active. Table 1
displays the potential number of airmen
that would be affected by the proposed
rule over the course of ten years.
Corresponding to the number of active
balloon pilots is the number of expected
submissions for second-class medical
certifications each year.
TABLE 1—LOW, MIDDLE AND HIGH ESTIMATES OF ACTIVE BALLOON PILOTS
Year
Middle
High
1 ...................................................................................................................................................
2 ...................................................................................................................................................
3 ...................................................................................................................................................
4 ...................................................................................................................................................
5 ...................................................................................................................................................
6 ...................................................................................................................................................
7 ...................................................................................................................................................
8 ...................................................................................................................................................
9 ...................................................................................................................................................
10 .................................................................................................................................................
1,030
1,086
1,142
1,198
1,254
1,310
1,366
1,422
1,478
1,534
2,491
2,547
2,603
2,659
2,715
2,771
2,827
2,883
2,939
2,995
4,925
4,981
5,037
5,093
5,149
5,205
5,261
5,317
5,373
5,429
Total ......................................................................................................................................
12,820
27,430
51,770
Benefits
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Low
The benefits of this rulemaking come
from the value of averted accidents
attributable to pilots operating
commercial balloons with medical
deficiencies. While under current
regulations, balloon pilots must comply
with § 61.53(b), which states that ‘‘a
person shall not act as pilot in
command, or in any other capacity as a
required pilot flight crewmember, while
that person knows or has reason to
know of any medical condition that
would make the person unable to
operate the aircraft in a safe manner,’’
the second-class medical certification
requirement would provide greater
assurances of safety to balloon
passengers and other balloon operations
conducted for compensation or hire. By
requiring balloon pilots to undergo a
medical certification process, an AME
should identify potentially impairing
medical conditions and treatments
thereof to ensure sufficient mitigation of
any associated risks.
To quantify the benefits from this
rule, it is necessary to: (1) Forecast a
baseline level of accidents attributable
to medically impaired balloon pilots in
the absence of this rule and (2) estimate
the extent to which the medical
certification requirement effectively
reduces the risk. As previously
discussed, based on the FAA’s analysis
of the NTSB accident database during
the ten-year period from 2010–2020, the
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FAA finds that there has been one
accident, the Heart of Texas accident,
where the medical condition of the pilot
was a factor. The Heart of Texas
accident resulted in 16 fatalities. The
commercial pilot and all 15 passengers
were killed, and the balloon was
destroyed by impact forces and postcrash fire. For an accident of this
magnitude, the FAA estimates that the
social cost associated with the loss of
life alone is $185.6 million using a value
of statistical life of $11.6 million.54
Additional costs of a similar accident
would include non-fatal injuries, the
value of property loss and damage as
well as the cost of the accident
investigation and clean-up efforts.
However, the FAA currently does not
have enough information to monetize
those additional costs.
The FAA finds that the requirement
for a second-class medical certification
could have prevented the Heart of Texas
accident if: (1) Information made
available through the NDR database as
part of the medical review process
revealed the pilot’s history of drug- and
alcohol-related traffic offenses and
resulted in a disqualification, (2) a
medical review either prompted
effective treatment of or disqualification
for the pilot’s medical conditions
(depression and ADHD), or (3) use of
54 Value of a statistical life in 2020 is $11.6
million. Letter from Acting Assistant Secretary for
Transportation Policy April 1, 2021.
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certain medications were discussed
with an AME would have resulted in
the pilot adjusting his behavior to avoid
usage as a PIC during a balloon
operation.
Due to the infrequency of such events
and limitations in the available data, it
is difficult to quantify and monetize the
benefits of the rulemaking. The FAA
intends to update its estimates of
quantified benefits for the final rule
based on additional information and
data identified during the comment
period. Specifically, the FAA requests
information and data, including
references and sources, that can be used
to predict the number of similar
accidents that may occur in the future
and the number of accidents that could
be averted by this rulemaking.
While the FAA describes the benefits
of the rulemaking qualitatively, the FAA
expects that second-class medical
certification provides additional
screening to reduce the risk of
commercial balloon pilots operating
while medically impaired. In the section
below, the FAA conducted a breakeven
analysis to show that the monetized
benefits of the rulemaking equates costs
if it averts 0.4 to 3.0 fatalities in the next
ten years.
Costs
This rulemaking would result in
private sector costs to balloon pilots for
obtaining a second-class medical
certificate, including the opportunity
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annual basis. The FAA estimates the
opportunity cost of time for each
applicant would include 1.5 hour to
complete the MedXPress form, 1 hour
for the medical examination, and 1 hour
of travel time to and from the exam for
a total of 3.5 hours.55 The FAA assumes
an hourly wage for a balloon pilot
ranges from $15 per hour to $48 per
hour, with a mid-estimate of $31.50 per
hour, to value time for the medical exam
and completing the MedXPress form.
For valuing travel time, the FAA uses an
estimate of $13.60 per hour consistent
with 2016 DOT guidance (in this
analysis, $14.30 was used for year
2020).56 Multiplying the value of time
by the amount of time spent yields an
estimate of $51.80 to $134.30, with a
mid-estimate of $93.05 per applicant in
opportunity cost of time. FAA subject
matter experts estimate the cost per
medical exam with an AME ranges from
cost of time and fee for the medical
exam with an AME. Some balloon pilots
with certain health conditions that are
otherwise disqualifying may also incur
the cost of obtaining a LOA by special
issuance. The FAA would incur costs
for reviewing and processing the
applications (i.e., MedXPress forms) and
reviewing NDR information for a subset
of submissions.
Cost to Industry
(1) Costs of Obtaining Second-Class
Medical Certification
To obtain a second-class medical
certificate, an applicant would need to
complete the MedXPress form and a
medical exam with an AME. Because
the second-class medical certificate
expires 12 months after the date of the
medical exam, the FAA assumes that
pilots would incur these costs on an
$100 to $200, with an average of $150.
Additional costs arise from vehicle
operating costs (VOC) of 16 cents per
mile for an average of 50 miles traveled
by vehicle to and from a medical exam,
which yields $8 for each exam. Taking
the sum of the value of time spent,
medical exam fee, and VOC, the FAA
estimates that each applicant would
incur costs of approximately $160 to
$342, with a mid-estimate of $251 to
obtain a second-class medical certificate
each year.
Table 2 below shows the range of total
costs to industry for obtaining a secondclass medical certificate. The FAA
derives the aggregated low, middle, and
high costs by multiplying the estimated
number of active pilots (low, middle,
high) as shown in Table 1 by the
corresponding low, middle, and high
costs per applicant by cost category.
TABLE 2—COSTS TO INDUSTRY BY CATEGORY TO OBTAIN SECOND-CLASS MEDICAL CERTIFICATION
Year
1 ...............
2 ...............
3 ...............
4 ...............
5 ...............
6 ...............
7 ...............
8 ...............
9 ...............
10 .............
Opportunity cost of time for exam,
MedXPress form, and travel
Low
Middle
$53,354
56,407
59,475
62,572
65,685
68,814
71,961
75,124
78,304
81,501
$231,788
237,355
242,938
248,563
254,205
259,864
265,540
271,233
276,942
282,668
Fee for medical exam with AME
Low
High
$661,428
669,646
677,879
686,180
694,497
702,831
711,182
719,550
727,934
736,335
$103,000
108,600
114,200
119,800
125,400
131,000
136,600
142,200
147,800
153,400
Middle
Vehicle operating costs
High
$373,650
382,050
390,450
398,850
407,250
415,650
424,050
432,450
440,850
449,250
Low
$985,000
996,200
1,007,400
1,018,600
1,029,800
1,041,000
1,052,200
1,063,400
1,074,600
1,085,800
$8,240
8,688
9,136
9,584
10,032
10,480
10,928
11,376
11,824
12,272
Middle
$19,928
20,376
20,824
21,272
21,720
22,168
22,616
23,064
23,512
23,960
High
$39,400
39,848
40,296
40,744
41,192
41,640
42,088
42,536
42,984
43,432
Note: The low, middle, and high estimates correspond to the low, middle, and high estimates of the number of active pilots and the range of
costs per applicant in each category of costs.
(2) Cost of Obtaining a Special Issuance
For applicants that do not initially
meet the requirements of a second-class
medical certification, there may be an
additional cost to seek a LOA by special
issuance. The FAA assumes that an
applicant seeking special issuance
would incur the same costs and time of
a second-class medical certification as
estimated per applicant above. Based on
the historical rate of special issuances,
the FAA assumes that approximately 10
percent of affected balloon pilots would
seek special issuance. Therefore, the
FAA takes the sum of costs in each cost
category for obtaining a second-class
medical certification and multiplies by
0.1 to obtain the total industry cost for
obtaining special issuances. Table 3
below shows the range of special
issuance costs in each year.
TABLE 3—TOTAL INDUSTRY COST FOR SPECIAL ISSUANCES
Total private sector costs for special issuance
Year
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Low
1
2
3
4
5
6
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
55 According to the ‘‘FAA Aerospace Medical
Certification Services Airman Satisfaction Survey,’’
(April 2017), over 60 percent of applicants traveled
between 0 and 25 miles one way for an exam with
an AME. (Retrieved from: https://www.reginfo.gov/
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public/do/PRAViewDocument?ref_nbr=2019042120-007.)
56 Department of Transportation. ‘‘The Value of
Travel Time Savings: Departmental Guidance for
Conducting Economic Evaluations Revision 2 (2016
Update). Available at: https://
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Middle
$16,459
17,369
18,281
19,196
20,112
21,029
$62,537
63,978
65,421
66,869
68,318
69,768
High
$168,583
170,569
172,558
174,552
176,549
178,547
www.transportation.gov/office-policy/
transportation-policy/revised-departmentalguidance-valuation-travel-time-economic. This
analysis assumes that the value of travel time grows
1% a year. Year 2020: $14.30.
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64429
TABLE 3—TOTAL INDUSTRY COST FOR SPECIAL ISSUANCES—Continued
Total private sector costs for special issuance
Year
Low
Middle
High
7 ...................................................................................................................................................
8 ...................................................................................................................................................
9 ...................................................................................................................................................
10 .................................................................................................................................................
21,949
22,870
23,793
24,717
71,221
72,675
74,130
75,588
180,547
182,549
184,552
186,557
Present Value at 7% ....................................................................................................................
Annualized at 7% .........................................................................................................................
Present Value at 3% ....................................................................................................................
Annualized at 3% .........................................................................................................................
140,959
20,069
173,625
20,354
479,339
68,247
586,001
68,697
1,239,310
176,450
1,510,442
177,070
Summary of Total Cost to Industry
The FAA estimates the present value
of total cost to industry associated with
obtaining a second-class medical
certification and special issuances to be
$1.6 million to $13.6 million, with a
mid-estimate of $5.3 million at a 7
percent discount rate and $1.9 million
to $16.6 million, with a mid-estimate of
$6.4 million at a 3 percent discount rate.
The annualized value of total cost to
industry are $0.2 million to $1.9 million
with a mid-estimate of $0.8 million at a
7 percent discount rate and $0.2 million
to $1.9 million with a mid-estimate of
$0.8 million at a 3 percent discount rate.
In Table 4 below, the FAA shows these
total costs to industry for obtaining a
second-class medical certification and
special issuances in each year. The low,
middle, and high estimates correspond
to the range of estimates on the number
of affected pilots and costs associated
with obtaining medical certification.
TABLE 4—TOTAL INDUSTRY COSTS
Total cost to industry
Year
Low
Middle
High
1 ...................................................................................................................................................
2 ...................................................................................................................................................
3 ...................................................................................................................................................
4 ...................................................................................................................................................
5 ...................................................................................................................................................
6 ...................................................................................................................................................
7 ...................................................................................................................................................
8 ...................................................................................................................................................
9 ...................................................................................................................................................
10 .................................................................................................................................................
$181,053
191,064
201,092
211,151
221,228
231,324
241,438
251,570
261,721
271,891
$687,902
703,759
719,633
735,554
751,493
767,451
783,427
799,421
815,434
831,466
$1,854,410
1,876,263
1,898,133
1,920,076
1,942,038
1,964,018
1,986,017
2,008,034
2,030,070
2,052,124
Present Value at 7% ....................................................................................................................
Annualized at 7% .........................................................................................................................
Present Value at 3% ....................................................................................................................
Annualized at 3% .........................................................................................................................
1,550,549
220,763
1,909,876
223,896
5,272,731
750,718
6,446,015
755,670
13,632,413
1,940,949
16,614,860
1,947,768
Costs to FAA To Implement
Requirement for Second-Class Medical
Certification for Balloon Pilots
(1) FAA Cost of MedXPress Review and
Processing
The FAA would incur costs
associated with reviewing and
processing applications submitted
through MedXPress. Based on internal
FAA data on total personnel costs and
benefits attributable to labor hours spent
on review of airmen medical
certification in FY 2019 and FY 2020,
the FAA estimates an average cost of
$30 to review and process each
application. In Table 5 below, the
Agency derives the FAA cost to review
applications in each year using the
estimated range for the number of
submissions based on the forecasted
number of active balloon pilots in each
year.
TABLE 5—FAA COSTS TO REVIEW AND PROCESS APPLICATIONS
FAA costs for review and processing
Year
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Low
1
2
3
4
5
6
7
8
9
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
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Middle
$30,489
32,147
33,805
35,462
37,120
38,778
40,435
42,093
43,751
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$73,737
75,394
77,052
78,710
80,367
82,025
83,683
85,340
86,998
High
$145,786
147,444
149,102
150,759
152,417
154,075
155,732
157,390
159,048
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TABLE 5—FAA COSTS TO REVIEW AND PROCESS APPLICATIONS—Continued
FAA costs for review and processing
Year
Low
Middle
High
10 .................................................................................................................................................
45,408
88,656
160,705
Present Value at 7% ....................................................................................................................
Annualized at 7% .........................................................................................................................
Present Value at 3% ....................................................................................................................
Annualized at 3% .........................................................................................................................
260,087
37,031
320,268
37,545
563,839
80,278
689,177
80,793
1,069,884
152,327
1,303,774
152,842
(2) FAA Cost of Special Issuance Review
A MedXPress application that
requires a special issuance medical
certificate is deferred to the Aerospace
Medical Certification Division (AMCD)
of Oklahoma City for further
consideration. Based on FAA internal
data on personnel compensation and
benefits attributable to labor hours spent
on reviewing and processing special
issuance medical certificates in FY 2019
and FY 2020, the FAA estimates an
average cost of approximately $126 per
special issuance review. The table
below displays the FAA cost for special
issuance review assuming that 10
percent of the applicants do not initially
qualify for second-class medical
certification.
TABLE 6—FAA COST OF SPECIAL ISSUANCE REVIEW
FAA costs for special issuance review
Year
Low
Middle
High
1 ...................................................................................................................................................
2 ...................................................................................................................................................
3 ...................................................................................................................................................
4 ...................................................................................................................................................
5 ...................................................................................................................................................
6 ...................................................................................................................................................
7 ...................................................................................................................................................
8 ...................................................................................................................................................
9 ...................................................................................................................................................
10 .................................................................................................................................................
$13,018
13,726
14,434
15,142
15,850
16,557
17,265
17,973
18,681
19,388
$31,484
32,192
32,900
33,608
34,315
35,023
35,731
36,439
37,147
37,854
$62,248
62,956
63,664
64,371
65,079
65,787
66,495
67,202
67,910
68,618
Present Value at 7% ....................................................................................................................
Annualized at 7% .........................................................................................................................
Present Value at 3% ....................................................................................................................
Annualized at 3% .........................................................................................................................
111,052
15,811
136,748
16,031
240,749
34,277
294,266
34,497
456,820
65,041
556,687
65,261
(3) Cost of FAA Review of the National
Driver Register (NDR) Reports
Included within the medical
certificate application is the applicant’s
authorization for the FAA to receive
NDR data, which provides a report of
applicable motor vehicle actions within
the preceding three years. Intentional
failure to report required drug or alcohol
motor vehicle actions is grounds for
suspension of a pilot certificate. NDR
checks help to identify persons who
may have substance abuse or
dependence issues. Although the bulk
of the process is automated, the FAA
estimates there is roughly a 3% return
rate that requires additional review and
investigation. The FAA estimates that it
takes approximately 40 hours of
additional review time by a special
agent for each applicant that is flagged
through the NDR database. Using a
special agent hourly wage adjusted for
fringe benefits of $60.18 as shown in
Table 7 below, the FAA estimates that
each submission that requires further
investigation would cost $2,407. The
total costs to FAA associated with NDR
review is estimated in Table 8 using the
range of estimated submissions.
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TABLE 7—SPECIAL AGENT WAGE WITH FRINGE BENEFITS
Special Agent ...................................................................................................
Federal Fringe Benefit Factor 1 2 3 ...................................................................
Yearly
Hourly
$91,877
........................
$44.17
........................
Fringe benefits
$16.01
36.25%
Total
$60.18
........................
1 https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2008/m08-13.pdf.
2 Percent
of position’s basic pay.
Worth, TX–OK locality plus fringe benefits, GS–12 Step 4. Retrieved from https://www.opm.gov/policy-data-oversight/pay-leave/
salaries-wages/salary-tables/pdf/2021/DFW.pdf.
3 Dallas-Fort
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TABLE 8—FAA COSTS FOR NDR REVIEW
FAA costs for NDR review
Year
Low
Middle
High
1 ...................................................................................................................................................
2 ...................................................................................................................................................
3 ...................................................................................................................................................
4 ...................................................................................................................................................
5 ...................................................................................................................................................
6 ...................................................................................................................................................
7 ...................................................................................................................................................
8 ...................................................................................................................................................
9 ...................................................................................................................................................
10 .................................................................................................................................................
$74,382
78,427
82,471
86,515
90,559
94,603
98,647
102,691
106,735
110,779
$179,890
183,934
187,978
192,022
196,066
200,111
204,155
208,199
212,243
216,287
$355,664
359,708
363,752
367,796
371,840
375,884
379,928
383,972
388,017
392,061
Present Value at 7% ....................................................................................................................
Annualized at 7% .........................................................................................................................
Present Value at 3% ....................................................................................................................
Annualized at 3% .........................................................................................................................
634,516
90,341
781,334
91,596
1,375,557
195,848
1,681,335
197,104
2,610,118
371,622
3,180,721
372,877
Summary of Total Costs to FAA
The total costs to the FAA to
implement the requirement for
commercial balloon pilots to hold a
second-class medical certificate is the
sum of the costs for FAA review and
processing of MedXPress applications,
review of special issuances, and review
of NDR information associated with
certain applications. The FAA estimates
the present value of total costs to the
Agency to be $1.0 million to $4.1
million, with a mid-estimate of $2.2
million at a 7 percent discount rate and
$1.2 million to $5.0 million, with a midestimate of $2.7 million at a 3 percent
discount rate. The annualized value of
total cost to FAA are $0.1 million to
$0.6 million with a mid-estimate of $0.3
million at a 7 percent discount rate and
$0.1 million to $0.6 million with a midestimate of $0.3 million at a 3 percent
discount rate.
These preliminary cost estimates to
the FAA are subject to change for the
final rule and are not intended to inform
future rulemakings or policies involving
user fees since these are point-in-time
preliminary estimates of additional
personnel costs to FAA before the
effective date of the final rule. The FAA
acknowledges the difficulty in
estimating FAA burden and cost after
the effective date of this rule given
uncertainties in the number of pilot
applicants and those pilots that would
either receive a second-class medical
certification or be granted a special
issuance certification.
TABLE 9—TOTAL COSTS TO FAA
Total cost to FAA
Year
Low
High
1 ...................................................................................................................................................
2 ...................................................................................................................................................
3 ...................................................................................................................................................
4 ...................................................................................................................................................
5 ...................................................................................................................................................
6 ...................................................................................................................................................
7 ...................................................................................................................................................
8 ...................................................................................................................................................
9 ...................................................................................................................................................
10 .................................................................................................................................................
$117,890
124,300
130,709
137,119
143,528
149,938
156,347
162,757
169,167
175,576
$285,111
291,521
297,930
304,340
310,749
317,159
323,568
329,978
336,387
342,797
$563,698
570,107
576,517
582,927
589,336
595,746
602,155
608,565
614,974
621,384
Present Value at 7% ....................................................................................................................
Annualized at 7% .........................................................................................................................
Present Value at 3% ....................................................................................................................
Annualized at 3% .........................................................................................................................
1,005,655
143,183
1,238,350
145,172
2,180,145
310,404
2,664,778
312,393
4,136,823
588,991
5,041,181
590,980
Total Costs of the Rule
khammond on DSKJM1Z7X2PROD with PROPOSALS
Middle
The total costs are shown in the table
below, which include both costs to
industry and to the FAA. The total costs
over the ten years include the costs for
pilots to obtain their second-class
medical certificate, special issuances
and costs to the Agency for review of
applications, special issuances, and
NDR information. The FAA estimates
the present value of total costs over ten
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years is $2.6 million to $17.8 million
with a mid-estimate of $7.5 million at a
7 percent discount rate and $3.1 million
to $21.7 million with a mid-estimate of
$9.1 million at a 3 percent discount rate.
The FAA estimates the annualized costs
over ten years is $0.4 million to $2.5
million with a mid-estimate of $1.1
million at a 7 percent discount rate and
$0.4 million to $2.5 million with a mid-
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estimate of $1.1 million at a 3 percent
discount rate.
As stated previously, in some cases,
where the airman’s medical condition
does not meet the part 67 standard, the
airman may still be issued a medical
certificate by authorization for special
issuance when the Federal Air Surgeon
determines the risk associated with the
medical condition(s) to be sufficiently
mitigated. Based on the rate of special
issuance for general aviation, the FAA
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assumes that 10% of the commercial
balloon pilot applicants would require a
special issuance. For purposes of this
analysis, the FAA assumes that most
applicants would ultimately either
receive a second-class medical
certification or be granted a special
issuance certification and therefore does
not quantify costs associated with not
meeting the requirements.
However, the FAA expects some
applicants who would have otherwise
been able to operate as commercial
balloon pilots may not meet the
requirements of a second-class medical
certification nor the requirements for a
special issuance. Furthermore, the
opportunity cost (including the time
and fees) of seeking a second-class
medical certification for some pilots
may outweigh their private gains from
operating commercially, resulting in
some pilots opting not to seek medical
certification. The FAA does not have
sufficient information to predict how
the supply of commercial balloon pilots
would change as a result of this rule.
While the FAA does not expect a
significant decrease in the availability of
balloon pilots, changes in supply of
balloon pilots could affect prices as
well. This analysis does not quantify
any potential changes in consumer and
producer surplus from changes in
supply. If the rule effectively screens
out certain individuals for disqualifying
medical conditions as intended, any
potential adverse effects on individual
applicants should be offset by the safety
gains to the public. The FAA requests
comment on these assumptions and data
that would allow the FAA to quantify
these potential impacts.
TABLE 10—TOTAL COSTS OF THE RULE
Total Cost of the Rule
Year
khammond on DSKJM1Z7X2PROD with PROPOSALS
Low
Middle
High
1 ...................................................................................................................................................
2 ...................................................................................................................................................
3 ...................................................................................................................................................
4 ...................................................................................................................................................
5 ...................................................................................................................................................
6 ...................................................................................................................................................
7 ...................................................................................................................................................
8 ...................................................................................................................................................
9 ...................................................................................................................................................
10 .................................................................................................................................................
$298,944
315,364
331,802
348,270
364,757
381,262
397,785
414,327
430,888
447,467
$973,013
995,280
1,017,563
1,039,894
1,062,242
1,084,609
1,106,995
1,129,399
1,151,822
1,174,263
$2,418,108
2,446,370
2,474,650
2,503,003
2,531,374
2,559,764
2,588,172
2,616,599
2,645,044
2,673,508
Present Value at 7% ....................................................................................................................
Annualized at 7% .........................................................................................................................
Present Value at 3% ....................................................................................................................
Annualized at 3% .........................................................................................................................
2,556,204
363,946
3,148,226
369,068
7,452,875
1,061,122
9,110,792
1,068,063
17,769,236
2,529,939
21,656,041
2,538,749
Breakeven Analysis
Regulatory Alternatives
Given the uncertainties and
limitations in the available data, the
FAA conducted a breakeven analysis to
determine the number of averted
fatalities necessary to generate benefits
equal to costs. The FAA divided the
present value of total costs of the rule
by the present value of a statistical life
to estimate the number of fatalities
needed to break even with the costs of
the rule over a ten-year time horizon.
Using a value of statistical life of $11.6
million and the range of present value
of costs presented in Table 10 above, the
monetized benefits of this rule will
break even with costs if the new
medical certification requirement averts
between 0.4 to 3.0 fatalities under a 7
percent discount rate and between 0.4 to
2.5 fatalities under a 3 percent discount
rate.57
The FAA considered one alternative
to the proposed rule:
Letter of Authorization (LOA) and
Drug and Alcohol Testing. With this
alternative, the FAA would institute
both a medical certificate requirement
as well as a requirement for obtaining an
LOA from the FAA and mandatory drug
and alcohol testing. This alternative
would expand the definition of an
operator under § 91.147 to include
balloons, which would require the
commercial balloon operators to obtain
an LOA from the FAA in accordance
with § 91.147 prior to conducting
operations, and implement drug and
alcohol testing programs in accordance
with 14 CFR part 120. This alternative
goes beyond the statutory mandate and
would add the additional administrative
costs of implementing a drug and
alcohol testing program and obtaining a
LOA to commercial balloon operators
and pilots.
57 Departmental Guidance on Valuation of a
Statistical Life in Economic Analysis https://
www.transportation.gov/office-policy/
transportation-policy/revised-departmentalguidance-on-valuation-of-a-statistical-life-ineconomic-analysis.
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B. Regulatory Flexibility Act
The Regulatory Flexibility Act (RFA)
of 1980, Public Law 96–354, 94 Stat.
1164 (5 U.S.C. 601–612), as amended by
the Small Business Regulatory
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Sfmt 4702
Enforcement Fairness Act of 1996 (Pub.
L. 104–121, 110 Stat. 857, Mar. 29,
1996) and the Small Business Jobs Act
of 2010 (Pub. L. 111–240, 124 Stat. 2504
Sept. 27, 2010), requires Federal
agencies to consider the effects of the
regulatory action on small business and
other small entities and to minimize any
significant economic impact. The term
‘‘small entities’’ comprises small
businesses and not-for-profit
organizations that are independently
owned and operated and are not
dominant in their fields, and
governmental jurisdictions with
populations of less than 50,000.
The FAA is publishing this Initial
Regulatory Flexibility Analysis (IRFA)
to aid the public in commenting on the
potential impacts to small entities from
this proposal. The FAA invites
interested parties to submit data and
information regarding the potential
economic impact that would result from
the proposal. The FAA will consider
comments when making a
determination or when completing a
Final Regulatory Flexibility Analysis.
An IRFA must contain the following:
(1) A description of the reasons why
the action by the agency is being
considered;
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(2) A succinct statement of the
objective of, and legal basis for, the
proposed rule;
(3) A description of and, where
feasible, an estimate of the number of
small entities to which the proposed
rule will apply;
(4) A description of the projected
reporting, recordkeeping, and other
compliance requirements of the
proposed rule, including an estimate of
the classes of small entities which will
be subject to the requirement and the
type of professional skills necessary for
preparation of the report or record;
(5) An identification, to the extent
practicable, of all relevant Federal rules
that may duplicate, overlap, or conflict
with the proposed rule; and
(6) A description of any significant
alternatives to the proposed rule which
accomplish the stated objectives of
applicable statutes and which minimize
any significant economic impact of the
proposed rule on small entities.
Description of Reasons the Agency Is
Considering the Action
khammond on DSKJM1Z7X2PROD with PROPOSALS
The FAA is publishing this
rulemaking to comply with the
Commercial Balloon Pilot Safety Act of
2018, which directs the FAA to require
commercial balloon pilots conducting
operations for compensation or hire to
hold a valid second-class medical
certificate. Congress introduced this
legislation in response to the 2016 Heart
of Texas hot air balloon accident and
the NTSB finding that (1) the pilot’s
impairing medical conditions and
medications and (2) the FAA’s policy to
not require a medical certificate for
commercial balloon pilots were
contributing factors in the accident.
This proposed rule would amend part
61 to require a second-class medical
certificate for balloon operations
conducted for compensation or hire,
other than flight training. As such, a
person who holds a commercial pilot
certificate with a balloon class rating
would be required to hold a valid
second-class medical certificate when
exercising the privileges of that
certificate in a balloon for compensation
or hire, unless that person is conducting
flight training in accordance with
§ 61.133(a)(2)(ii).
Statement of the Legal Basis and
Objectives
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.
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The FAA is issuing this rulemaking
under the authority described in
Subtitle VII, Part A, Subpart iii, Section
44701, General Requirements; Section
44702, Issuance of Certificates; and
Section 44703, Airman Certificates.
Under these sections, the FAA is
charged with prescribing regulations
and minimum standards for practices,
methods, and procedures the
Administrator finds necessary for safety
in air commerce. The FAA is also
authorized to issue certificates,
including airman certificates and
medical certificates, to qualified
individuals. This rulemaking proposal
is within the scope of that authority.
Further, this rulemaking is issued
under section 318 of the FAA
Reauthorization Act of 2018, Public Law
115–254, (‘‘Commercial Balloon Pilot
Safety Act of 2018’’). Section 318
directed the FAA to ‘‘revise section
61.3(c) of title 14, Code of Federal
Regulations (relating to second-class
medical certificates), to apply to an
operator of an air balloon to the same
extent such regulations apply to a pilot
flight crewmember of other aircraft.’’
While the statute specifically directs the
FAA to revise § 61.3(c), the FAA notes
that § 61.23, Medical certificates:
Requirement and duration establishes
the requirements and exceptions for
medical certificates based on certain
types of operations. The FAA proposes
to amend § 61.23 in addition to § 61.3(c)
for purposes of implementing the
statutory requirement.
Description of the Recordkeeping and
Other Compliance Requirements
The FAA proposes that airmen hold a
valid second-class medical certificate
when exercising the privileges of a
commercial pilot certificate in a balloon
for compensation or hire. A medical
certificate would not be required for
commercial pilots conducting flight
training in a balloon. As determined by
a physical examination and review of
medical history, airmen must meet the
applicable medical standards of part 67
in order to receive an unrestricted
medical certificate. In cases where the
airman’s medical condition does not
meet the part 67 standard, the airman
may still be issued a medical certificate
by authorization for special issuance or
SODA when the Federal Air Surgeon
had determined that the risk associated
with the medical condition(s) is
sufficiently mitigated.
A person obtains a medical certificate
by completing an online application
(FAA form 8500–8, Application for
Medical Certificate) using the FAA’s
medical certificate application tool,
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Fmt 4702
Sfmt 4702
64433
MedXPress,58 and undergoing a
physical examination with an FAAdesignated AME. An AME may defer an
applicant to the FAA for further review
(which may include further examination
and testing by a specialist physician)
when there is information indicating the
existence or potential of an adverse
medical finding that may warrant
further FAA medical evaluation and
oversight. Second-class medical
certificates held for any operations
requiring a commercial pilot certificate
(including the second-class medical
certificates that would be required for
balloon operations under this proposal)
expire at the end of the last day of the
12th month after the month of the date
of examination shown on the medical
certificate.
All Federal Rules That May Duplicate,
Overlap, or Conflict
There are no relevant Federal rules
that may duplicate, overlap, or conflict
with the proposed rule.
Description and an Estimated Number
of Small Entities Impacted
The proposed rule would affect
commercial balloon pilots and
establishments involved in commercial
balloon operations. The FAA does not
maintain a database of commercial
balloon operators actively operating in
the United States. Using commercial
sources, the FAA estimates that number
to be about 356 59 companies.
Approximately 4,870 commercial pilots
hold balloon ratings, and approximately
4,940 balloons are registered with the
FAA. The commercial balloon industry
estimates that 100,000 to 250,000
passenger rides are conducted annually,
as well as aerial advertising and other
commercial activities.
Businesses affected by this rule would
be classified using the 2017 North
American Industry Classification
System 60 under NAICS code 487990
‘‘Scenic and Sightseeing Transportation,
Other.’’ This industry comprises
establishments primarily engaged in
providing scenic and sightseeing
transportation (except on land and
water). The U.S. Small Business
Administration (SBA) defines entities in
this industry as ‘‘small’’ using an
average annual revenue threshold of $8
million.61 With limited information and
58 https://medxpress.faa.gov/.
59 https://www.blastvalve.com/Balloon_Rides/
USA/index.shtml.
60 https://www.census.gov/naics/
?input=487990&year=2017&details=487990.
61 https://www.sba.gov/sites/default/files/201908/SBA%20Table%20of%20Size%20Standards_
Effective%20Aug%2019%2C%202019_Rev.pdf.
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data on sales revenues for each of the
affected commercial balloon operators,
the FAA has uncertainty as to how
many entities would meet the SBA’s
small-entity criteria.62 Furthermore, the
FAA has uncertainty as to how the
burden associated with the proposed
rule would be distributed across
commercial balloon companies versus
individual balloon pilots employed by
an operator. The FAA requests comment
and data on the average annual sales
revenues for the affected small
businesses and to what extent the costs
of obtaining a second-class medical
certification would be considered an
‘‘out-of-pocket’’ cost incurred by
commercial balloon pilots rather than a
cost to the commercial balloon operator.
As previously described, the FAA
estimates the cost per pilot to obtain a
second-class medical certificate would
be between $160 and $685 annually,
depending on whether a special
issuance would be necessary.
For purposes of this initial regulatory
flexibility analysis, the FAA assumes
that the private sector costs of this rule
(i.e., the cost to obtain a second-class
medical certification or special
issuance) fall entirely on commercial
balloon operators. In the absence of data
on annual receipts specific to the
commercial balloon industry, the FAA
relies on the most recent data available
on average revenues for all businesses,
including commercial balloon operators,
classified under NAICS 487990 ‘‘Scenic
and Sightseeing Transportation, Other’’
from the 2017 Census Bureau’s Statistics
of U.S. Businesses (SUSB) 63 to inform
the analysis. Note that the total number
of firms identified for this industry is
less than the FAA estimated number of
commercial balloon operators. In this
analysis, the FAA uses the SUSB data to
estimate the proportion of balloon
companies for each size category by
annual receipts.
The table below summarizes the total
number of firms, employment, and
estimated annual receipts by annual
receipt category for the entire industry
classified under NAICS 487990 ‘‘Scenic
and Sightseeing Transportation, Other’’
for the year 2017. Note that blanks in
the table below reflect data that the
Census Bureau withheld to avoid
disclosing data for individual
companies, but are included in the
higher level totals. After adjusting the
2017 dollar values to constant 2020
dollars using the GDP deflator,64 the
FAA estimates that approximately 93
percent of companies (or about 331
balloon operators extrapolating from
this percentage) may be considered
small entities under the SBA definition.
To compare the compliance costs of
the rule to the average revenues of small
entities, for each receipt size category
the FAA multiplies the proportion of
total employment by the annualized
private sector costs of the rule and
divides by the estimated annual receipts
in 2020 dollars.65 Assuming that costs
are proportional to employment size,
which may be reasonable given that
costs are driven by the number of pilots
requiring a second-class medical
certification, the FAA estimates that the
costs of the proposed rule would
constitute 0.07% to 0.42% of average
annual revenues for small entities.
Given the currency and level of
aggregation of the data available, the
FAA requests comment on accuracy of
these estimates and any other
information or data that would be
relevant for estimating the effects of the
rule on small entities.
TABLE 11—NUMBER OF FIRMS, ESTABLISHMENTS, EMPLOYMENT, AND ESTIMATED RECEIPTS BY ENTERPRISE RECEIPT
SIZES FOR THE UNITED STATES, NAICS 487900: 2017 (CENSUS STATISTICS OF U.S. BUSINESSES)
Enterprise receipt size [a]
Number
of firms [b]
Percentage
of firms
Employment
Percentage
of total
employment
Estimated
receipts
($1,000)
Cost for all
firms in size
category
($1,000)
Cost as a
percentage
of receipts
<$100,000 .....................................................
$100,000–499,999 ........................................
$500,000–999,999 ........................................
$1,000,000–2,499,999 ..................................
$2,500,000–4,999,999 ..................................
$5,000,000–7,499,999 ..................................
$7,500,000–9,999,999 ..................................
$10,000,000–14,999,999 ..............................
$20,000,000–24,999,999 ..............................
$25,000,000–29,999,999 ..............................
$30,000,000–34,999,999 ..............................
$35,000,000–39,999,999 ..............................
$50,000,000–74,999,999 ..............................
$100,000,000+ ..............................................
53
119
47
43
18
6
5
4
........................
3
........................
........................
........................
4
17
39
15
14
6
2
2
1.3
........................
1.0
........................
........................
........................
1
48
192
237
365
323
106
213
196
........................
93
........................
........................
........................
1,044
1
5
7
10
9
3
6
5
........................
3
........................
........................
........................
29
2,255
29,644
32,765
63,134
65,788
29,465
41,585
50,270
........................
19,490
........................
........................
........................
251,871
10
40
49
76
67
22
44
41
........................
19
........................
........................
........................
217
0.42
0.13
0.14
0.11
0.10
0.07
0.10
0.08
........................
0.09
........................
........................
........................
0.08
Total .......................................................
309
100
3,611
100
762,426
751
0.09
[a] Using the Gross Domestic Product (GDP) deflator, the FAA finds that $7.49 million in 2017 dollars would be approximately $7.97 million in 2020 dollars. Therefore, the FAA assumes firms with receipts of less than $7.49 million in 2017 dollars would be considered small.
[b] The FAA notes that the number of firms in NAICS 487900 is lower than FAA’s estimate of the number of balloon operators. For purposes of this analysis, the
SUSB data is used to estimate the percentage of small entities and the distribution of costs relative to revenues.
khammond on DSKJM1Z7X2PROD with PROPOSALS
Alternatives Considered To Minimize
Any Significant Economic Impact on
Small Entities
The FAA has not identified any
significant alternative that would
minimize any significant economic
62 Rainbow Ryders is one of the larger
Commercial Balloon companies and are under the
Small Business Administration small-entity criteria.
Therefore, the FAA estimates that all of the
Commercial balloon companies are a small entity.
It’s Been a Year of Growth for Rainbow Ryders,
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impact on small entities which do not
conflict with the statutory mandate. The
FAA solicits comment on potential
alternative approaches that could
minimize the burden on small entities
while still accomplishing the objectives
of the proposal.
https://www.abqjournal.com/1095655/its-been-agrowth-year-for-rainbow-ryders.html, September 9,
2019.
63 Available at: https://www.census.gov/data/
tables/2017/econ/susb/2017-susb-annual.html,
retrieved on August 15, 2021.
64 Available at: https://www.whitehouse.gov/omb/
historical-tables/, retrieved on January 15, 2020.
65 For this calculation, the FAA uses the midestimate of $750,718 for the total private sector
costs annualized at a 7 percent discount rate.
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C. International Trade Impact
Assessment
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 proposed rule
and determined that it will not create
unnecessary obstacles to the foreign
commerce of the United States.
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 uses an
inflation-adjusted value of $158.0
million in lieu of $100 million. This
proposed 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 NPRM contains the following
proposed amendments to the existing
information collection requirements
previously approved under OMB
Control No. 2120–0034. In the analysis
below, the FAA describes the
incremental changes in the number of
respondents, annual burden, and
monetized costs of the existing
information collection requirement
previously approved under OMB
Control No. 2120–0034. As required by
64435
the Paperwork Reduction Act of 1995
(44 U.S.C. 3507(d)), the FAA submitted
the proposed information collection
requirements to OMB for its review.
Review for the renewal of OMB Control
No. 2120–0034 was completed on May
29, 2020.
Requirements To Hold a Second-Class
Medical Certificate
The proposed rule would require
airmen to hold a valid second-class
medical certificate when exercising the
privileges of a commercial pilot
certificate in a balloon for compensation
or hire. To obtain a medical certificate,
an airmen would complete an online
application (FAA form 8500–8,
Application for Medical Certificate)
using the FAA’s medical certificate
application tool, MedXPress and
undergo a physical examination with an
FAA-designated Aviation Medical
Examiner (AME).
In Table 12 below, the FAA shows the
incremental burden of this rule to the
approved information collection under
OMB Control No. 2120–0034.
Additional details on assumptions and
calculations used in this section are
presented elsewhere in the Regulatory
Evaluation section of this document.
Estimates of the Hour Burden of the
Collection of Information
The mid estimate of the number of
applicants in the first year is 2,491.
TABLE 12—BURDEN HOURS ASSOCIATED WITH MEDXPRESS FORM 8500–8
Number of
applicants
Form No.
8500–8 .........................................................................................................................................
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Estimate of the Total Annual Cost
Burden to Respondents or Record
Keepers Resulting From the Collection
of Information
Once the information on FAA Form
8500–8 is collected, respondents must
receive a medical examination in order
to be certificated to exercise commercial
balloon pilot privileges. The average fee
for a basic medical examination is
estimated at $150. The total cost for
medical exams in the first year is as
follows:
$150 × 2,491 submissions of Form
8500–8 = $373,650
Estimates of Annualized Costs to the
Federal Government
The estimated annualized cost to the
Federal Government is between
$143,183 and $588,991, with a midestimate of $310,404 at a 7 percent
VerDate Sep<11>2014
16:27 Nov 17, 2021
Jkt 256001
discount rate. The FAA would incur
costs associated with reviewing and
processing applications submitted
through MedXPress. It costs about $30
per medical certification review using
the primary estimate for the number of
applications in the first year, the FAA
estimates a total cost of $73,747 (= $30
per application × 2,491) in the first year.
Currently, a MedXPress application
that requires a special issuance medical
certificate is deferred to the AMCD of
Oklahoma City for further
consideration. The FAA assumes that 10
percent of the applicants do not initially
qualify for second-class medical
certification and therefore would
require special issuance. The average
cost to FAA for each medical certificate
special issuance review is
approximately $126.
The total annualized costs for the
FAA to review and process MedXPress
PO 00000
Frm 00028
Fmt 4702
Sfmt 4702
2,491
Hours per
applicant
1.5
Total hours
3,737
applications from commercial balloon
applicants and costs for the FAA to
conduct Special Issuance Review for
commercial balloon applicants is
between $90,341 and $371,622, with a
mid-estimate of $195,848 at a 7 percent
discount rate over ten years.
Individuals and organizations may
send comments on the information
collection requirement to the address
listed in the ADDRESSES section at the
beginning of this preamble by January
18, 2022. Comments should be
submitted to the Office of Management
and Budget, Office of Information and
Regulatory Affairs, Attention: Desk
Officer for FAA, New Executive Office
Building, Room 10202, 725 17th Street
NW, Washington DC 20053.
F. International Compatibility
In keeping with U.S. obligations
under the Convention on International
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Civil Aviation, it is FAA policy to
conform to International Civil Aviation
Organization (ICAO) Standards and
Recommended Practices to the
maximum extent practicable. The FAA
has reviewed the corresponding ICAO
Standards and Recommended Practices
and has identified no differences with
these proposed regulations.
G. Environmental Analysis
FAA Order 1050.1F 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 5–6.6 and involves no
extraordinary circumstances.
VI. Executive Order Determination
A. Executive Order 13132, Federalism
The FAA has analyzed this
rulemaking under the principles and
criteria of Executive Order 13132,
Federalism. The agency has determined
that this action would 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,
would not have federalism implications.
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B. Executive Order 13211, Regulations
that Significantly Affect Energy Supply,
Distribution, or Use
The FAA analyzed this rulemaking
under Executive Order 13211, Actions
Concerning Regulations that
Significantly Affect Energy Supply,
Distribution, or Use (May 18, 2001). The
Agency has determined that it would
not be a ‘‘significant energy action’’
under the executive order and would
not be likely to have a significant
adverse effect on the supply,
distribution, or use of energy.
C. Executive Order 13609, International
Cooperation
Executive Order 13609, Promoting
International Regulatory Cooperation,
(77 FR 26413, May 4, 2012) promotes
international regulatory cooperation to
meet shared challenges involving
health, safety, labor, security,
environmental, and other issues and to
reduce, eliminate, or prevent
unnecessary differences in regulatory
requirements. The FAA has analyzed
this action under the policies and
agency responsibilities of Executive
Order 13609, and has determined that
VerDate Sep<11>2014
16:27 Nov 17, 2021
Jkt 256001
this action would reduce differences
between U.S. aviation standards and
those of other civil aviation authorities
by bringing U.S. regulatory
requirements partially into compliance
with International Civil Aviation
Organization (ICAO) standards for
medical certification.66
VII. 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 proposals in this document. The
most helpful comments reference a
specific portion of the proposal, 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 proposed rulemaking. Before acting
on this proposal, 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 proposal in light of the
comments it receives.
Confidential Business Information:
Confidential Business Information (CBI)
is commercial or financial information
that is both customarily and actually
treated as private by its owner. Under
the Freedom of Information Act (FOIA)
(5 U.S.C. 552), CBI is exempt from
public disclosure. If your comments
responsive to this NPRM contain
commercial or financial information
that is customarily treated as private,
that you actually treat as private, and
that is relevant or responsive to this
NPRM, it is important that you clearly
designate the submitted comments as
CBI. Please mark each page of your
submission containing CBI as
‘‘PROPIN.’’ The FAA will treat such
marked submissions as confidential
66 The 12th edition of the Annex 1 to the
Convention on International Civil Aviation,
Personnel Licensing, (July 2018), specifies that a
person exercising the privileges of a Free Balloon
Pilot License must hold a Class 2 medical. See
2.10.1.5.
PO 00000
Frm 00029
Fmt 4702
Sfmt 4702
under the FOIA, and they will not be
placed in the public docket of this
NPRM. Submissions containing CBI
should be sent to the person identified
in the FOR FURTHER INFORMATION
CONTACT section of this document. Any
commentary that the FAA receives
which is not specifically designated as
CBI will be placed in the public docket
for this rulemaking.
B. Electronic Access and Filing
A copy of this notice of proposed
rulemaking, all comments received, any
final rule, and all background material
may be viewed online at https://
www.regulations.gov using the docket
number listed above. A copy of this
rulemaking will be placed in the docket.
Electronic retrieval help and guidelines
are available on the website. It is
available 24 hours each day, 365 days
each year. An electronic copy of this
document may also be downloaded
from the Office of the Federal Register’s
website at https://www.federal
register.gov and the Government
Publishing Office’s website at https://
www.govinfo.gov. A copy may also be
found at the FAA’s Regulations and
Policies website at https://www.faa.gov/
regulations_policies.
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) 267–9677. Commenters
must identify the docket or notice
number of this rulemaking.
All documents the FAA considered in
developing this proposed rule,
including economic analyses and
technical reports, may be accessed in
the electronic docket for this
rulemaking.
List of Subjects
14 CFR Part 61
Aircraft, Airmen, Alcohol abuse,
Aviation safety, Drug abuse, Flight
instruction, Medical certification,
Recreation and recreation areas,
Reporting and recordkeeping
requirements, Security measures,
Teachers.
14 CFR Part 68
Aircraft, Airmen, Health, Reporting
and recordkeeping requirements.
The Proposed Amendment
For the reasons discussed in the
preamble, the Federal Aviation
Administration proposes to amend
chapter I of title 14, Code of Federal
Regulations as follows:
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Federal Register / Vol. 86, No. 220 / Thursday, November 18, 2021 / Proposed Rules
PART 61—CERTIFICATION: PILOTS,
FLIGHT INSTRUCTORS, AND GROUND
INSTRUCTORS
1. The authority citation for part 61 is
revised to read as follows:
■
Authority: 49 U.S.C. 106(f), 106(g), 40113,
44701–44703, 44703 note, 44707, 44709–
44711, 44729, 44903, 45102–45103, 45301–
45302.
2. Amend § 61.3 by revising
paragraphs (c)(2)(vi), (xiii), and (xiv)
and adding paragraph (c)(2)(xv) to read
as follows:
■
§ 61.3 Requirement for certificates,
ratings, and authorizations.
*
*
*
*
*
(c) * * *
(2) * * *
(vi) Is holding a pilot certificate with
a balloon class rating and that person—
(A) Is exercising the privileges of a
private pilot certificate in a balloon; or
(B) Is providing flight training in a
balloon in accordance with
§ 61.133(a)(2)(ii);
*
*
*
*
*
(xiii) Is exercising the privileges of a
student, recreational or private pilot
certificate for operations conducted
under the conditions and limitations set
forth in § 61.113(i) and holds a U.S.
driver’s license;
(xiv) Is exercising the privileges of a
flight instructor certificate and acting as
pilot in command or a required
flightcrew member for operations
conducted under the conditions and
limitations set forth in § 61.113(i) and
holds a U.S. driver’s license; or
(xv) Is exercising the privileges of a
student pilot certificate or higher while
acting as pilot in command on a medical
flight test authorized under part 67 of
this chapter.
*
*
*
*
*
If you hold
*
.................
khammond on DSKJM1Z7X2PROD with PROPOSALS
*
(2) *
.................
VerDate Sep<11>2014
And on the date of examination for your most recent
medical certificate you
were
*
(iii) Any age ........................
*
§ 61.23 Medical certificates: Requirement
and duration.
(a) * * *
(2) * * *
(i) Second-in-command privileges of
an airline transport pilot certificate in
part 121 of this chapter (other than
operations specified in paragraph
(a)(1)(ii) of this section);
(ii) Privileges of a commercial pilot
certificate in an aircraft other than a
balloon or glider; or
(iii) Except as provided in paragraph
(b)(5) of this section, privileges of a
commercial pilot certificate with a
balloon class rating in a balloon for
compensation or hire; or
*
*
*
*
*
(b) * * *
(3) When exercising the privileges of
a pilot certificate with a glider category
rating in a glider;
(4) When exercising the privileges of
a private pilot certificate with a balloon
class rating in a balloon;
(5) When exercising the privileges of
a commercial pilot certificate with a
Jkt 256001
balloon class rating in a balloon if the
person is providing flight training in
accordance with § 61.133(a)(2)(ii);
*
*
*
*
*
(11) * * *
(ii) The flight conducted is a domestic
flight operation within U.S. airspace; or
(12) When exercising the privileges of
a student pilot certificate or higher
while acting as pilot in command on a
medical flight test authorized under part
67 of this chapter.
(c) * * *
(3) * * *
(i) * * *
(C) Complete the medical education
course set forth in § 68.3 of this chapter
during the 24 calendar months before
acting as pilot in command or serving as
a required flightcrew member in an
operation conducted under § 61.113(i)
and retain a certification of course
completion in accordance with
§ 68.3(b)(1) of this chapter;
(D) Receive a comprehensive medical
examination from a State-licensed
physician during the 48 months before
acting as pilot in command or serving as
a required flightcrew member of an
operation conducted under § 61.113(i)
and that medical examination is
conducted in accordance with the
requirements in part 68 of this chapter;
and
(E) If the individual has been
diagnosed with any medical condition
that may impact the ability of the
individual to fly, be under the care and
treatment of a State-licensed physician
when acting as pilot in command or
serving as a required flightcrew member
of an operation conducted under
§ 61.113(i).
*
*
*
*
*
(d) * * *
Then your medical certificate expires, for
that operation, at the end of the last day
of the
And you are conducting an operation requiring
*
*
*
a commercial pilot certificate (other than a commercial
pilot certificate with a balloon rating when conducting
flight training), a flight engineer certificate, or an air
traffic control tower operator certificate.
*
*
(i) Any age .........................
16:27 Nov 17, 2021
3. Amend § 61.23 by:
a. Revising paragraphs (a)(2)(i) and
(ii);
■ b. Adding paragraph (a)(2)(iii);
■ c. Revising paragraph (b)(3);
■ d. Redesignating paragraphs (b)(4)
through (9) as paragraphs (b)(6) through
(11);
■ e. Adding new paragraphs (b)(4) and
(5);
■ f. Removing the word ‘‘or’’ at the end
of paragraph (b)(10);
■ g. Revising newly redesignated
paragraph (b)(11)(ii);
■ h. Adding paragraph (b)(12); and
■ i. Revising paragraphs (c)(3)(i)(C), (D),
and (E), (d)(1)(iii), and (d)(2)(i).
The revisions and additions read as
follows:
■
■
*
*
*
*
*
an airline transport pilot certificate for second-in-command privileges (other than the operations specified
in paragraph (d)(1) of this section), a commercial
pilot certificate (other than a commercial pilot certificate with a balloon rating when conducting flight
training), a flight engineer certificate, or an air traffic
control tower operator certificate.
PO 00000
Frm 00030
Fmt 4702
*
*
12th month after the month of the date of
examination shown on the medical
certificate.
Sfmt 4702
*
*
*
*
12th month after the month of the date of
examination shown on the medical
certificate.
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Federal Register / Vol. 86, No. 220 / Thursday, November 18, 2021 / Proposed Rules
If you hold
*
And on the date of examination for your most recent
medical certificate you
were
*
*
4. In § 61.113, revise the introductory
text of paragraph (i) to read as follows:
■
§ 61.113 Private pilot privileges and
limitations: Pilot in command.
*
*
*
*
*
(i) A private pilot may act as pilot in
command or serve as a required
flightcrew member of an aircraft without
holding a medical certificate issued
under part 67 of this chapter provided
the pilot holds a valid U.S. driver’s
license, meets the requirements of
§ 61.23(c)(3), and complies with this
section and all of the following
conditions and limitations:
*
*
*
*
*
PART 68—REQUIREMENTS FOR
OPERATING CERTAIN SMALL
AIRCRAFT WITHOUT A MEDICAL
CERTIFICATE
5. The authority citation for part 68
continues to read as follows:
Authority: 49 U.S.C. 106(f), 44701–44703;
sec. 2307 of Pub. L. 114–190, 130 Stat. 615
(49 U.S.C. 44703 note).
6. Amend § 68.3 by revising
paragraphs (a) introductory text and (b)
introductory text to read as follows:
■
§ 68.3 Medical education course
requirements.
khammond on DSKJM1Z7X2PROD with PROPOSALS
(a) The medical education course
required to act as pilot in command or
serve as a required flightcrew member
in an operation under § 61.113(i) of this
chapter must—
*
*
*
*
*
(b) Upon successful completion of the
medical education course, the following
items must be electronically provided to
the individual seeking to act as pilot in
command or serve as a required
flightcrew member under the conditions
and limitations of § 61.113(i) of this
chapter and transmitted to the FAA—
*
*
*
*
*
■ 7. In § 68.9, revise the introductory
text of paragraph (a) to read as follows:
Special Issuance process.
(a) General. An individual who has
met the qualifications to operate an
aircraft under § 61.113(i) of this chapter
and is seeking to act as a pilot in
command or serve as a required
flightcrew member under that section
must have completed the process for
obtaining an Authorization for Special
VerDate Sep<11>2014
16:27 Nov 17, 2021
Jkt 256001
*
*
Issuance of a Medical Certificate for
each of the following:
*
*
*
*
*
Issued in Washington, DC, under authority
provided by 49 U.S.C. 106(f), 44701, 44702,
and 44703, and section 318 of Public Law
115–254 on or about November 1, 2021.
Robert Ruiz,
Acting Deputy Executive Director, Flight
Standards Service.
[FR Doc. 2021–24141 Filed 11–17–21; 8:45 am]
BILLING CODE 4910–13–P
DEPARTMENT OF THE TREASURY
Office of Investment Security
Correction
In proposed rule document 2021–
24597, appearing on pages 62978–62980
in the issue of Monday, November 15,
2021, make the following correction:
On page 24597, in the third column,
on the second line of the DATES section,
‘‘December 15, 2021’’ is corrected to
read ‘‘December 10, 2021’’.
[FR Doc. C1–2021–24597 Filed 11–17–21; 8:45 am]
BILLING CODE 0099–10–P
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 52
[EPA–R10–OAR–2021–0750, FRL–9189–01–
R10]
Air Plan Approval; Washington;
Update to the Yakima Regional Clean
Air Agency Wood Heater and Burn Ban
Regulations
Environmental Protection
Agency (EPA).
ACTION: Proposed rule.
AGENCY:
The Environmental Protection
Agency (EPA) is proposing to approve
submitted revisions to the Yakima
Regional Clean Air Agency (YRCAA)
PO 00000
Frm 00031
Fmt 4702
Sfmt 4702
*
regulations designed to control
particulate matter from residential wood
heaters, such as woodstoves and
fireplaces. The updated YRCAA
regulations set fine particulate matter
trigger levels for impaired air quality
burn bans, consistent with statutory
changes enacted by the Washington
State Legislature. The submission also
contains updates to improve the clarity
of the language and align with the
statewide solid fuel burning device
regulations already applicable in
YRCAA’s jurisdiction. We are proposing
to approve these changes because they
meet the requirements of the Clean Air
Act and strengthen the Washington SIP.
Comments must be received on
or before December 20, 2021.
Proposed Regulations Pertaining to
Certain Investments in the United
States by Foreign Persons and
Proposed Regulations Pertaining to
Certain Transactions by Foreign
Persons Involving Real Estate in the
United States
SUMMARY:
*
DATES:
31 CFR Parts 800 and 802
■
§ 68.9
Then your medical certificate expires, for
that operation, at the end of the last day
of the
And you are conducting an operation requiring
Submit your comments,
identified by Docket ID No. EPA–R10–
OAR–2021–0750 at https://
www.regulations.gov. Follow the online
instructions for submitting comments.
Once submitted, comments cannot be
edited or removed from Regulations.gov.
The EPA may publish any comment
received to its public docket. Do not
submit electronically any information
you consider to be Confidential
Business Information (CBI) or other
information whose disclosure is
restricted by statute. Multimedia
submissions (audio, video, etc.) must be
accompanied by a written comment.
The written comment is considered the
official comment and should include
discussion of all points you wish to
make. The EPA will generally not
consider comments or comment
contents located outside of the primary
submission (i.e. on the web, cloud, or
other file sharing system). For
additional submission methods, the full
EPA public comment policy,
information about CBI or multimedia
submissions, and general guidance on
making effective comments, please visit
https://www.epa.gov/dockets/
commenting-epa-dockets.
ADDRESSES:
Jeff
Hunt, EPA Region 10, 1200 Sixth
Avenue—Suite 155, Seattle, WA 98101,
at (206) 553–0256, or hunt.jeff@epa.gov.
FOR FURTHER INFORMATION CONTACT:
SUPPLEMENTARY INFORMATION:
Throughout this document whenever
‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, it is
intended to refer to the EPA.
E:\FR\FM\18NOP1.SGM
18NOP1
Agencies
[Federal Register Volume 86, Number 220 (Thursday, November 18, 2021)]
[Proposed Rules]
[Pages 64419-64438]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-24141]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 61 and 68
[Docket No. FAA-2021-1040; Notice No. 22-02]
RIN 2120-AL51
Medical Certification Standards for Commercial Balloon Operations
AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).
ACTION: Notice of proposed rulemaking (NPRM).
-----------------------------------------------------------------------
SUMMARY: The FAA proposes that airmen hold a valid second-class medical
certificate when exercising the privileges of a commercial pilot
certificate in a balloon for compensation or hire except when
conducting flight training in a balloon. In addition, the FAA proposes
miscellaneous amendments related to medical certification requirements
for medical flight tests and a minor change to the BasicMed
regulations.
DATES: Send comments on or before January 18, 2022.
ADDRESSES: Send comments identified by docket number FAA-2021-1040
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 (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: In accordance with 5 U.S.C. 553(c), DOT solicits comments
from the public to better inform its rulemaking process. DOT posts
these comments, without edit, including any personal information the
commenter provides, to www.regulations.gov, as described in the system
of records notice (DOT/ALL-14 FDMS), which can be reviewed at https://www.transportation.gov/privacy.
Docket: Background documents or comments received may be read at
https://www.regulations.gov at any time. Follow the online instructions
for accessing the docket or go to the 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: Bradley Zeigler, Airman Training and
Certification Branch, Federal Aviation Administration, 800 Independence
Avenue SW, Washington, DC 20591; (202) 267-9601; email
[email protected].
SUPPLEMENTARY INFORMATION:
List of Abbreviations and Acronyms Frequently Used in This Document
AMCD Aerospace Medical Certification Division
ADHD Attention Deficit Hyperactivity Disorder
AME Aviation Medical Examiner
ASI Aviation Safety Inspector
ATP Airline Transport Pilot
BFA Balloon Federation of America
IRFA Initial Regulatory Flexibility Analysis
LOA Letter of Authorization
NDR National Driver Register
NPRM Notice of proposed rulemaking
NTSB National Transportation Safety Board
PDPS Problem Driver Pointer System
PIC Pilot in Command
SIC Second in Command
SODA Statement of Demonstrated Ability
I. Executive Summary
This rulemaking proposes amendments in Sec. Sec. 61.3 and 61.23 of
title 14 of the Code of Federal Regulations (14 CFR) to require
commercial balloon pilots \1\ conducting operations for compensation or
hire to hold a valid second-class medical certificate. Additionally,
this proposed rule would continue to allow pilots to provide flight
training in balloons without requiring a medical certificate. The
proposed rule includes related amendments to the table of medical
certificate duration in Sec. 61.23(d) for consistency with the
proposed amendments to Sec. Sec. 61.3 and 61.23(a) and (b). The FAA is
also proposing miscellaneous amendments related to medical
certification for medical flight tests and a minor change to the
Alternative Pilot Physical Examination and Education Requirements final
rule, which amended sections of part 61 and established part 68. In
this preamble, these regulations will be referred to as BasicMed.
---------------------------------------------------------------------------
\1\ The FAA uses the term ``commercial balloon pilots'' in this
NPRM to refer to airmen conducting operations in a balloon for
compensation or hire, including operations involving the carriage of
persons or property.
---------------------------------------------------------------------------
This rulemaking would implement section 318 (``Commercial Balloon
Pilot Safety Act of 2018'') of Public Law 115-254, the FAA
Reauthorization Act of 2018. In addition, this rulemaking responds to
National Transportation Safety Board (NTSB) Safety Recommendation A-17-
034, which recommends that the FAA remove the medical certification
exemption in part 61 for commercial balloon pilots receiving
compensation for transporting passengers.
The proposed rule would generate costs for balloon pilots to obtain
a second-class medical certificate and for some pilots to seek
authorization through special issuance. There would also be costs to
the FAA to implement this requirement in terms of reviewing and
processing submissions related to certification. The FAA estimates the
present value of total costs over ten years is $2.6 million to $17.8
million with a mid-estimate of $7.5 million at a 7 percent discount
rate and $3.1 million to $21.7 million with a mid-estimate of $9.1
million at a 3 percent discount rate. The annualized costs over ten
years is $0.4 million to $2.5 million with a mid-estimate of $1.1
million at a 7 percent discount rate and $0.4 million to $2.5 million
with a mid-estimate of $1.1 million at a 3 percent discount rate. The
wide range in the cost estimates primarily reflect the uncertainty on
the number of commercial balloon pilots.\2\
---------------------------------------------------------------------------
\2\ For more detail on the model used to predict the range,
please refer to the ``Affected Entities'' under section V.A. of this
preamble.
---------------------------------------------------------------------------
The benefits of the proposed rule include enhanced safety of
commercial
[[Page 64420]]
balloon operations through reduced risks of accidents, fatalities, and
injuries caused by medical impairment of balloon pilots.
II. Authority for the Rulemaking
The FAA's authority to issue rules on aviation safety is 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.
The FAA is issuing this proposal under the authority described in
Subtitle VII, Part A, Subpart iii, Section 44701, General Requirements;
Section 44702, Issuance of Certificates; and Section 44703, Airman
Certificates. Under these sections, the FAA prescribes regulations and
minimum standards for practices, methods, and procedures the
Administrator finds necessary for safety in air commerce. The FAA is
also authorized to issue certificates, including airman certificates
and medical certificates, to qualified individuals. This rulemaking
proposal is within the scope of that authority.
Further, Section 318 of Public Law 115-254, directs the
Administrator to revise 14 CFR 61.3(c) (relating to second-class
medical certificates) to apply to an operator of an air balloon to the
same extent such regulations apply to a pilot flightcrew member of
other aircraft.
III. Background
A. Current Regulatory Framework
Under current regulations, a person may serve as a required pilot
flightcrew member of an aircraft only if that person holds the
appropriate medical certificate.\3\ There are certain exceptions to
this requirement, including pilots operating under the provisions of
BasicMed,\4\ or those flying balloons, gliders, or light sport
aircraft.\5\ Additionally, part 61 sets forth which operations require
a medical certificate.\6\
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\3\ 14 CFR 61.3(c)(1). When referring to a ``medical
certificate'' in this NPRM, the FAA is referring only to a current
and valid first-, second-, or third-class FAA airman medical
certificate issued under 14 CFR part 67, which may have been issued
under an authorization for special issuance. Under certain
circumstances, this may include other documentation acceptable to
the FAA, such as temporary documentation provided to the airman by
the FAA when that person is awaiting the replacement of a lost or
destroyed certificate. 62 FR 16220, page 16237 (Apr. 4, 1997).
\4\ In order to establish medical eligibility to conduct
operations under BasicMed, a person must meet the requirements of
Sec. 61.23(c)(3).
\5\ 14 CFR 61.3(c)(2).
\6\ 14 CFR 61.23(a).
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A medical certificate provides validation that a person meets FAA
medical certification requirements. Airmen must meet the applicable
medical standards of part 67 to receive an unrestricted medical
certificate. An aviation medical examiner (AME) makes this
determination by conducting a physical examination and medical history
review. In cases where the airman's medical condition does not meet the
part 67 standard, the airman may be issued a medical certificate by
authorization for special issuance or statement of demonstrated ability
(SODA) when the Federal Air Surgeon has determined that the risk
associated with the medical condition(s) is sufficiently mitigated.\7\
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\7\ 14 CFR 67.401.
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Part 67 provides for the issuance of three classes of medical
certificates--first-, second-, and third-class medical certificates. In
most cases, a first-class medical certificate is required for
operations requiring an airline transport pilot (ATP) certificate. At
minimum, a second-class medical certificate is required for operations
requiring a commercial pilot certificate. Unless an airman chooses to
operate under the conditions and limitations of BasicMed, a third-class
medical certificate is required for operations requiring a private
pilot certificate, a recreational pilot certificate, a flight
instructor certificate (when acting as pilot-in-command (PIC) or
serving as a required flightcrew member in operations other than a
light sport aircraft, glider, or balloon), or a student pilot
certificate (other than a light sport aircraft, glider or balloon).\8\
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\8\ Airmen exercising sport pilot privileges in a light sport
aircraft without a medical certificate must meet the requirements of
Sec. 61.23(c)(2).
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A person obtains a medical certificate by completing an online
application (FAA form 8500-8, Application for Medical Certificate)
using the FAA's medical certificate application tool, MedXPress \9\ and
undergoing a physical examination with an FAA-designated AME. An AME
may defer an applicant to the FAA for further review when there is
information indicating the existence or potential of an adverse medical
finding that may warrant further FAA medical evaluation or oversight.
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\9\ https://medxpress.faa.gov/.
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Under Sec. 61.53, all airmen--regardless of whether they are
required to hold a medical certificate--are prohibited from operating
an aircraft during a medical deficiency. Specifically, Sec. 61.53(b)
prohibits a person who is not required to hold a medical certificate
from conducting operations while that person knows or has reason to
know of any medical condition that would make him or her unable to
operate the aircraft in a safe manner. Accordingly, even in the absence
of an existing requirement for balloon pilots to hold a medical
certificate, all balloon pilots are currently subject to the
requirements of Sec. 61.53(b).
As discussed earlier, pilots conducting operations in a balloon are
not required to hold a medical certificate. Specifically, under Sec.
61.3(c)(2)(vi), a person holding a pilot certificate with a balloon
class rating who is piloting or providing training in a balloon is
excepted from the requirement to hold a medical certificate.
A person holding a commercial pilot certificate with a balloon
class rating is granted privileges to conduct flights for compensation
or hire and to provide flight training. As described in Sec.
61.133(a), an airman who holds a commercial pilot certificate may act
as PIC of an aircraft for compensation or hire, including operations
involving the carriage of persons or property, provided the person is
qualified in accordance with part 61 and other parts (such as part 91,
121 or 135) that apply to the operation. Further, the FAA does not
issue flight instructor certificates with lighter-than-air category
ratings.\10\ Flight training privileges in a balloon are included in
the privileges conveyed to the holder of a commercial pilot certificate
with a balloon class rating. This approach is unlike other aircraft
categories such as airplanes, gliders, and rotorcraft, which require a
person to hold a flight instructor certificate in order to exercise
such privileges.\11\
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\10\ There are two classes within the lighter-than-air aircraft
category: Airship and balloon.
\11\ Section 61.133(a)(2) sets forth certain additional
privileges granted to airmen holding commercial pilot certificates
with a lighter-than-air category rating. Airmen who hold a lighter-
than-air category with balloon class rating on their commercial
pilot certificate have the following privileges:
1. Give flight and ground training in a balloon for the issuance
of a certificate or rating;
2. Give an endorsement for a pilot certificate with a balloon
rating;
3. Endorse a pilot's logbook for solo operating privileges in a
balloon; and
4. Give ground and flight training and endorsements that are
required for a flight review, an operating privilege, or recency-of-
experience requirements of part 61.
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B. Medical Certificate Requirements for Commercial Flight Operations
While unpowered \12\ commercial operations in balloons and gliders
currently have no associated medical
[[Page 64421]]
certificate requirement, similar commercial operations in powered
aircraft require either a first- or second-class medical certificate.
Powered aircraft operations that require a commercial pilot certificate
require the airman to hold at least a second-class medical certificate.
See 14 CFR 61.23(a)(2). Generally, these operations include any
operation for compensation or hire that does not require an ATP
certificate (which requires a first-class medical certificate) and does
not qualify under the compensation or hire exceptions in Sec.
61.113(b) through (h) for persons holding a private pilot certificate.
Examples of powered aircraft operations that require a commercial pilot
certificate with at least a second-class medical certificate include
sightseeing flights conducted under Sec. 91.147; \13\ commercial
transportation of skydivers, banner towing, or aerial photography; and
part 135 non-turbine operations of nine passengers or less.
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\12\ For the purposes of this rulemaking proposal, the phrase
``unpowered aircraft'' includes self-launch gliders, which are
considered by type certificate to be gliders.
\13\ Section 91.147 is a provision for airplane and helicopter
operations conducting passenger-carrying flights for compensation or
hire. This provision requires the operators to obtain a Letter of
Authorization (LOA) from the FAA, to comply with the various safety
provisions of part 136, subpart A, and to implement a drug and
alcohol testing program.
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Currently, operations in balloons for compensation or hire that may
be conducted without a medical certificate include, but are not limited
to, operations for purposes of passenger sightseeing, aerial
advertising, maintenance test flights, and research and development
flights. There are no operating rules under part 91 that limit the
number of passengers an operator may carry. While an operator of a
sightseeing flight in a powered aircraft conducted under Sec. 91.147
is required to hold a second-class medical certificate when
transporting a single passenger, an operator of a balloon carrying any
number of passengers has no requirement to hold a medical certificate.
This NPRM includes a proposal to address this disparity.
C. Commercial Balloon Operations 14 in the U.S.
---------------------------------------------------------------------------
\14\ The FAA uses the term ``Commercial Balloon Operations'' in
this NPRM to refer to the operation of a balloon for compensation or
hire, including operations involving the carriage of persons or
property.
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Approximately 4,870 commercial pilots hold balloon ratings,\15\ and
approximately 4,940 balloons are registered with the FAA.\16\ The FAA
does not have a database of commercial balloon operators actively
operating in the United States. Using commercial sources, the FAA
estimates there are about 356 individual operators.\17\ The commercial
balloon industry estimates it conducts 100,000 to 250,000 passenger
rides annually, as well as aerial advertising and other commercial
activities.\18\
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\15\ FAA Airman Registry, as of July 2021. https://www.faa.gov/licenses_certificates/airmen_certification/releasable_airmen_download/.
\16\ FAA Aircraft Registry, as of October 2019 https://registry.faa.gov/currentreg/.
\17\ Estimate based on number of commercial operators
advertising on www.blastvalve.com. Accessed on April 27, 2021.
\18\ Testimony of Scott Appelman, Representing the Professional
Ride Operators Division of the Balloon Federation of America to NTSB
Investigative Hearing, December 9, 2016. Transcript Page 53-54, a
copy of which has been placed in the docket for this rulemaking.
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When ballooning was first regulated as an aeronautical activity in
the 1940s by the predecessor of the FAA, the Civil Aeronautics
Administration, pilots were required to complete a medical examination
(CAR part 22).\19\ This requirement continued through the establishment
of part 61 in 1962.\20\
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\19\ Amendment 127 to Civil Air Regulations, Part 22 Lighter-
Than-Air Pilot Certificates. Effective September 15, 1941. Section
22.13 required the holder to complete ``a physical examination
conducted by an authorized medical examiner of the Administrator.''
This requirement was further refined in an October 15, 1942,
amendment, requiring a free balloon pilot certificate holder to meet
the third-class physical standards prescribed in CAR part 29.
\20\ 27 FR 7954 (Aug. 10, 1962), Subchapter D Airmen [New]
Addition of Subchapter. Effective November 1, 1962, CAR part 22 was
recodified as 14 CFR part 61. Free balloon pilot certificates were
prescribed in Sec. 61.181 with a requirement for those certificate
holders to hold at least a third-class medical certificate issued
under the newly created part 67.
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By the late 1960s, sport ballooning had grown significantly.\21\ In
1973, part 61 was revised substantially. Under the revision, a part 67
medical certificate was no longer required for either private or
commercial free balloon \22\ operations.\23\ The medical certificate
requirements for balloon operations have remained substantively
unchanged since the 1973 revision.
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\21\ National Balloon Museum: History of Ballooning https://www.nationalballoonmuseum.com/about/history-of-ballooning/.
\22\ The term ``free balloon'' was later replaced with
``balloon'' in April 4, 1997 revision of Part 61. 62 FR 16220.
\23\ 37 FR 6012, 6018 (Mar. 23, 1972).
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D. FAA Oversight
In the decades following the 1973 revisions, the FAA generally
considered commercial balloon operations to be a low-risk and extremely
small segment of aviation in the United States. Research conducted by
the Agency revealed 54 commercial hot air balloon accidents between
2003 and 2013, including four fatal accidents. In 2015, commercial
sightseeing balloon operations represented .057% of the flight hours of
total civil aircraft operations.\24\
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\24\ FAA Docket Submission to the National Transportation Safety
Board for the investigation of the Heart of Texas Hot Air Balloon
Accident Balony Kubicek BB85Z balloon, N2469L, Lockhart, Texas; July
30, 2016, Dated April 19, 2017. Page 6.
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E. 2016 Heart of Texas Hot Air Balloon Accident 25
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\25\ NTSB accident No. DCA16MA204, Lockhart, TX, July 30, 2016
Accident Report NTSB/AAR-17/03 PB2018-100161.
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On the morning of July 30, 2016, a hot air balloon, N2469L,
operated by Heart of Texas Hot Air Balloon Rides, impacted power lines
and burst into flames over a pasture near Lockhart, Texas. The pilot
and all 15 passengers were killed. The balloon was destroyed by impact
forces and post-crash fire. The flight was conducted under part 91 as a
sightseeing passenger flight, and the pilot was exercising the
privileges of a commercial pilot certificate.
The NTSB determined that forecast information before launch showed
that weather conditions were marginal and deteriorating. While the
pilot could have decided to cancel the flight, he opted to launch the
hot air balloon and continue the flight into worsening weather
conditions. The NTSB also determined that the pilot had been diagnosed
with depression and attention deficit hyperactivity disorder (ADHD).
These medical conditions are known to cause cognitive deficits that may
affect decision-making and, ultimately, safety of flight. The NTSB
stated that the medical conditions ``would likely have led an aviation
medical examiner (AME) to either defer or deny a medical certificate.''
In addition, the NTSB reported that medications were found in the
pilot's system that are known to cause impairment.\26\ The NTSB stated,
``[a]n AME would likely have deferred or denied a medical certificate
to a pilot reporting use of these medications.'' \27\
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\26\ The medications identified by the NTSB are listed on the
FAA's ``Do Not Issue'' and ``Do Not Fly'' lists found in the AME
Guide.
\27\ NTSB accident No. DCA16MA204, Lockhart, TX, July 30, 2016
Accident Report NTSB/AAR-17/03 PB2018-100161 Executive Summary Page
vii.
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The NTSB determined that the probable cause of this accident was
the pilot's pattern of poor decision-making that led to the initial
launch, continued flight in fog and above clouds, and descent near or
through clouds that decreased the pilot's ability to see and avoid
obstacles. The NTSB further determined that (1) the pilot's impairing
medical conditions and medications, and (2) the FAA's policy to not
require a medical certificate for commercial
[[Page 64422]]
balloon pilots, were contributing factors in the accident.\28\
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\28\ NTSB accident No. DCA16MA204, Lockhart TX, July 30, 2016
Accident Report NTSB/AAR-17/03 PB2018-100161 Page 49.
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F. NTSB Recommendations Following the 2016 Heart of Texas Balloon
Accident
On October 31, 2017, the NTSB made two Safety Recommendations in
response to the 2016 Heart of Texas balloon accident. Safety
Recommendation A-17-034 \29\ urged the FAA to ``remove the medical
certificate exemption in 14 [CFR] 61.23(b) for pilots who are
exercising their privileges as commercial balloon pilots and are
receiving compensation for transporting passengers.'' Safety
Recommendation A-17-045 \30\ urged the FAA to ``analyze your current
policies, procedures, and tools for conducting oversight of commercial
balloon operations in accordance with your Integrated Oversight
Philosophy, taking into account the findings of this accident; [and]
based on this analysis, develop and implement more effective ways to
target oversight of the operators and operations that pose the most
significant safety risks.''
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\29\ NTSB Safety Recommendation A-17-034 https://www.ntsb.gov/_layouts/ntsb.recsearch/Recommendation.aspx?Rec=A-17-034.
\30\ NTSB Safety Recommendation A-17-045 https://www.ntsb.gov/_layouts/ntsb.recsearch/Recommendation.aspx?Rec=A-17-045.
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The FAA agreed with the safety benefits of recommendation A-17-034
and stated its intention to add the proposed change to its rulemaking
agenda. The FAA responded to Safety Recommendation A-17-045 by
initiating a plan to develop and implement more effective ways to
target oversight of operators posing the most significant safety risk
to the public. The FAA identified and increased surveillance on the
operators of the largest classes of balloons using information obtained
from the Civil Aviation Registry, repair stations, and industry.
G. Industry Efforts and Voluntary Compliance
Immediately following the 2016 Heart of Texas accident, the FAA
worked with an industry group, Balloon Federation of America (BFA), to
support its 2017 Envelope of Safety Program. The program promotes
safety within the commercial balloon industry by educating consumers
with information when making balloon ride purchase decisions. The
program includes voluntary standards for both pilots and operators and
offers multiple tiers of safety accreditation by the BFA.\31\
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\31\ BFA Envelope of Safety Program https://www.bfa.net/envelope-of-safety-program.
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The FAA supports the efforts of the BFA to enhance safety and
professionalism of the industry while providing consumers with more
information when choosing a commercial balloon ride operator. The
agency notes, however, that not all balloon operators are members of
BFA. Moreover, members are not required to adhere to any specific
standards in order to maintain professional membership. Consequently,
the FAA considers BFA's efforts to achieve voluntary compliance with
industry standards to be insufficient alone to address the need for
additional oversight of airmen conducting balloon operations for
compensation or hire.
IV. Discussion of the Proposed Rule
This proposed rule would amend part 61 to require a person who
holds a commercial pilot certificate with a lighter-than-air category
balloon class rating to hold a valid second-class medical certificate
when exercising the privileges of that certificate in a balloon for
compensation or hire, unless that person is conducting flight training
in accordance with Sec. 61.133(a)(2)(ii).
A. Proposed Rule Amendments
As previously discussed, balloon pilots currently are not required
to hold a medical certificate when exercising the privileges of a
commercial pilot certificate. Section 318 (``Commercial Balloon Pilot
Safety Act of 2018'') of Public Law 115-254, The FAA Reauthorization
Act of 2018, directed the FAA to ``revise section 61.3(c) of title 14,
Code of Federal Regulations (relating to second-class medical
certificates), to apply to an operator of an air balloon to the same
extent such regulations apply to a pilot flightcrew member of other
aircraft.'' While the statute specifically directs the FAA to revise
Sec. 61.3(c), the FAA notes that Sec. 61.23, Medical certificates:
Requirement and duration, establishes the requirements and exceptions
for medical certificates based on certain types of operations. The FAA
proposes to amend Sec. 61.23 in addition to Sec. 61.3(c) for purposes
of implementing the statutory requirement.
Section 61.3(c)(1) sets forth the requirement for any person
serving as a required pilot flightcrew member of an aircraft to hold
the appropriate medical certificate issued under part 67 and to keep
evidence of such certificate in the person's physical possession or
readily accessible in the aircraft. Exceptions to the medical
certificate requirement are set forth in Sec. 61.3(c)(2). Currently,
under Sec. 61.3(c)(2)(vi), a person holding a pilot certificate with a
balloon class rating who is piloting or providing training in a balloon
is not required to hold a medical certificate.
Consistent with the legislative directive, the FAA proposes to
amend the medical certificate requirement exception in Sec.
61.3(c)(2)(vi) by limiting it to certain balloon operations.
Specifically, the exception would be amended to reflect that any person
holding a pilot certificate with a balloon class rating who is (A)
exercising the privileges of a private pilot certificate in a balloon;
or (B) providing flight training in a balloon in accordance with Sec.
61.133(a)(2)(ii) is not required to hold a medical certificate. By
revising the exception in Sec. 61.3(c)(2)(vi), balloon pilots
conducting operations for compensation or hire in a balloon (other than
flight training), such as carrying passengers or property and
advertising operations, would be required under Sec. 61.3(c)(1) to
hold a medical certificate issued under part 67.
Section 61.23 sets forth the specific requirements for when a
particular class of medical certificate is required. Under Sec.
61.23(a)(2)(ii), a second-class medical certificate generally is
required when exercising the privileges of a commercial pilot
certificate. However, under Sec. 61.23(b)(3), a second-class medical
certificate is not required when exercising the privileges of a pilot
certificate with a glider category rating or balloon class rating in a
glider or balloon, as appropriate.
The FAA proposes amending Sec. 61.23 to require any person
exercising the privileges of a commercial pilot certificate for
compensation or hire in a balloon, except when conducting flight
training, to hold a second-class medical certificate. First, the FAA
proposes to amend Sec. 61.23(a)(2) to add a requirement for any person
exercising the privileges of a commercial pilot certificate for
compensation or hire in a balloon to hold a second-class medical
certificate. Second, the FAA proposes to amend Sec. 61.23(b) to remove
the allowance to exercise the privileges of a balloon pilot certificate
without a medical certificate. Third and finally, the FAA proposes to
add an exception at Sec. 61.23(b)(4)-(5) to explain under what
circumstances balloon operations are excepted from the proposed
requirement to hold a second-class medical certificate. This exception
would specify that a medical certificate is not required when
exercising the privileges of a private pilot certificate
[[Page 64423]]
with a balloon class rating in a balloon or when exercising the
privileges of a commercial pilot certificate with a balloon class
rating in a balloon if the PIC is providing flight training in
accordance with Sec. 61.133(a)(2)(ii).
Further, Sec. 61.23(d) includes a table providing the duration for
each class of medical certificate depending on the several factors
including the certificate privilege that is being exercised. The FAA
proposes to make related amendments to the table of medical certificate
durations at Sec. 61.23(d)(1)(iii) and (d)(2)(i). Specifically, the
FAA proposes to add persons who are exercising the privileges of a
commercial pilot certificate (other than for flight training) in a
balloon to the established medical certificate durations in Sec.
61.23(d).\32\ These proposed amendments are for clarification and
consistency with the other proposed amendments to Sec. Sec. 61.3 and
61.23. The FAA does not propose to amend any existing substantive
requirement to change the duration of a medical certificate.
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\32\ As a miscellaneous amendment, the FAA has added flight
engineers to Sec. 61.23(d). Section 65.3(b) requires a person
serving as a flight engineer of an aircraft to hold a current
second-class (or higher) medical certificate issued to that person
under part 67, or other documentation acceptable to the FAA, that is
in that person's physical possession or readily accessible in the
aircraft. In developing this rule, the FAA identified that flight
engineers had been inadvertently omitted from the medical
certificate duration in Sec. 61.23(d). The FAA proposes to correct
that error in this rulemaking.
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All certificated airmen are prohibited from operating an aircraft
in the national airspace system during a medical deficiency, regardless
of whether they hold a medical certificate or not. This requirement in
Sec. 61.53 for medical self-evaluation applies to every flight a
person conducts as a required flightcrew member. Airmen conducting
commercial balloon operations are currently subject to the requirements
of Sec. 61.53(b). Under the proposal, these airmen would be subject to
Sec. 61.53(a) by virtue of exercising the privileges of a commercial
pilot certificate in a balloon for compensation or hire.
B. Rationale for Medical Requirement for Commercial Balloons
Some medical conditions, such as mental health conditions,
inherently impair the judgement of the person to properly self-evaluate
their medical condition. A lack of medical knowledge about one's own
condition may also preclude an airman from effectively determining his
or her ability to safely operate the aircraft. Lastly, external
factors, such as economic factors or concerns about customer
dissatisfaction, may affect the ability of a commercial balloon pilot
to make an impartial assessment of his or her health.
Operators conducting flights for compensation or hire are held to a
higher safety standard with increased oversight. The commercial balloon
industry has evolved and commercial operators today fly much larger
balloons carrying many more passengers than in the past. As a result,
the risk associated with commercial balloon operations has increased.
This increased risk justifies a level of medical oversight equivalent
to that of pilots of powered aircraft for certain operations such as
commercial sightseeing operations.
The purpose of the FAA medical certification program is to ensure
that only pilots, who are physically and mentally fit, will be
authorized to operate aircraft, thereby enhancing aviation safety by
mitigating the risk of medical factors as a cause of aircraft
accidents.
Prior to the Heart of Texas accident, pilots conducted commercial
balloon operations in the U.S. for decades without any accidents
attributed to medical deficiencies. However, the FAA agrees with the
NTSB and Congress that a second-class medical certificate is necessary
to increase balloon passenger safety and other balloon operations
conducted for compensation or hire. The Heart of Texas accident
highlights how the medical certification process could reduce the risk
of a similar accident in the future by increasing the level of FAA
oversight of commercial balloon operations.
For instance, the pilot in the Heart of Texas accident had a 20-
year history of drug and alcohol convictions, which he failed to report
to the FAA in accordance with Sec. 61.15(e). If the airman had been
required to hold a medical certificate, he would have been required to
disclose any history of those arrests and convictions on his medical
application form, completed through MedXPress. By signing and
submitting the medical application, the airman authorizes the FAA to
receive National Driver Register (NDR) pointer data as well as any
individual state records, as applicable, as part of the medical
certificate application.\33\
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\33\ When applying for a medical certificate in MedXPress, an
applicant authorizes the National Driver Register (NDR), through a
designated State Department of Motor Vehicles, to furnish to the FAA
information pertaining to his or her driving record consistent with
49 U.S.C. 30305(b)(3).
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The NDR Problem Driver Pointer System (PDPS) identifies records on
individuals whose privilege to operate a motor vehicle has been
revoked, suspended, canceled or denied, or who have been convicted of
serious traffic-related offenses. Even if an airman fails to disclose
these convictions on the application, the FAA receives a report from
the NDR, providing an additional safeguard and mechanism for verifying
the accuracy of the information provided by the airman.
In addition, this pilot had multiple known medical conditions--
notably depression and ADHD--which generally could be disqualifying for
any class of medical certification under Sec. Sec. 67.107(c),
67.207(c), and 67.307(c), respectively. Unless the airman was able to
demonstrate, to the satisfaction of the Federal Air Surgeon, that the
risk associated with each condition and associated treatment warranted
an authorization for special issuance, an application for a medical
certificate with this medical history disclosed would likely have been
denied, if a medical certificate had been required as provided for in
this proposal.\34\
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\34\ FAA AME Guide: Pharmaceuticals https://faa.gov/go/ameguide.
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Finally, the accident pilot was also using medications that
typically are disqualifying \35\ for use due to sedation and cognitive
impairment. Had he reported their usage to an AME during a medical
review, the AME would have discussed this matter with the airman and
addressed appropriate usage.
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\35\ Such medications are typically prohibited for a period of
five half-lives. A half-life is a pharmacologic term for the period
of time, based on average human physiology, that 50% of the drug can
be expected to remain in the body following consumption.
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Performance demands of a commercial balloon pilot are very similar
to the performance demands of a pilot operating a powered aircraft. In
both contexts, commercial pilots should be required to be both
physically and mentally fit to operate their respective aircraft. The
Heart of Texas accident serves as an example of how a lack of medical
oversight allowed the pilot to continue to operate a balloon for
compensation or hire in spite of a questionable medical history. The
FAA therefore concludes the unpowered nature of commercial balloon
operations no longer justifies excepting operators from holding a
second-class medical certificate in order to act as PIC.
Flight Training
Unlike other categories of aircraft, the FAA does not issue a
flight instructor certificate with a lighter-than-air category rating
for part 61 subpart H flight instructors. Flight training privileges in
a balloon are conferred to commercial pilots via a balloon rating
[[Page 64424]]
on the individual's commercial pilot certificate.
While the FAA considers flight training to be a commercial
operation, it has--for purposes of medical certification--distinguished
instructors providing flight training from pilots engaged in other
commercial operations involving the carriage of passengers or property
for compensation or hire. For example, under current regulations,
conducting flight training while serving as PIC in either a glider or
balloon does not require any medical certification. See Sec. Sec.
61.3(c)(2) and 61.23(b).
The FAA acknowledges that a flight instructor serving as PIC in an
operation other than a glider or lighter-than-air aircraft during which
private pilot privileges are being exercised must hold a third-class
medical certificate or opt into the requirements of BasicMed in
accordance with Sec. 61.23(a)(3) or Sec. 61.23(c). However, section
318 of Public Law 115-254 specifically directs the FAA to ``revise
section 61.3(c) of title 14, Code of Federal Regulations (relating to
second-class medical certificates), to apply to an operator of an air
balloon to the same extent such regulations apply to a pilot flightcrew
member of other aircraft'' (emphasis added). Therefore, the FAA has
determined that Congress did not intend amendments to be made to other
classes of medical certification. As such, the FAA is not proposing in
this NPRM to extend third-class medical certification requirements to
balloon operations during which flight instruction is conducted by an
airman serving as PIC. However, the FAA invites comment on this issue.
As previously explained, Sec. 61.23(b)(4) and (5) would specify
that a medical certificate is not required when exercising the
privileges of a private pilot certificate with a balloon class rating
in a balloon or when exercising the privileges of a commercial pilot
certificate with a balloon class rating in a balloon if the PIC is
providing flight training in accordance with Sec. 61.133(a)(2)(ii).
The FAA notes that, in some cases, flight training may be conducted
concurrently with an operation conducted for compensation or hire.\36\
In circumstances such as this, the PIC would be required to hold either
a first- or second-class medical certificate, as appropriate, for the
commercial operation being conducted in conjunction with the flight
instruction.
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\36\ An example of this may be an operator who is providing
flight instruction, but is conducting the instruction in a balloon
that displays aerial advertising and the operator has received
compensation to display the advertising.
---------------------------------------------------------------------------
While the medical certificate requirements in Sec. Sec. 61.3(c)(2)
and 61.23(b) do not apply to both balloons and gliders, the FAA is not
proposing to extend the second-class medical certification requirement
described in this NPRM to commercial glider operations at this time.
Due to the limited passenger carrying capacity of gliders,\37\ the FAA
has not identified a safety risk basis for imposing similar medical
certification requirements on glider operations. However, the FAA
invites comment on this issue.
---------------------------------------------------------------------------
\37\ Gliders are typically limited to a capacity of 1-2
passengers in addition to the pilot in command.
---------------------------------------------------------------------------
C. Invitation for Comment Regarding Options for Enhanced Safety
Oversight of Commercial Balloon Operations
As previously discussed, balloon operations conducted for
compensation or hire-many of which involve passenger-carrying
operations conducted for purposes of sightseeing-are not required under
Sec. 91.147 to obtain a Letter of Authorization (LOA) from the FAA.
Under Sec. 91.147, to obtain an LOA, a sightseeing operator must: (1)
Identify the business, where it is located, where it principally
operates from, and who is responsible for management and maintenance;
(2) identify the type of aircraft used; and (3) implement an Antidrug
and Alcohol Misuse Prevention Program in accordance with 14 CFR part
120.
Following a 2013 non-fatal accident of a commercially operated
balloon carrying 10 passengers, the NTSB issued Safety Recommendations
A-14-011 \38\ and A-14-012.\39\ The recommendations urged the FAA to
require commercial balloon operators to obtain and maintain an LOA
under Sec. 91.147 to conduct air tour flights and to enhance oversight
by including commercial balloon operators in general surveillance
activities. Recommendations A-14-011 and A-14-012 were ultimately
superseded by Safety Recommendation A-17-045, described previously.
---------------------------------------------------------------------------
\38\ NTSB Safety Recommendation A-14-011 https://www.ntsb.gov/_layouts/ntsb.recsearch/Recommendation.aspx?Rec=A-14-011.
\39\ NTSB Safety Recommendation A-14-012 https://www.ntsb.gov/_layouts/ntsb.recsearch/Recommendation.aspx?Rec=A-14-012.
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The FAA is not proposing to apply similar requirements to balloon
operations conducted for compensation or hire in this rulemaking. The
FAA, however, invites comment on whether the FAA should consider
rulemaking in the future to expand the definition of an operator under
Sec. 91.147 to include nonstop passenger-carrying flights in a
balloon, which would require an LOA and drug and alcohol testing
requirements for balloon operations conducted for compensation or
hire.\40\ Specifically, the FAA requests information and data regarding
the following:
---------------------------------------------------------------------------
\40\ More information about initiating a Drug and Alcohol
Testing Program can be found at: https://www.faa.gov/about/office_org/headquarters_offices/avs/offices/aam/drug_alcohol/starting/media/Air_Tour_Operators_Defined_in_Section_91_147_Implementation.pdf.
---------------------------------------------------------------------------
(1) Should the applicability of Sec. 91.147 LOA and drug and
alcohol testing requirements be limited to certain thresholds of
balloon operations? If so, what thresholds, such as passenger capacity,
number of annual operations, or size of aircraft should be used?
(2) Currently, operators who are required to comply with drug and
alcohol testing under part 120 must establish a program that covers all
individuals performing safety-sensitive functions directly or by
contract. In the context of balloon operations, this testing would
include non-pilots, such as persons conducting maintenance of the
balloon. If the applicability of such testing was extended to operators
conducting passenger carrying operations in a balloon for compensation
or hire, what factors might affect the ability of the balloon operator
to comply with a requirement to test all individuals performing safety-
sensitive functions? How many personnel conducting safety-sensitive
functions does each operator have and what are their functions?
(3) What current voluntary drug and alcohol testing is being
conducted among commercial balloon operators? Do these testing programs
apply only to persons serving as PIC or to all individuals performing
safety-sensitive functions?
(4) What are the incremental initial and recurring costs and
benefits of implementing and executing drug and alcohol testing and
complying with LOA requirements?
D. Miscellaneous Amendments
The FAA is also proposing miscellaneous amendments to alleviate
confusion and eliminate burdens for persons obtaining medical flight
tests and for persons operating under BasicMed.
First, the FAA proposes an amendment to Sec. Sec. 61.3(c)(2) and
61.23(b) to allow persons to receive medical flight tests authorized
under part 67 without holding a medical certificate. Some medical
certificate applicants are
[[Page 64425]]
not qualified for an unrestricted medical certificate due to
disqualifying medical conditions and therefore require the issuance by
authorization for a special issuance or SODA as discussed above. In
most cases, the FAA can determine if an individual is eligible for a
special issuance or SODA by means of additional medical evaluations.
However, for some conditions, a medical flight test is necessary to
determine whether the individual is qualified to hold a medical
certificate.
In the past, the FAA issued a medical certificate to applicants for
the sole purpose of conducting a medical flight test to determine
whether a special issuance was appropriate. The FAA has determined that
temporary issuance of medical certificates for this purpose is
inconsistent with the requirements in part 67. Accordingly, the FAA has
ceased issuing them. As a result, a person authorized to take a medical
flight test may not currently act as PIC during the test because he or
she does not hold a medical certificate (for those aircraft for which a
medical certificate is required).\41\ This places an unintentional
burden on the FAA aviation safety inspector (ASI) who conducts the
medical flight test because to complete the medical flight test, the
ASI would need to assume the duties of PIC.\42\ To allow persons to
continue to act as PIC during these medical flight tests, the FAA is
proposing to amend Sec. 61.3(c)(2) by adding new paragraph (xv), which
would allow persons to act as PIC during authorized medical flight
tests without holding a medical certificate.\43\ The FAA has also
proposed to add a parallel provision in Sec. 61.23(b)(12). This
proposed change would not apply to any other flight activity for which
a medical certificate is required. The FAA has determined that this
action would not compromise safety. First, by policy, the ASI must hold
a valid medical certificate in order to conduct medical flight tests
regardless of whether the ASI acts as PIC.\44\ Second, in order for the
FAA to initiate an LOA for a medical flight test, the applicant must
have a medical evaluation that determines that the applicant is
otherwise medically qualified.\45\
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\41\ Under the current regulations, a person may act as PIC
during a medical flight test only if that person holds a medical
certificate issued under part 67. 14 CFR 61.3(c)(1).
\42\ A PIC is the person who has final authority and
responsibility for the operation and safety of the flight. 14 CFR
1.1. By FAA policy, Aviation Safety Inspectors (ASI) do not
routinely act as PIC during airman evaluation flights (e.g.,
practical tests, medical flight tests, etc.).
\43\ The FAA notes that it proposes to remove the ``or'' from
paragraph (c)(2)(xiii) and relocate it to paragraph (c)(2)(xiv) to
coincide with the additional paragraph FAA proposes to add to the
list of exceptions in Sec. 61.3(c)(2).
\44\ FAA order 8900.1 Volume 5, Chapter 8, Section 1, paragraph
5-1523(D)(3) and Volume 1, Chapter 3, Section 6.
\45\ FAA order 8900.1 Volume 5, Chapter 8, Section 1, paragraph
5-1523(B).
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Additionally, the FAA is proposing to amend Sec. Sec. 61.3(c)(2),
61.23(c)(3), 61.113(i), 68.3, and 68.9 to alleviate certain burdens
that resulted from the BasicMed final rule.\46\ This rule codified
section 2307 of the FAA Extension, Safety, and Security Act of 2016,
(Pub. L. 114-190) (FESSA). Section 2307 directed the FAA to ``issue or
revise regulations to ensure that an individual may operate as pilot in
command of a covered aircraft'' without having to undergo the medical
certification process under part 67. In that final rule, the FAA
adopted the statutory language set forth in section 2307, without
interpretation.
---------------------------------------------------------------------------
\46\ 82 FR 3149 (Jan. 11, 2017).
---------------------------------------------------------------------------
To accommodate safety pilots \47\ who wish to operate under
BasicMed, but who are not acting as PIC, the FAA is proposing to expand
the BasicMed requirements to include persons serving as required pilot
flightcrew members who are not acting as PIC. Currently, BasicMed
applies only to PICs, because section 2307 of FESSA applies only to
PICs.\48\ As a result, BasicMed does not provide relief from the
requirement to hold a medical certificate under Sec. 61.3(c) to a
person who is not acting as PIC. Specifically, pilots who are acting as
safety pilots in accordance with Sec. 91.109(c), but who are not
acting as PIC, must hold a medical certificate because they are
required flightcrew members. Instead, a safety pilot who intends to
operate under BasicMed must agree to act as PIC for the portion of the
flight in which they will serve as safety pilot.\49\
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\47\ A safety pilot is a person who occupies a control seat in
an aircraft and maintains a visual watch when the pilot manipulating
the flight controls of the aircraft is using a view-limiting device
to simulate flight by reference to instruments. See 14 CFR 91.109.
\48\ There is statutory evidence that the provision creating
BasicMed was not intended to be limited to only persons acting as
PIC. One of the attestations that a person intending to operate
under BasicMed must agree to states ``I understand that I cannot act
as pilot in command, or any other capacity as a required flight crew
member [emphasis added], if I know or have reason to know of any
medical condition that would make me unable to operate the aircraft
in a safe manner.''
\49\ In certain circumstances, a person who is qualified to act
as a safety pilot may not meet the regulatory requirements to act as
PIC for the flight. Further, a person may not agree to act as PIC
while acting as safety pilot for several non-regulatory reasons,
personal limits, operating experience, aircraft rental requirements,
or insurance coverage.
---------------------------------------------------------------------------
The FAA encourages pilots to seek opportunities to increase
proficiency through operations, such as simulated instrument flying. As
such, the FAA proposes to alleviate the current burden on safety pilots
by allowing persons to operate under BasicMed while serving as required
pilot flightcrew members.
Specifically, the FAA is proposing to amend Sec. Sec.
61.3(c)(2)(xiv), 61.23(c)(3)(i)(C) through (E), 61.113(i), 68.3(a) and
(b), and 68.9(a) by expanding the requirements to include required
pilot flightcrew members. The FAA notes that, in very limited
circumstances, this amendment would also allow a private pilot to act
as second-in-command (SIC) of an aircraft type certificated for more
than one required pilot flightcrew member or in operations requiring a
SIC flightcrew member while operating under BasicMed, provided the
aircraft meets the covered aircraft requirements of Sec. 61.113(i)(1).
E. Effective Date
The FAA proposes that the medical certificate requirement of this
proposed rule become effective no less than 180 days from publication
of the final rule. This time span would provide sufficient time for
affected persons to comply with this rule by obtaining a medical
certificate in a timely manner. The FAA notes that airman with certain
medical conditions may be required to obtain an authorization for
special issuance. The process for obtaining a special issuance may
require additional time for the FAA to review additional medical
information provided by the airman. As such, persons who are required
by this rule provision to obtain a medical certificate should seek to
obtain a medical certificate in a timely manner in order to avoid a
loss of operating privileges due to the inability to comply with the
requirement.
The FAA proposes that the two miscellaneous amendments of this
proposed rule related to BasicMed become effective 30 days from
publication of the final rule.
V. Regulatory Notices and Analyses
Federal agencies consider impacts of regulatory actions under a
variety of executive orders and other requirements. 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 the 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
[[Page 64426]]
from setting standards that create unnecessary obstacles to the foreign
commerce of the United States. 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 that may result in the
expenditure by State, local, and tribal governments, in the aggregate,
or by the private sector, of $100,000,000 or more (adjusted annually
for inflation) in any one year. The current threshold after adjustment
for inflation is $158,000,000, using the most current (2020) Implicit
Price Deflator for the Gross Domestic Product.
In conducting these analyses, the FAA has determined that this
rule: Is not a ``significant regulatory action'' as defined in section
3(f) of Executive Order 12866; may have a significant economic impact
on a substantial number of small entities; will not create unnecessary
obstacles to the foreign commerce of the United States; and will not
impose an unfunded mandate on State, local, or tribal governments, or
on the private sector.
A. Regulatory Impact Analysis
Summary of Benefits and Costs of This Rule
The proposed rule would generate costs for balloon pilots to obtain
a second-class medical certification and for some pilots to seek
authorization through special issuance. There would also be costs to
the FAA to implement this requirement in terms of reviewing and
processing submissions related to certification. The FAA estimates the
present value of total costs over ten years is $2.6 million to $17.8
million with a mid-estimate of $7.5 million at a 7 percent discount
rate and $3.1 million to $21.7 million with a mid-estimate of $9.1
million at a 3 percent discount rate. The FAA estimates the annualized
costs over ten years is $0.4 million to $2.5 million with a mid-
estimate of $1.1 million at a 7 percent discount rate and $0.4 million
to $2.5 million with a mid-estimate of $1.1 million at a 3 percent
discount rate. While lack of data on the effectiveness of the
rulemaking prevents quantification of benefits, the FAA anticipates the
rulemaking will enhance safety of commercial balloon operations,
including reduced risks of accidents, fatalities, and injuries caused
by medical impairment of balloon pilots. The FAA estimates that it
would take between 0.4 to 3.0 averted fatalities in the next ten years
for the benefits to breakeven with the costs of this rulemaking.
In addition to the requirement for commercial balloon pilots to
hold a second-class medical certificate, the rule proposes two
miscellaneous amendments. The first amendment addresses certain
inconsistencies in current regulations for conducting medical flight
tests and the second amendment addresses inconsistencies regarding who
may operate under BasicMed. The FAA does not quantify the effects of
the two miscellaneous amendments but anticipates there would be minor
cost savings. By allowing persons to receive medical flight tests under
part 67 without holding a medical certificate, the FAA ASI will no
longer have the burden of assuming the responsibility as PIC. This
would also eliminate the inconsistency of both having to hold a medical
certificate for the purposes of receiving a medical flight test and
needing the medical flight test to obtain medical certification. The
amendment to extend BasicMed eligibility to other pilot flightcrew
members would reduce the burden for those pilots not acting as PIC of
having to hold a medical certificate under current regulations and
would hold them to the same standard as those acting as PIC. This may
also result in more pilots seeking opportunities to serve as safety
pilot by lowering the medical certificate barrier without compromising
safety. It would also increase the number of pilots eligible to serve
as safety pilot, easing the burden of pilots with instrument privileges
conducting flights to meet recent flight experience requirements and
consequently increasing overall safety in the national airspace system.
Statement of Need
This rulemaking addresses the need for additional oversight of
airmen conducting balloon operations for compensation or hire by
implementing the statutory mandate under the Commercial Balloon Pilot
Safety Act of 2018 and NTSB Safety Recommendation A-17-034 to extend
second-class medical certification requirements to operators of air
balloons. As discussed elsewhere in the preamble, the 2016 Heart of
Texas balloon accident highlights the potential for a pilot's medical
condition to pose safety risks, which are not necessarily less than
that of powered aircraft sightseeing operations that require at least a
second-class medical certificate (e.g., commercial transportation of
skydivers, banner towing, or aerial photography). Following the 2016
Heart of Texas accident, there have been voluntary efforts by the
industry to raise the standard for balloon pilots notably through the
Envelope of Safety Program. While incentives to ensure a certain level
of safety exist in the private market for commercial balloon
operations, it is unlikely in the absence of federal regulation that
all balloon pilots would choose to comply with the requirements of a
second-class medical certification. At the same time, consumers may be
insufficiently aware of the risks associated with balloon pilots
operating under a lower standard to demand full compliance. Therefore,
this rulemaking is necessary to achieve a higher level of safety for
commercial balloon operations.
Data and Assumptions
This section summarizes key data sources and assumptions used
throughout the analysis:
Costs and benefits are estimated over 10 years.
Costs and benefits are presented in 2020 dollars.
The present value discount rate of seven and three percent
is used as required by the Office of Management and Budget.
The cost for a medical examination fee with an AME is in
the following range: Low = $100, Mid = $150 or High = $200.\50\
---------------------------------------------------------------------------
\50\ According to FAA subject matter experts and Phoenix East
Aviation, https://www.pea.com/blog/posts/the-faa-medical-exam-common-questions/, the cost per medical exam ranges from $100 to
$200.
---------------------------------------------------------------------------
The hourly rate of a pilot (VPT) exercising their
commercial balloon rating varies greatly. Therefore, the FAA used the
following hourly wages: Low= $15, Mid= $31.50 or High= $48.\51\
---------------------------------------------------------------------------
\51\ According to the FAA subject matter experts, responses from
the Balloon Federation of America and online sources, the FAA
estimates a commercial balloon pilot earns from $15 to $48 an hour.
Online source: https://www.jobmonkey.com/uniquejobs3/hot-air-balloon-pilot-jobs/.
---------------------------------------------------------------------------
Vehicle operating cost per mile (VOC) as determined by the
Internal Revenue Service (IRS) is $0.16.\52\
---------------------------------------------------------------------------
\52\ https://www.irs.gov/newsroom/irs-issues-standard-mileage-rates-for-2021 Accessed on April 21, 2021.
---------------------------------------------------------------------------
The FAA assumes 1.5 hour to complete the MedXPress
form.\53\
---------------------------------------------------------------------------
\53\ This estimate is consistent with FAA's estimated burden
hours associated with the MedXPress form 8500-8 approved under OMB
No. 2120-0034.
---------------------------------------------------------------------------
The FAA assumes 1 hour to complete a medical examination.
Affected Entities
At the time of writing, the FAA used 2021 data from the Airmen
Certification database to identify pilots certified as commercial
balloon pilots. There are currently 4,869 commercial pilots with
balloon class ratings. This balloon class
[[Page 64427]]
rating does not have an expiration. Unlike other pilot ratings, a
person exercising the privileges of a balloon class rating does not
require an active first-, second-, or third-class medical certificate.
Because of this, there is uncertainty in the number of active
commercial balloon pilots actively exercising commercial pilot
privileges. For this reason, the FAA produced a low, mid, and high
range estimate of how many pilots would possibly be affected by this
proposed rule.
In addition to the current number of certificated pilots with a
commercial balloon rating, the FAA gathered data from the last 14 years
to estimate an average growth of newly certificated commercial balloon
pilots per year. Over the course of the last 14 years from 2007 through
2020, there was on average 56 newly certificated commercial balloon
pilots per year.
As mentioned earlier, there is uncertainty with the number of
active pilots exercising their commercial balloon privileges. The FAA
assumes a low estimate of 20%, a mid-estimate of 50% and a high
estimate of 100% of the 4,869 commercial pilots with a balloon class
rating would be active. Table 1 displays the potential number of airmen
that would be affected by the proposed rule over the course of ten
years. Corresponding to the number of active balloon pilots is the
number of expected submissions for second-class medical certifications
each year.
Table 1--Low, Middle and High Estimates of Active Balloon Pilots
----------------------------------------------------------------------------------------------------------------
Year Low Middle High
----------------------------------------------------------------------------------------------------------------
1............................................................... 1,030 2,491 4,925
2............................................................... 1,086 2,547 4,981
3............................................................... 1,142 2,603 5,037
4............................................................... 1,198 2,659 5,093
5............................................................... 1,254 2,715 5,149
6............................................................... 1,310 2,771 5,205
7............................................................... 1,366 2,827 5,261
8............................................................... 1,422 2,883 5,317
9............................................................... 1,478 2,939 5,373
10.............................................................. 1,534 2,995 5,429
-----------------------------------------------
Total....................................................... 12,820 27,430 51,770
----------------------------------------------------------------------------------------------------------------
Benefits
The benefits of this rulemaking come from the value of averted
accidents attributable to pilots operating commercial balloons with
medical deficiencies. While under current regulations, balloon pilots
must comply with Sec. 61.53(b), which states that ``a person shall not
act as pilot in command, or in any other capacity as a required pilot
flight crewmember, while that person knows or has reason to know of any
medical condition that would make the person unable to operate the
aircraft in a safe manner,'' the second-class medical certification
requirement would provide greater assurances of safety to balloon
passengers and other balloon operations conducted for compensation or
hire. By requiring balloon pilots to undergo a medical certification
process, an AME should identify potentially impairing medical
conditions and treatments thereof to ensure sufficient mitigation of
any associated risks.
To quantify the benefits from this rule, it is necessary to: (1)
Forecast a baseline level of accidents attributable to medically
impaired balloon pilots in the absence of this rule and (2) estimate
the extent to which the medical certification requirement effectively
reduces the risk. As previously discussed, based on the FAA's analysis
of the NTSB accident database during the ten-year period from 2010-
2020, the FAA finds that there has been one accident, the Heart of
Texas accident, where the medical condition of the pilot was a factor.
The Heart of Texas accident resulted in 16 fatalities. The commercial
pilot and all 15 passengers were killed, and the balloon was destroyed
by impact forces and post-crash fire. For an accident of this
magnitude, the FAA estimates that the social cost associated with the
loss of life alone is $185.6 million using a value of statistical life
of $11.6 million.\54\ Additional costs of a similar accident would
include non-fatal injuries, the value of property loss and damage as
well as the cost of the accident investigation and clean-up efforts.
However, the FAA currently does not have enough information to monetize
those additional costs.
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\54\ Value of a statistical life in 2020 is $11.6 million.
Letter from Acting Assistant Secretary for Transportation Policy
April 1, 2021.
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The FAA finds that the requirement for a second-class medical
certification could have prevented the Heart of Texas accident if: (1)
Information made available through the NDR database as part of the
medical review process revealed the pilot's history of drug- and
alcohol-related traffic offenses and resulted in a disqualification,
(2) a medical review either prompted effective treatment of or
disqualification for the pilot's medical conditions (depression and
ADHD), or (3) use of certain medications were discussed with an AME
would have resulted in the pilot adjusting his behavior to avoid usage
as a PIC during a balloon operation.
Due to the infrequency of such events and limitations in the
available data, it is difficult to quantify and monetize the benefits
of the rulemaking. The FAA intends to update its estimates of
quantified benefits for the final rule based on additional information
and data identified during the comment period. Specifically, the FAA
requests information and data, including references and sources, that
can be used to predict the number of similar accidents that may occur
in the future and the number of accidents that could be averted by this
rulemaking.
While the FAA describes the benefits of the rulemaking
qualitatively, the FAA expects that second-class medical certification
provides additional screening to reduce the risk of commercial balloon
pilots operating while medically impaired. In the section below, the
FAA conducted a breakeven analysis to show that the monetized benefits
of the rulemaking equates costs if it averts 0.4 to 3.0 fatalities in
the next ten years.
Costs
This rulemaking would result in private sector costs to balloon
pilots for obtaining a second-class medical certificate, including the
opportunity
[[Page 64428]]
cost of time and fee for the medical exam with an AME. Some balloon
pilots with certain health conditions that are otherwise disqualifying
may also incur the cost of obtaining a LOA by special issuance. The FAA
would incur costs for reviewing and processing the applications (i.e.,
MedXPress forms) and reviewing NDR information for a subset of
submissions.
Cost to Industry
(1) Costs of Obtaining Second-Class Medical Certification
To obtain a second-class medical certificate, an applicant would
need to complete the MedXPress form and a medical exam with an AME.
Because the second-class medical certificate expires 12 months after
the date of the medical exam, the FAA assumes that pilots would incur
these costs on an annual basis. The FAA estimates the opportunity cost
of time for each applicant would include 1.5 hour to complete the
MedXPress form, 1 hour for the medical examination, and 1 hour of
travel time to and from the exam for a total of 3.5 hours.\55\ The FAA
assumes an hourly wage for a balloon pilot ranges from $15 per hour to
$48 per hour, with a mid-estimate of $31.50 per hour, to value time for
the medical exam and completing the MedXPress form. For valuing travel
time, the FAA uses an estimate of $13.60 per hour consistent with 2016
DOT guidance (in this analysis, $14.30 was used for year 2020).\56\
Multiplying the value of time by the amount of time spent yields an
estimate of $51.80 to $134.30, with a mid-estimate of $93.05 per
applicant in opportunity cost of time. FAA subject matter experts
estimate the cost per medical exam with an AME ranges from $100 to
$200, with an average of $150. Additional costs arise from vehicle
operating costs (VOC) of 16 cents per mile for an average of 50 miles
traveled by vehicle to and from a medical exam, which yields $8 for
each exam. Taking the sum of the value of time spent, medical exam fee,
and VOC, the FAA estimates that each applicant would incur costs of
approximately $160 to $342, with a mid-estimate of $251 to obtain a
second-class medical certificate each year.
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\55\ According to the ``FAA Aerospace Medical Certification
Services Airman Satisfaction Survey,'' (April 2017), over 60 percent
of applicants traveled between 0 and 25 miles one way for an exam
with an AME. (Retrieved from: https://www.reginfo.gov/public/do/PRAViewDocument?ref_nbr=201904-2120-007.)
\56\ Department of Transportation. ``The Value of Travel Time
Savings: Departmental Guidance for Conducting Economic Evaluations
Revision 2 (2016 Update). Available at: https://www.transportation.gov/office-policy/transportation-policy/revised-departmental-guidance-valuation-travel-time-economic. This analysis
assumes that the value of travel time grows 1% a year. Year 2020:
$14.30.
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Table 2 below shows the range of total costs to industry for
obtaining a second-class medical certificate. The FAA derives the
aggregated low, middle, and high costs by multiplying the estimated
number of active pilots (low, middle, high) as shown in Table 1 by the
corresponding low, middle, and high costs per applicant by cost
category.
Table 2--Costs to Industry by Category To Obtain Second-Class Medical Certification
--------------------------------------------------------------------------------------------------------------------------------------------------------
Opportunity cost of time for exam, Fee for medical exam with AME Vehicle operating costs
MedXPress form, and travel -----------------------------------------------------------------------------
Year ---------------------------------------
Low Middle High Low Middle High Low Middle High
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.................................. $53,354 $231,788 $661,428 $103,000 $373,650 $985,000 $8,240 $19,928 $39,400
2.................................. 56,407 237,355 669,646 108,600 382,050 996,200 8,688 20,376 39,848
3.................................. 59,475 242,938 677,879 114,200 390,450 1,007,400 9,136 20,824 40,296
4.................................. 62,572 248,563 686,180 119,800 398,850 1,018,600 9,584 21,272 40,744
5.................................. 65,685 254,205 694,497 125,400 407,250 1,029,800 10,032 21,720 41,192
6.................................. 68,814 259,864 702,831 131,000 415,650 1,041,000 10,480 22,168 41,640
7.................................. 71,961 265,540 711,182 136,600 424,050 1,052,200 10,928 22,616 42,088
8.................................. 75,124 271,233 719,550 142,200 432,450 1,063,400 11,376 23,064 42,536
9.................................. 78,304 276,942 727,934 147,800 440,850 1,074,600 11,824 23,512 42,984
10................................. 81,501 282,668 736,335 153,400 449,250 1,085,800 12,272 23,960 43,432
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: The low, middle, and high estimates correspond to the low, middle, and high estimates of the number of active pilots and the range of costs per
applicant in each category of costs.
(2) Cost of Obtaining a Special Issuance
For applicants that do not initially meet the requirements of a
second-class medical certification, there may be an additional cost to
seek a LOA by special issuance. The FAA assumes that an applicant
seeking special issuance would incur the same costs and time of a
second-class medical certification as estimated per applicant above.
Based on the historical rate of special issuances, the FAA assumes that
approximately 10 percent of affected balloon pilots would seek special
issuance. Therefore, the FAA takes the sum of costs in each cost
category for obtaining a second-class medical certification and
multiplies by 0.1 to obtain the total industry cost for obtaining
special issuances. Table 3 below shows the range of special issuance
costs in each year.
Table 3--Total Industry Cost for Special Issuances
----------------------------------------------------------------------------------------------------------------
Total private sector costs for special
issuance
Year -----------------------------------------------
Low Middle High
----------------------------------------------------------------------------------------------------------------
1............................................................... $16,459 $62,537 $168,583
2............................................................... 17,369 63,978 170,569
3............................................................... 18,281 65,421 172,558
4............................................................... 19,196 66,869 174,552
5............................................................... 20,112 68,318 176,549
6............................................................... 21,029 69,768 178,547
[[Page 64429]]
7............................................................... 21,949 71,221 180,547
8............................................................... 22,870 72,675 182,549
9............................................................... 23,793 74,130 184,552
10.............................................................. 24,717 75,588 186,557
----------------------------------------------------------------------------------------------------------------
Present Value at 7%............................................. 140,959 479,339 1,239,310
Annualized at 7%................................................ 20,069 68,247 176,450
Present Value at 3%............................................. 173,625 586,001 1,510,442
Annualized at 3%................................................ 20,354 68,697 177,070
----------------------------------------------------------------------------------------------------------------
Summary of Total Cost to Industry
The FAA estimates the present value of total cost to industry
associated with obtaining a second-class medical certification and
special issuances to be $1.6 million to $13.6 million, with a mid-
estimate of $5.3 million at a 7 percent discount rate and $1.9 million
to $16.6 million, with a mid-estimate of $6.4 million at a 3 percent
discount rate. The annualized value of total cost to industry are $0.2
million to $1.9 million with a mid-estimate of $0.8 million at a 7
percent discount rate and $0.2 million to $1.9 million with a mid-
estimate of $0.8 million at a 3 percent discount rate. In Table 4
below, the FAA shows these total costs to industry for obtaining a
second-class medical certification and special issuances in each year.
The low, middle, and high estimates correspond to the range of
estimates on the number of affected pilots and costs associated with
obtaining medical certification.
Table 4--Total Industry Costs
----------------------------------------------------------------------------------------------------------------
Total cost to industry
Year -----------------------------------------------
Low Middle High
----------------------------------------------------------------------------------------------------------------
1............................................................... $181,053 $687,902 $1,854,410
2............................................................... 191,064 703,759 1,876,263
3............................................................... 201,092 719,633 1,898,133
4............................................................... 211,151 735,554 1,920,076
5............................................................... 221,228 751,493 1,942,038
6............................................................... 231,324 767,451 1,964,018
7............................................................... 241,438 783,427 1,986,017
8............................................................... 251,570 799,421 2,008,034
9............................................................... 261,721 815,434 2,030,070
10.............................................................. 271,891 831,466 2,052,124
----------------------------------------------------------------------------------------------------------------
Present Value at 7%............................................. 1,550,549 5,272,731 13,632,413
Annualized at 7%................................................ 220,763 750,718 1,940,949
Present Value at 3%............................................. 1,909,876 6,446,015 16,614,860
Annualized at 3%................................................ 223,896 755,670 1,947,768
----------------------------------------------------------------------------------------------------------------
Costs to FAA To Implement Requirement for Second-Class Medical
Certification for Balloon Pilots
(1) FAA Cost of MedXPress Review and Processing
The FAA would incur costs associated with reviewing and processing
applications submitted through MedXPress. Based on internal FAA data on
total personnel costs and benefits attributable to labor hours spent on
review of airmen medical certification in FY 2019 and FY 2020, the FAA
estimates an average cost of $30 to review and process each
application. In Table 5 below, the Agency derives the FAA cost to
review applications in each year using the estimated range for the
number of submissions based on the forecasted number of active balloon
pilots in each year.
Table 5--FAA Costs To Review and Process Applications
----------------------------------------------------------------------------------------------------------------
FAA costs for review and processing
Year -----------------------------------------------
Low Middle High
----------------------------------------------------------------------------------------------------------------
1............................................................... $30,489 $73,737 $145,786
2............................................................... 32,147 75,394 147,444
3............................................................... 33,805 77,052 149,102
4............................................................... 35,462 78,710 150,759
5............................................................... 37,120 80,367 152,417
6............................................................... 38,778 82,025 154,075
7............................................................... 40,435 83,683 155,732
8............................................................... 42,093 85,340 157,390
9............................................................... 43,751 86,998 159,048
[[Page 64430]]
10.............................................................. 45,408 88,656 160,705
----------------------------------------------------------------------------------------------------------------
Present Value at 7%............................................. 260,087 563,839 1,069,884
Annualized at 7%................................................ 37,031 80,278 152,327
Present Value at 3%............................................. 320,268 689,177 1,303,774
Annualized at 3%................................................ 37,545 80,793 152,842
----------------------------------------------------------------------------------------------------------------
(2) FAA Cost of Special Issuance Review
A MedXPress application that requires a special issuance medical
certificate is deferred to the Aerospace Medical Certification Division
(AMCD) of Oklahoma City for further consideration. Based on FAA
internal data on personnel compensation and benefits attributable to
labor hours spent on reviewing and processing special issuance medical
certificates in FY 2019 and FY 2020, the FAA estimates an average cost
of approximately $126 per special issuance review. The table below
displays the FAA cost for special issuance review assuming that 10
percent of the applicants do not initially qualify for second-class
medical certification.
Table 6--FAA Cost of Special Issuance Review
----------------------------------------------------------------------------------------------------------------
FAA costs for special issuance review
Year -----------------------------------------------
Low Middle High
----------------------------------------------------------------------------------------------------------------
1............................................................... $13,018 $31,484 $62,248
2............................................................... 13,726 32,192 62,956
3............................................................... 14,434 32,900 63,664
4............................................................... 15,142 33,608 64,371
5............................................................... 15,850 34,315 65,079
6............................................................... 16,557 35,023 65,787
7............................................................... 17,265 35,731 66,495
8............................................................... 17,973 36,439 67,202
9............................................................... 18,681 37,147 67,910
10.............................................................. 19,388 37,854 68,618
----------------------------------------------------------------------------------------------------------------
Present Value at 7%............................................. 111,052 240,749 456,820
Annualized at 7%................................................ 15,811 34,277 65,041
Present Value at 3%............................................. 136,748 294,266 556,687
Annualized at 3%................................................ 16,031 34,497 65,261
----------------------------------------------------------------------------------------------------------------
(3) Cost of FAA Review of the National Driver Register (NDR) Reports
Included within the medical certificate application is the
applicant's authorization for the FAA to receive NDR data, which
provides a report of applicable motor vehicle actions within the
preceding three years. Intentional failure to report required drug or
alcohol motor vehicle actions is grounds for suspension of a pilot
certificate. NDR checks help to identify persons who may have substance
abuse or dependence issues. Although the bulk of the process is
automated, the FAA estimates there is roughly a 3% return rate that
requires additional review and investigation. The FAA estimates that it
takes approximately 40 hours of additional review time by a special
agent for each applicant that is flagged through the NDR database.
Using a special agent hourly wage adjusted for fringe benefits of
$60.18 as shown in Table 7 below, the FAA estimates that each
submission that requires further investigation would cost $2,407. The
total costs to FAA associated with NDR review is estimated in Table 8
using the range of estimated submissions.
Table 7--Special Agent Wage With Fringe benefits
----------------------------------------------------------------------------------------------------------------
Fringe
Yearly Hourly benefits Total
----------------------------------------------------------------------------------------------------------------
Special Agent................................... $91,877 $44.17 $16.01 $60.18
Federal Fringe Benefit Factor \1\ \2\ \3\....... .............. .............. 36.25% ..............
----------------------------------------------------------------------------------------------------------------
\1\ https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2008/m08-13.pdf.
\2\ Percent of position's basic pay.
\3\ Dallas-Fort Worth, TX-OK locality plus fringe benefits, GS-12 Step 4. Retrieved from https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/pdf/2021/DFW.pdf.
[[Page 64431]]
Table 8--FAA Costs for NDR Review
----------------------------------------------------------------------------------------------------------------
FAA costs for NDR review
Year -----------------------------------------------
Low Middle High
----------------------------------------------------------------------------------------------------------------
1............................................................... $74,382 $179,890 $355,664
2............................................................... 78,427 183,934 359,708
3............................................................... 82,471 187,978 363,752
4............................................................... 86,515 192,022 367,796
5............................................................... 90,559 196,066 371,840
6............................................................... 94,603 200,111 375,884
7............................................................... 98,647 204,155 379,928
8............................................................... 102,691 208,199 383,972
9............................................................... 106,735 212,243 388,017
10.............................................................. 110,779 216,287 392,061
----------------------------------------------------------------------------------------------------------------
Present Value at 7%............................................. 634,516 1,375,557 2,610,118
Annualized at 7%................................................ 90,341 195,848 371,622
Present Value at 3%............................................. 781,334 1,681,335 3,180,721
Annualized at 3%................................................ 91,596 197,104 372,877
----------------------------------------------------------------------------------------------------------------
Summary of Total Costs to FAA
The total costs to the FAA to implement the requirement for
commercial balloon pilots to hold a second-class medical certificate is
the sum of the costs for FAA review and processing of MedXPress
applications, review of special issuances, and review of NDR
information associated with certain applications. The FAA estimates the
present value of total costs to the Agency to be $1.0 million to $4.1
million, with a mid-estimate of $2.2 million at a 7 percent discount
rate and $1.2 million to $5.0 million, with a mid-estimate of $2.7
million at a 3 percent discount rate. The annualized value of total
cost to FAA are $0.1 million to $0.6 million with a mid-estimate of
$0.3 million at a 7 percent discount rate and $0.1 million to $0.6
million with a mid-estimate of $0.3 million at a 3 percent discount
rate.
These preliminary cost estimates to the FAA are subject to change
for the final rule and are not intended to inform future rulemakings or
policies involving user fees since these are point-in-time preliminary
estimates of additional personnel costs to FAA before the effective
date of the final rule. The FAA acknowledges the difficulty in
estimating FAA burden and cost after the effective date of this rule
given uncertainties in the number of pilot applicants and those pilots
that would either receive a second-class medical certification or be
granted a special issuance certification.
Table 9--Total Costs to FAA
----------------------------------------------------------------------------------------------------------------
Total cost to FAA
Year -----------------------------------------------
Low Middle High
----------------------------------------------------------------------------------------------------------------
1............................................................... $117,890 $285,111 $563,698
2............................................................... 124,300 291,521 570,107
3............................................................... 130,709 297,930 576,517
4............................................................... 137,119 304,340 582,927
5............................................................... 143,528 310,749 589,336
6............................................................... 149,938 317,159 595,746
7............................................................... 156,347 323,568 602,155
8............................................................... 162,757 329,978 608,565
9............................................................... 169,167 336,387 614,974
10.............................................................. 175,576 342,797 621,384
----------------------------------------------------------------------------------------------------------------
Present Value at 7%............................................. 1,005,655 2,180,145 4,136,823
Annualized at 7%................................................ 143,183 310,404 588,991
Present Value at 3%............................................. 1,238,350 2,664,778 5,041,181
Annualized at 3%................................................ 145,172 312,393 590,980
----------------------------------------------------------------------------------------------------------------
Total Costs of the Rule
The total costs are shown in the table below, which include both
costs to industry and to the FAA. The total costs over the ten years
include the costs for pilots to obtain their second-class medical
certificate, special issuances and costs to the Agency for review of
applications, special issuances, and NDR information. The FAA estimates
the present value of total costs over ten years is $2.6 million to
$17.8 million with a mid-estimate of $7.5 million at a 7 percent
discount rate and $3.1 million to $21.7 million with a mid-estimate of
$9.1 million at a 3 percent discount rate. The FAA estimates the
annualized costs over ten years is $0.4 million to $2.5 million with a
mid-estimate of $1.1 million at a 7 percent discount rate and $0.4
million to $2.5 million with a mid-estimate of $1.1 million at a 3
percent discount rate.
As stated previously, in some cases, where the airman's medical
condition does not meet the part 67 standard, the airman may still be
issued a medical certificate by authorization for special issuance when
the Federal Air Surgeon determines the risk associated with the medical
condition(s) to be sufficiently mitigated. Based on the rate of special
issuance for general aviation, the FAA
[[Page 64432]]
assumes that 10% of the commercial balloon pilot applicants would
require a special issuance. For purposes of this analysis, the FAA
assumes that most applicants would ultimately either receive a second-
class medical certification or be granted a special issuance
certification and therefore does not quantify costs associated with not
meeting the requirements.
However, the FAA expects some applicants who would have otherwise
been able to operate as commercial balloon pilots may not meet the
requirements of a second-class medical certification nor the
requirements for a special issuance. Furthermore, the opportunity cost
(including the time and fees) of seeking a second-class medical
certification for some pilots may outweigh their private gains from
operating commercially, resulting in some pilots opting not to seek
medical certification. The FAA does not have sufficient information to
predict how the supply of commercial balloon pilots would change as a
result of this rule.
While the FAA does not expect a significant decrease in the
availability of balloon pilots, changes in supply of balloon pilots
could affect prices as well. This analysis does not quantify any
potential changes in consumer and producer surplus from changes in
supply. If the rule effectively screens out certain individuals for
disqualifying medical conditions as intended, any potential adverse
effects on individual applicants should be offset by the safety gains
to the public. The FAA requests comment on these assumptions and data
that would allow the FAA to quantify these potential impacts.
Table 10--Total Costs of the Rule
----------------------------------------------------------------------------------------------------------------
Total Cost of the Rule
Year -----------------------------------------------
Low Middle High
----------------------------------------------------------------------------------------------------------------
1............................................................... $298,944 $973,013 $2,418,108
2............................................................... 315,364 995,280 2,446,370
3............................................................... 331,802 1,017,563 2,474,650
4............................................................... 348,270 1,039,894 2,503,003
5............................................................... 364,757 1,062,242 2,531,374
6............................................................... 381,262 1,084,609 2,559,764
7............................................................... 397,785 1,106,995 2,588,172
8............................................................... 414,327 1,129,399 2,616,599
9............................................................... 430,888 1,151,822 2,645,044
10.............................................................. 447,467 1,174,263 2,673,508
----------------------------------------------------------------------------------------------------------------
Present Value at 7%............................................. 2,556,204 7,452,875 17,769,236
Annualized at 7%................................................ 363,946 1,061,122 2,529,939
Present Value at 3%............................................. 3,148,226 9,110,792 21,656,041
Annualized at 3%................................................ 369,068 1,068,063 2,538,749
----------------------------------------------------------------------------------------------------------------
Breakeven Analysis
Given the uncertainties and limitations in the available data, the
FAA conducted a breakeven analysis to determine the number of averted
fatalities necessary to generate benefits equal to costs. The FAA
divided the present value of total costs of the rule by the present
value of a statistical life to estimate the number of fatalities needed
to break even with the costs of the rule over a ten-year time horizon.
Using a value of statistical life of $11.6 million and the range of
present value of costs presented in Table 10 above, the monetized
benefits of this rule will break even with costs if the new medical
certification requirement averts between 0.4 to 3.0 fatalities under a
7 percent discount rate and between 0.4 to 2.5 fatalities under a 3
percent discount rate.\57\
---------------------------------------------------------------------------
\57\ Departmental Guidance on Valuation of a Statistical Life in
Economic Analysis https://www.transportation.gov/office-policy/transportation-policy/revised-departmental-guidance-on-valuation-of-a-statistical-life-in-economic-analysis.
---------------------------------------------------------------------------
Regulatory Alternatives
The FAA considered one alternative to the proposed rule:
Letter of Authorization (LOA) and Drug and Alcohol Testing. With
this alternative, the FAA would institute both a medical certificate
requirement as well as a requirement for obtaining an LOA from the FAA
and mandatory drug and alcohol testing. This alternative would expand
the definition of an operator under Sec. 91.147 to include balloons,
which would require the commercial balloon operators to obtain an LOA
from the FAA in accordance with Sec. 91.147 prior to conducting
operations, and implement drug and alcohol testing programs in
accordance with 14 CFR part 120. This alternative goes beyond the
statutory mandate and would add the additional administrative costs of
implementing a drug and alcohol testing program and obtaining a LOA to
commercial balloon operators and pilots.
B. Regulatory Flexibility Act
The Regulatory Flexibility Act (RFA) of 1980, Public Law 96-354, 94
Stat. 1164 (5 U.S.C. 601-612), as amended by the Small Business
Regulatory Enforcement Fairness Act of 1996 (Pub. L. 104-121, 110 Stat.
857, Mar. 29, 1996) and the Small Business Jobs Act of 2010 (Pub. L.
111-240, 124 Stat. 2504 Sept. 27, 2010), requires Federal agencies to
consider the effects of the regulatory action on small business and
other small entities and to minimize any significant economic impact.
The term ``small entities'' comprises small businesses and not-for-
profit organizations that are independently owned and operated and are
not dominant in their fields, and governmental jurisdictions with
populations of less than 50,000.
The FAA is publishing this Initial Regulatory Flexibility Analysis
(IRFA) to aid the public in commenting on the potential impacts to
small entities from this proposal. The FAA invites interested parties
to submit data and information regarding the potential economic impact
that would result from the proposal. The FAA will consider comments
when making a determination or when completing a Final Regulatory
Flexibility Analysis.
An IRFA must contain the following:
(1) A description of the reasons why the action by the agency is
being considered;
[[Page 64433]]
(2) A succinct statement of the objective of, and legal basis for,
the proposed rule;
(3) A description of and, where feasible, an estimate of the number
of small entities to which the proposed rule will apply;
(4) A description of the projected reporting, recordkeeping, and
other compliance requirements of the proposed rule, including an
estimate of the classes of small entities which will be subject to the
requirement and the type of professional skills necessary for
preparation of the report or record;
(5) An identification, to the extent practicable, of all relevant
Federal rules that may duplicate, overlap, or conflict with the
proposed rule; and
(6) A description of any significant alternatives to the proposed
rule which accomplish the stated objectives of applicable statutes and
which minimize any significant economic impact of the proposed rule on
small entities.
Description of Reasons the Agency Is Considering the Action
The FAA is publishing this rulemaking to comply with the Commercial
Balloon Pilot Safety Act of 2018, which directs the FAA to require
commercial balloon pilots conducting operations for compensation or
hire to hold a valid second-class medical certificate. Congress
introduced this legislation in response to the 2016 Heart of Texas hot
air balloon accident and the NTSB finding that (1) the pilot's
impairing medical conditions and medications and (2) the FAA's policy
to not require a medical certificate for commercial balloon pilots were
contributing factors in the accident.
This proposed rule would amend part 61 to require a second-class
medical certificate for balloon operations conducted for compensation
or hire, other than flight training. As such, a person who holds a
commercial pilot certificate with a balloon class rating would be
required to hold a valid second-class medical certificate when
exercising the privileges of that certificate in a balloon for
compensation or hire, unless that person is conducting flight training
in accordance with Sec. 61.133(a)(2)(ii).
Statement of the Legal Basis and Objectives
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.
The FAA is issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart iii, Section 44701, General Requirements;
Section 44702, Issuance of Certificates; and Section 44703, Airman
Certificates. Under these sections, the FAA is charged with prescribing
regulations and minimum standards for practices, methods, and
procedures the Administrator finds necessary for safety in air
commerce. The FAA is also authorized to issue certificates, including
airman certificates and medical certificates, to qualified individuals.
This rulemaking proposal is within the scope of that authority.
Further, this rulemaking is issued under section 318 of the FAA
Reauthorization Act of 2018, Public Law 115-254, (``Commercial Balloon
Pilot Safety Act of 2018''). Section 318 directed the FAA to ``revise
section 61.3(c) of title 14, Code of Federal Regulations (relating to
second-class medical certificates), to apply to an operator of an air
balloon to the same extent such regulations apply to a pilot flight
crewmember of other aircraft.'' While the statute specifically directs
the FAA to revise Sec. 61.3(c), the FAA notes that Sec. 61.23,
Medical certificates: Requirement and duration establishes the
requirements and exceptions for medical certificates based on certain
types of operations. The FAA proposes to amend Sec. 61.23 in addition
to Sec. 61.3(c) for purposes of implementing the statutory
requirement.
Description of the Recordkeeping and Other Compliance Requirements
The FAA proposes that airmen hold a valid second-class medical
certificate when exercising the privileges of a commercial pilot
certificate in a balloon for compensation or hire. A medical
certificate would not be required for commercial pilots conducting
flight training in a balloon. As determined by a physical examination
and review of medical history, airmen must meet the applicable medical
standards of part 67 in order to receive an unrestricted medical
certificate. In cases where the airman's medical condition does not
meet the part 67 standard, the airman may still be issued a medical
certificate by authorization for special issuance or SODA when the
Federal Air Surgeon had determined that the risk associated with the
medical condition(s) is sufficiently mitigated.
A person obtains a medical certificate by completing an online
application (FAA form 8500-8, Application for Medical Certificate)
using the FAA's medical certificate application tool, MedXPress,\58\
and undergoing a physical examination with an FAA-designated AME. An
AME may defer an applicant to the FAA for further review (which may
include further examination and testing by a specialist physician) when
there is information indicating the existence or potential of an
adverse medical finding that may warrant further FAA medical evaluation
and oversight. Second-class medical certificates held for any
operations requiring a commercial pilot certificate (including the
second-class medical certificates that would be required for balloon
operations under this proposal) expire at the end of the last day of
the 12th month after the month of the date of examination shown on the
medical certificate.
---------------------------------------------------------------------------
\58\ https://medxpress.faa.gov/.
---------------------------------------------------------------------------
All Federal Rules That May Duplicate, Overlap, or Conflict
There are no relevant Federal rules that may duplicate, overlap, or
conflict with the proposed rule.
Description and an Estimated Number of Small Entities Impacted
The proposed rule would affect commercial balloon pilots and
establishments involved in commercial balloon operations. The FAA does
not maintain a database of commercial balloon operators actively
operating in the United States. Using commercial sources, the FAA
estimates that number to be about 356 \59\ companies. Approximately
4,870 commercial pilots hold balloon ratings, and approximately 4,940
balloons are registered with the FAA. The commercial balloon industry
estimates that 100,000 to 250,000 passenger rides are conducted
annually, as well as aerial advertising and other commercial
activities.
---------------------------------------------------------------------------
\59\ https://www.blastvalve.com/Balloon_Rides/USA/index.shtml.
---------------------------------------------------------------------------
Businesses affected by this rule would be classified using the 2017
North American Industry Classification System \60\ under NAICS code
487990 ``Scenic and Sightseeing Transportation, Other.'' This industry
comprises establishments primarily engaged in providing scenic and
sightseeing transportation (except on land and water). The U.S. Small
Business Administration (SBA) defines entities in this industry as
``small'' using an average annual revenue threshold of $8 million.\61\
With limited information and
[[Page 64434]]
data on sales revenues for each of the affected commercial balloon
operators, the FAA has uncertainty as to how many entities would meet
the SBA's small-entity criteria.\62\ Furthermore, the FAA has
uncertainty as to how the burden associated with the proposed rule
would be distributed across commercial balloon companies versus
individual balloon pilots employed by an operator. The FAA requests
comment and data on the average annual sales revenues for the affected
small businesses and to what extent the costs of obtaining a second-
class medical certification would be considered an ``out-of-pocket''
cost incurred by commercial balloon pilots rather than a cost to the
commercial balloon operator. As previously described, the FAA estimates
the cost per pilot to obtain a second-class medical certificate would
be between $160 and $685 annually, depending on whether a special
issuance would be necessary.
---------------------------------------------------------------------------
\60\ https://www.census.gov/naics/?input=487990&year=2017&details=487990.
\61\ https://www.sba.gov/sites/default/files/2019-08/SBA%20Table%20of%20Size%20Standards_Effective%20Aug%2019%2C%202019_Rev.pdf.
\62\ Rainbow Ryders is one of the larger Commercial Balloon
companies and are under the Small Business Administration small-
entity criteria. Therefore, the FAA estimates that all of the
Commercial balloon companies are a small entity. It's Been a Year of
Growth for Rainbow Ryders, https://www.abqjournal.com/1095655/its-been-a-growth-year-for-rainbow-ryders.html, September 9, 2019.
---------------------------------------------------------------------------
For purposes of this initial regulatory flexibility analysis, the
FAA assumes that the private sector costs of this rule (i.e., the cost
to obtain a second-class medical certification or special issuance)
fall entirely on commercial balloon operators. In the absence of data
on annual receipts specific to the commercial balloon industry, the FAA
relies on the most recent data available on average revenues for all
businesses, including commercial balloon operators, classified under
NAICS 487990 ``Scenic and Sightseeing Transportation, Other'' from the
2017 Census Bureau's Statistics of U.S. Businesses (SUSB) \63\ to
inform the analysis. Note that the total number of firms identified for
this industry is less than the FAA estimated number of commercial
balloon operators. In this analysis, the FAA uses the SUSB data to
estimate the proportion of balloon companies for each size category by
annual receipts.
---------------------------------------------------------------------------
\63\ Available at: https://www.census.gov/data/tables/2017/econ/susb/2017-susb-annual.html, retrieved on August 15, 2021.
---------------------------------------------------------------------------
The table below summarizes the total number of firms, employment,
and estimated annual receipts by annual receipt category for the entire
industry classified under NAICS 487990 ``Scenic and Sightseeing
Transportation, Other'' for the year 2017. Note that blanks in the
table below reflect data that the Census Bureau withheld to avoid
disclosing data for individual companies, but are included in the
higher level totals. After adjusting the 2017 dollar values to constant
2020 dollars using the GDP deflator,\64\ the FAA estimates that
approximately 93 percent of companies (or about 331 balloon operators
extrapolating from this percentage) may be considered small entities
under the SBA definition.
---------------------------------------------------------------------------
\64\ Available at: https://www.whitehouse.gov/omb/historical-tables/, retrieved on January 15, 2020.
---------------------------------------------------------------------------
To compare the compliance costs of the rule to the average revenues
of small entities, for each receipt size category the FAA multiplies
the proportion of total employment by the annualized private sector
costs of the rule and divides by the estimated annual receipts in 2020
dollars.\65\ Assuming that costs are proportional to employment size,
which may be reasonable given that costs are driven by the number of
pilots requiring a second-class medical certification, the FAA
estimates that the costs of the proposed rule would constitute 0.07% to
0.42% of average annual revenues for small entities. Given the currency
and level of aggregation of the data available, the FAA requests
comment on accuracy of these estimates and any other information or
data that would be relevant for estimating the effects of the rule on
small entities.
---------------------------------------------------------------------------
\65\ For this calculation, the FAA uses the mid-estimate of
$750,718 for the total private sector costs annualized at a 7
percent discount rate.
Table 11--Number of Firms, Establishments, Employment, and Estimated Receipts by Enterprise Receipt Sizes for the United States, NAICS 487900: 2017
(Census Statistics of U.S. Businesses)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Cost for all
Number of Percentage of Percentage of Estimated firms in size Cost as a
Enterprise receipt size [a] firms [b] firms Employment total receipts category percentage of
employment ($1,000) ($1,000) receipts
--------------------------------------------------------------------------------------------------------------------------------------------------------
<$100,000............................... 53 17 48 1 2,255 10 0.42
$100,000-499,999........................ 119 39 192 5 29,644 40 0.13
$500,000-999,999........................ 47 15 237 7 32,765 49 0.14
$1,000,000-2,499,999.................... 43 14 365 10 63,134 76 0.11
$2,500,000-4,999,999.................... 18 6 323 9 65,788 67 0.10
$5,000,000-7,499,999.................... 6 2 106 3 29,465 22 0.07
$7,500,000-9,999,999.................... 5 2 213 6 41,585 44 0.10
$10,000,000-14,999,999.................. 4 1.3 196 5 50,270 41 0.08
$20,000,000-24,999,999.................. .............. .............. .............. .............. .............. .............. ..............
$25,000,000-29,999,999.................. 3 1.0 93 3 19,490 19 0.09
$30,000,000-34,999,999.................. .............. .............. .............. .............. .............. .............. ..............
$35,000,000-39,999,999.................. .............. .............. .............. .............. .............. .............. ..............
$50,000,000-74,999,999.................. .............. .............. .............. .............. .............. .............. ..............
$100,000,000+........................... 4 1 1,044 29 251,871 217 0.08
---------------------------------------------------------------------------------------------------------------
Total............................... 309 100 3,611 100 762,426 751 0.09
--------------------------------------------------------------------------------------------------------------------------------------------------------
[a] Using the Gross Domestic Product (GDP) deflator, the FAA finds that $7.49 million in 2017 dollars would be approximately $7.97 million in 2020
dollars. Therefore, the FAA assumes firms with receipts of less than $7.49 million in 2017 dollars would be considered small.
[b] The FAA notes that the number of firms in NAICS 487900 is lower than FAA's estimate of the number of balloon operators. For purposes of this
analysis, the SUSB data is used to estimate the percentage of small entities and the distribution of costs relative to revenues.
Alternatives Considered To Minimize Any Significant Economic Impact on
Small Entities
The FAA has not identified any significant alternative that would
minimize any significant economic impact on small entities which do not
conflict with the statutory mandate. The FAA solicits comment on
potential alternative approaches that could minimize the burden on
small entities while still accomplishing the objectives of the
proposal.
[[Page 64435]]
C. International Trade Impact Assessment
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 proposed rule and determined that
it will not create unnecessary obstacles to the foreign commerce of the
United States.
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 uses an
inflation-adjusted value of $158.0 million in lieu of $100 million.
This proposed 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 NPRM contains the following proposed amendments to the
existing information collection requirements previously approved under
OMB Control No. 2120-0034. In the analysis below, the FAA describes the
incremental changes in the number of respondents, annual burden, and
monetized costs of the existing information collection requirement
previously approved under OMB Control No. 2120-0034. As required by the
Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)), the FAA submitted
the proposed information collection requirements to OMB for its review.
Review for the renewal of OMB Control No. 2120-0034 was completed on
May 29, 2020.
Requirements To Hold a Second-Class Medical Certificate
The proposed rule would require airmen to hold a valid second-class
medical certificate when exercising the privileges of a commercial
pilot certificate in a balloon for compensation or hire. To obtain a
medical certificate, an airmen would complete an online application
(FAA form 8500-8, Application for Medical Certificate) using the FAA's
medical certificate application tool, MedXPress and undergo a physical
examination with an FAA-designated Aviation Medical Examiner (AME).
In Table 12 below, the FAA shows the incremental burden of this
rule to the approved information collection under OMB Control No. 2120-
0034. Additional details on assumptions and calculations used in this
section are presented elsewhere in the Regulatory Evaluation section of
this document.
Estimates of the Hour Burden of the Collection of Information
The mid estimate of the number of applicants in the first year is
2,491.
Table 12--Burden Hours Associated With MedXPress Form 8500-8
----------------------------------------------------------------------------------------------------------------
Number of Hours per
Form No. applicants applicant Total hours
----------------------------------------------------------------------------------------------------------------
8500-8.......................................................... 2,491 1.5 3,737
----------------------------------------------------------------------------------------------------------------
Estimate of the Total Annual Cost Burden to Respondents or Record
Keepers Resulting From the Collection of Information
Once the information on FAA Form 8500-8 is collected, respondents
must receive a medical examination in order to be certificated to
exercise commercial balloon pilot privileges. The average fee for a
basic medical examination is estimated at $150. The total cost for
medical exams in the first year is as follows:
$150 x 2,491 submissions of Form 8500-8 = $373,650
Estimates of Annualized Costs to the Federal Government
The estimated annualized cost to the Federal Government is between
$143,183 and $588,991, with a mid-estimate of $310,404 at a 7 percent
discount rate. The FAA would incur costs associated with reviewing and
processing applications submitted through MedXPress. It costs about $30
per medical certification review using the primary estimate for the
number of applications in the first year, the FAA estimates a total
cost of $73,747 (= $30 per application x 2,491) in the first year.
Currently, a MedXPress application that requires a special issuance
medical certificate is deferred to the AMCD of Oklahoma City for
further consideration. The FAA assumes that 10 percent of the
applicants do not initially qualify for second-class medical
certification and therefore would require special issuance. The average
cost to FAA for each medical certificate special issuance review is
approximately $126.
The total annualized costs for the FAA to review and process
MedXPress applications from commercial balloon applicants and costs for
the FAA to conduct Special Issuance Review for commercial balloon
applicants is between $90,341 and $371,622, with a mid-estimate of
$195,848 at a 7 percent discount rate over ten years.
Individuals and organizations may send comments on the information
collection requirement to the address listed in the ADDRESSES section
at the beginning of this preamble by January 18, 2022. Comments should
be submitted to the Office of Management and Budget, Office of
Information and Regulatory Affairs, Attention: Desk Officer for FAA,
New Executive Office Building, Room 10202, 725 17th Street NW,
Washington DC 20053.
F. International Compatibility
In keeping with U.S. obligations under the Convention on
International
[[Page 64436]]
Civil Aviation, it is FAA policy to conform to International Civil
Aviation Organization (ICAO) Standards and Recommended Practices to the
maximum extent practicable. The FAA has reviewed the corresponding ICAO
Standards and Recommended Practices and has identified no differences
with these proposed regulations.
G. Environmental Analysis
FAA Order 1050.1F 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 5-6.6 and involves no extraordinary
circumstances.
VI. Executive Order Determination
A. Executive Order 13132, Federalism
The FAA has analyzed this rulemaking under the principles and
criteria of Executive Order 13132, Federalism. The agency has
determined that this action would 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, would not have
federalism implications.
B. Executive Order 13211, Regulations that Significantly Affect Energy
Supply, Distribution, or Use
The FAA analyzed this rulemaking under Executive Order 13211,
Actions Concerning Regulations that Significantly Affect Energy Supply,
Distribution, or Use (May 18, 2001). The Agency has determined that it
would not be a ``significant energy action'' under the executive order
and would not be likely to have a significant adverse effect on the
supply, distribution, or use of energy.
C. Executive Order 13609, International Cooperation
Executive Order 13609, Promoting International Regulatory
Cooperation, (77 FR 26413, May 4, 2012) promotes international
regulatory cooperation to meet shared challenges involving health,
safety, labor, security, environmental, and other issues and to reduce,
eliminate, or prevent unnecessary differences in regulatory
requirements. The FAA has analyzed this action under the policies and
agency responsibilities of Executive Order 13609, and has determined
that this action would reduce differences between U.S. aviation
standards and those of other civil aviation authorities by bringing
U.S. regulatory requirements partially into compliance with
International Civil Aviation Organization (ICAO) standards for medical
certification.\66\
---------------------------------------------------------------------------
\66\ The 12th edition of the Annex 1 to the Convention on
International Civil Aviation, Personnel Licensing, (July 2018),
specifies that a person exercising the privileges of a Free Balloon
Pilot License must hold a Class 2 medical. See 2.10.1.5.
---------------------------------------------------------------------------
VII. 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 proposals in
this document. The most helpful comments reference a specific portion
of the proposal, 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 proposed rulemaking. Before acting on this
proposal, 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 proposal in
light of the comments it receives.
Confidential Business Information: Confidential Business
Information (CBI) is commercial or financial information that is both
customarily and actually treated as private by its owner. Under the
Freedom of Information Act (FOIA) (5 U.S.C. 552), CBI is exempt from
public disclosure. If your comments responsive to this NPRM contain
commercial or financial information that is customarily treated as
private, that you actually treat as private, and that is relevant or
responsive to this NPRM, it is important that you clearly designate the
submitted comments as CBI. Please mark each page of your submission
containing CBI as ``PROPIN.'' The FAA will treat such marked
submissions as confidential under the FOIA, and they will not be placed
in the public docket of this NPRM. Submissions containing CBI should be
sent to the person identified in the FOR FURTHER INFORMATION CONTACT
section of this document. Any commentary that the FAA receives which is
not specifically designated as CBI will be placed in the public docket
for this rulemaking.
B. Electronic Access and Filing
A copy of this notice of proposed rulemaking, all comments
received, any final rule, and all background material may be viewed
online at https://www.regulations.gov using the docket number listed
above. A copy of this rulemaking will be placed in the docket.
Electronic retrieval help and guidelines are available on the website.
It is available 24 hours each day, 365 days each year. An electronic
copy of this document may also be downloaded from the Office of the
Federal Register's website at https://www.federalregister.gov and the
Government Publishing Office's website at https://www.govinfo.gov. A
copy may also be found at the FAA's Regulations and Policies website at
https://www.faa.gov/regulations_policies.
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) 267-9677.
Commenters must identify the docket or notice number of this
rulemaking.
All documents the FAA considered in developing this proposed rule,
including economic analyses and technical reports, may be accessed in
the electronic docket for this rulemaking.
List of Subjects
14 CFR Part 61
Aircraft, Airmen, Alcohol abuse, Aviation safety, Drug abuse,
Flight instruction, Medical certification, Recreation and recreation
areas, Reporting and recordkeeping requirements, Security measures,
Teachers.
14 CFR Part 68
Aircraft, Airmen, Health, Reporting and recordkeeping requirements.
The Proposed Amendment
For the reasons discussed in the preamble, the Federal Aviation
Administration proposes to amend chapter I of title 14, Code of Federal
Regulations as follows:
[[Page 64437]]
PART 61--CERTIFICATION: PILOTS, FLIGHT INSTRUCTORS, AND GROUND
INSTRUCTORS
0
1. The authority citation for part 61 is revised to read as follows:
Authority: 49 U.S.C. 106(f), 106(g), 40113, 44701-44703, 44703
note, 44707, 44709-44711, 44729, 44903, 45102-45103, 45301-45302.
0
2. Amend Sec. 61.3 by revising paragraphs (c)(2)(vi), (xiii), and
(xiv) and adding paragraph (c)(2)(xv) to read as follows:
Sec. 61.3 Requirement for certificates, ratings, and authorizations.
* * * * *
(c) * * *
(2) * * *
(vi) Is holding a pilot certificate with a balloon class rating and
that person--
(A) Is exercising the privileges of a private pilot certificate in
a balloon; or
(B) Is providing flight training in a balloon in accordance with
Sec. 61.133(a)(2)(ii);
* * * * *
(xiii) Is exercising the privileges of a student, recreational or
private pilot certificate for operations conducted under the conditions
and limitations set forth in Sec. 61.113(i) and holds a U.S. driver's
license;
(xiv) Is exercising the privileges of a flight instructor
certificate and acting as pilot in command or a required flightcrew
member for operations conducted under the conditions and limitations
set forth in Sec. 61.113(i) and holds a U.S. driver's license; or
(xv) Is exercising the privileges of a student pilot certificate or
higher while acting as pilot in command on a medical flight test
authorized under part 67 of this chapter.
* * * * *
0
3. Amend Sec. 61.23 by:
0
a. Revising paragraphs (a)(2)(i) and (ii);
0
b. Adding paragraph (a)(2)(iii);
0
c. Revising paragraph (b)(3);
0
d. Redesignating paragraphs (b)(4) through (9) as paragraphs (b)(6)
through (11);
0
e. Adding new paragraphs (b)(4) and (5);
0
f. Removing the word ``or'' at the end of paragraph (b)(10);
0
g. Revising newly redesignated paragraph (b)(11)(ii);
0
h. Adding paragraph (b)(12); and
0
i. Revising paragraphs (c)(3)(i)(C), (D), and (E), (d)(1)(iii), and
(d)(2)(i).
The revisions and additions read as follows:
Sec. 61.23 Medical certificates: Requirement and duration.
(a) * * *
(2) * * *
(i) Second-in-command privileges of an airline transport pilot
certificate in part 121 of this chapter (other than operations
specified in paragraph (a)(1)(ii) of this section);
(ii) Privileges of a commercial pilot certificate in an aircraft
other than a balloon or glider; or
(iii) Except as provided in paragraph (b)(5) of this section,
privileges of a commercial pilot certificate with a balloon class
rating in a balloon for compensation or hire; or
* * * * *
(b) * * *
(3) When exercising the privileges of a pilot certificate with a
glider category rating in a glider;
(4) When exercising the privileges of a private pilot certificate
with a balloon class rating in a balloon;
(5) When exercising the privileges of a commercial pilot
certificate with a balloon class rating in a balloon if the person is
providing flight training in accordance with Sec. 61.133(a)(2)(ii);
* * * * *
(11) * * *
(ii) The flight conducted is a domestic flight operation within
U.S. airspace; or
(12) When exercising the privileges of a student pilot certificate
or higher while acting as pilot in command on a medical flight test
authorized under part 67 of this chapter.
(c) * * *
(3) * * *
(i) * * *
(C) Complete the medical education course set forth in Sec. 68.3
of this chapter during the 24 calendar months before acting as pilot in
command or serving as a required flightcrew member in an operation
conducted under Sec. 61.113(i) and retain a certification of course
completion in accordance with Sec. 68.3(b)(1) of this chapter;
(D) Receive a comprehensive medical examination from a State-
licensed physician during the 48 months before acting as pilot in
command or serving as a required flightcrew member of an operation
conducted under Sec. 61.113(i) and that medical examination is
conducted in accordance with the requirements in part 68 of this
chapter; and
(E) If the individual has been diagnosed with any medical condition
that may impact the ability of the individual to fly, be under the care
and treatment of a State-licensed physician when acting as pilot in
command or serving as a required flightcrew member of an operation
conducted under Sec. 61.113(i).
* * * * *
(d) * * *
----------------------------------------------------------------------------------------------------------------
Then your medical
And on the date of certificate expires,
If you hold examination for your And you are conducting an for that operation, at
most recent medical operation requiring the end of the last
certificate you were day of the
----------------------------------------------------------------------------------------------------------------
* * * * * * *
(iii) Any age......... a commercial pilot 12th month after the
certificate (other than a month of the date of
commercial pilot examination shown on
certificate with a balloon the medical
rating when conducting certificate.
flight training), a flight
engineer certificate, or
an air traffic control
tower operator certificate.
* * * * * * *
(2) * * * * * * *
(i) Any age........... an airline transport pilot 12th month after the
certificate for second-in- month of the date of
command privileges (other examination shown on
than the operations the medical
specified in paragraph certificate.
(d)(1) of this section), a
commercial pilot
certificate (other than a
commercial pilot
certificate with a balloon
rating when conducting
flight training), a flight
engineer certificate, or
an air traffic control
tower operator certificate.
[[Page 64438]]
* * * * * * *
----------------------------------------------------------------------------------------------------------------
0
4. In Sec. 61.113, revise the introductory text of paragraph (i) to
read as follows:
Sec. 61.113 Private pilot privileges and limitations: Pilot in
command.
* * * * *
(i) A private pilot may act as pilot in command or serve as a
required flightcrew member of an aircraft without holding a medical
certificate issued under part 67 of this chapter provided the pilot
holds a valid U.S. driver's license, meets the requirements of Sec.
61.23(c)(3), and complies with this section and all of the following
conditions and limitations:
* * * * *
PART 68--REQUIREMENTS FOR OPERATING CERTAIN SMALL AIRCRAFT WITHOUT
A MEDICAL CERTIFICATE
0
5. The authority citation for part 68 continues to read as follows:
Authority: 49 U.S.C. 106(f), 44701-44703; sec. 2307 of Pub. L.
114-190, 130 Stat. 615 (49 U.S.C. 44703 note).
0
6. Amend Sec. 68.3 by revising paragraphs (a) introductory text and
(b) introductory text to read as follows:
Sec. 68.3 Medical education course requirements.
(a) The medical education course required to act as pilot in
command or serve as a required flightcrew member in an operation under
Sec. 61.113(i) of this chapter must--
* * * * *
(b) Upon successful completion of the medical education course, the
following items must be electronically provided to the individual
seeking to act as pilot in command or serve as a required flightcrew
member under the conditions and limitations of Sec. 61.113(i) of this
chapter and transmitted to the FAA--
* * * * *
0
7. In Sec. 68.9, revise the introductory text of paragraph (a) to read
as follows:
Sec. 68.9 Special Issuance process.
(a) General. An individual who has met the qualifications to
operate an aircraft under Sec. 61.113(i) of this chapter and is
seeking to act as a pilot in command or serve as a required flightcrew
member under that section must have completed the process for obtaining
an Authorization for Special Issuance of a Medical Certificate for each
of the following:
* * * * *
Issued in Washington, DC, under authority provided by 49 U.S.C.
106(f), 44701, 44702, and 44703, and section 318 of Public Law 115-
254 on or about November 1, 2021.
Robert Ruiz,
Acting Deputy Executive Director, Flight Standards Service.
[FR Doc. 2021-24141 Filed 11-17-21; 8:45 am]
BILLING CODE 4910-13-P