Proposed Rule2024-18327
International Aviation Safety Assessment (IASA) Program
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
August 16, 2024
Issuing agencies
Transportation DepartmentFederal Aviation Administration
Abstract
On September 28, 2022, the FAA published a Policy Statement in the Federal Register that described policy changes to the FAA's International Aviation Safety Assessment (IASA) program as well as clarification or restatement of prior policy to "enhance engagement with civil aviation authorities (CAAs) through pre- and post-IASA assessment and to promote greater transparency." After receiving inquiries and questions about the changes described in that policy statement, the FAA is, elsewhere in this issue of the Federal Register, suspending implementation of the September 28, 2022, Policy Statement while the agency reassesses the policy, and invites public comments on proposed changes to the FAA IASA program policy contained herein. The policy statement of March 8, 2013, remains active.
Full Text
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<title>Federal Register, Volume 89 Issue 159 (Friday, August 16, 2024)</title>
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[Federal Register Volume 89, Number 159 (Friday, August 16, 2024)]
[Proposed Rules]
[Pages 66645-66647]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2024-18327]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 129
International Aviation Safety Assessment (IASA) Program
AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).
ACTION: Request for comments on proposed changes to the IASA Program.
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SUMMARY: On September 28, 2022, the FAA published a Policy Statement in
the Federal Register that described policy changes to the FAA's
International Aviation Safety Assessment (IASA) program as well as
clarification or restatement of prior policy to ``enhance engagement
with civil aviation authorities (CAAs) through pre- and post-IASA
assessment and to promote greater transparency.'' After receiving
inquiries and questions about the changes described in that policy
statement, the FAA is, elsewhere in this issue of the Federal Register,
suspending implementation of the September 28, 2022, Policy Statement
while the agency reassesses the policy, and invites public comments on
proposed changes to the FAA IASA program policy contained herein. The
policy statement of March 8, 2013, remains active.
DATES: The FAA must receive comments by September 16, 2024.
ADDRESSES: You may send comments identified by docket number FAA-2024-
2058 using any of the following methods:
<bullet> Federal eRulemaking Portal: Go to <a href="https://www.regulations.gov">https://www.regulations.gov</a> and follow the online instructions for sending your
comments electronically.
<bullet> Mail: Send comments to Docket Operations, M-30; U.S.
Department of Transportation, 1200 New Jersey Avenue SE, Room W12-140,
West Building Ground Floor, Washington, DC 20590-0001.
<bullet> Hand Delivery or Courier: Take comments to Docket
Operations in Room W12-140 of the West Building Ground Floor at 1200
New Jersey Avenue SE, Washington, DC 20590-0001, between 9:00 a.m. and
5:00 p.m., Monday through Friday, except Federal holidays.
<bullet> Fax: Fax comments to Docket Operations at (202) 493-2251.
FOR FURTHER INFORMATION CONTACT: Rolandos Lazaris, Division Manager,
International Program Division (AFS-50), Flight Standards Service,
Federal Aviation Administration, 800 Independence Avenue SW,
Washington, DC 20591; (202) 267-3719.
SUPPLEMENTARY INFORMATION:
Background
The IASA program is the means by which the FAA determines whether
another country's oversight of its air carriers that (1) operate, or
seek to operate, services to/from the United States using their own
aircraft and crews, or (2) seek to display the code of a U.S. air
carrier on any services, complies with safety standards established by
the International Civil Aviation Organization (ICAO). The published
IASA results of a country's placement in Category 1 or Category 2 is
the notification to the U.S. traveling public as to whether a foreign
air carrier's homeland civil aviation authority meets ICAO safety
standards. A Category 1 rating indicates that the civil aviation
authority meets ICAO safety standards for these operations, and a
Category 2 rating indicates that the civil aviation authority does not
meet ICAO safety standards. The IASA program was established by a
document published in the Federal Register in 1992. Subsequent
published documents in the Federal Register notified of the program's
evolution. These Federal Register documents are as follows:
<bullet> August 24, 1992--Established the FAA Procedures for
Examining and Monitoring Foreign Air Carriers (57 FR 38342).
<bullet> September 8, 1994--Established the Public Disclosure of
the Results of Foreign Civil Aviation Authority Assessments, through a
three-category numbered rating system (59 FR 46332).
<bullet> October 31, 1995--DOT Notice Clarification Concerning
Examination of Foreign Carriers' Request for Expanded Economic
Authority, clarified the Department's licensing policy regarding
requests for expanded economic authority from foreign air carriers
whose CAA's safety oversight capability has been assessed by the FAA as
conditional (Category II) or unacceptable (Category III) (60 FR 55408).
<bullet> May 25, 2000--Changes to the International Aviation Safety
Assessment program removed the Category 3 rating and combined it with
Category 2 (65 FR 33751).
<bullet> March 8, 2013--Changes to the International Aviation
Safety Assessment program removed inactive countries (countries with no
air carrier operations to the United States or code-shares with U.S.
air carrier for four years and no significant interaction between the
country's CAA and the FAA) from the IASA Category list (78 FR 14912).
Through the IASA program, the FAA seeks continuous improvement to
global aviation safety. As noted in the above-referenced policy
statement of September 8, 1994, initial IASA assessments found that
two-thirds of the assessed CAAs were deficient in meeting their safety
oversight obligations under the Convention on International Civil
Aviation.
The September 28, 2022, Policy Statement (87 FR 58725) (now
suspended) announced certain changes to the IASA program and provided
clarification to other aspects of the IASA policy. Since that
publication, the FAA and DOT have received inquiries and questions that
warrant reassessment of those changes and clarifications, and an
opportunity for public comment before they are adopted permanently. As
noted above, the FAA is suspending
[[Page 66646]]
implementation of the September 28, 2022, Policy Statement while the
agency reassesses the policy and considers public comments. Public
comment is invited on the matters and issues described below.
IASA Program Policy Changes, Clarification, or Restatement
The following paragraphs describe proposed policy changes,
clarification, or restatement to the FAA's IASA program to enhance
engagement with CAAs through pre- and post-IASA assessment and to
promote greater transparency.
Proposed Changes to the Definition of the IASA Categories
The FAA is proposing to modify the scope of the IASA Category
definitions to align them with the types of operations that require an
IASA Category rating. The March 8, 2013, IASA policy statement
describes two possible IASA Categories in which the FAA places
countries:
[cir] Category 1, Meets ICAO Standards: The FAA has found that the
country meets ICAO standards for safety oversight of civil aviation.
When a country is in Category 1, its foreign air carriers may provide
service to the United States with their own aircraft/crews under 14 CFR
part 129 and 14 CFR 375.42 and 375.70 or may, with the DOT's Office of
the Secretary (OST) and FAA approval, engage in code-sharing
partnerships with U.S. air carriers where a U.S. air carrier places its
code on flights operated by a foreign air carrier(s).
<bullet> Category 2, Does Not Meet ICAO Standards: The FAA has
found that the country does not meet ICAO standards for safety
oversight of civil aviation.
In addition, the May 25, 2000, policy statement introduced the
Category 2* designation for those countries not serving the U.S. at the
time of their IASA assessment.
The 2013 policy statement further states that ``the IASA category
rating applies only to services to and from the United States and to
codeshare operations when the code of a U.S. air carrier is placed on a
foreign carrier flight. . . . The [FAA] assessment team looks at [a
foreign carrier's domestic flights or flights by that carrier between
its homeland and a third country] only to the extent that they reflect
on the country's oversight of operations to and from the United States
and to codeshare operations where a U.S. air carrier code is placed on
a flight conducted by a foreign air operator.'' The FAA highlights this
explanation in this document to address any mistaken perception that
the IASA program evaluates the oversight of all operations of foreign
air carriers of a particular country. The FAA exercises oversight
authority of foreign air carriers with service to the United States
through issuance and oversight of operations specifications (OpSpecs)
issued under 14 CFR part 129 to foreign air carriers that operate
services to/from the United States with their own aircraft and crews.
This requires the FAA to engage in regular contact with the relevant
foreign CAA as to various aspects of these operations. When a U.S. air
carrier places its code on a foreign air carrier's flight that is
conducted by the foreign carrier entirely outside the United States,
part 129 OpSpecs are not required, but those code-share arrangements
are subject to regular audits conducted by the FAA under the U.S.
Department of Transportation Office of the Secretary (OST)/FAA Code-
Share Safety Program Guidelines.
In addition, as part of its standard foreign carrier licensing
process, the DOT requests that the FAA determine if foreign charters
requesting service to the U.S. under 14 CFR 375.42 and 375.70 are
receiving ICAO-compliant safety oversight from their CAA. In some
instances, these part 375 applications have resulted in the FAA
extending the IASA program to countries with only part 375 operators
and no part 129 operators. Foreign civil aircraft operators authorized
by OST to conduct charters to/from the United States under part 375 do
not hold operations specifications from the FAA, nor are they allowed
to carry the code of a U.S. operator.
Remove Category 2 *
The FAA proposes to remove the 2 * designation. The FAA has used
the 2 * category for those countries not serving the U.S. at the time
of their IASA assessment. This distinction is no longer relevant, and
the FAA will simply categorize any country that does not meet ICAO
standards with a Category 2 rating.
New Category 1 *
In order to better address the safety awareness and expectations of
the U.S. traveling public, and to advise the U.S. traveling public,
once a Category 1 country has been notified through official channels
for a reassessment based on identified risks of possible noncompliance
with ICAO standards pursuant to the FAA's risk assessment process, the
FAA proposes that it would adjust the Category 1 rating of the country
to a rating of Category 1 *.
[cir] Category 1 *: The FAA will add an asterisk ``*'' to a
country's Category 1 rating once that country has been notified through
official channels for a reassessment based on identified risks of
possible noncompliance with ICAO standards. The 1 * category
designation does not indicate that the FAA has determined that safety
risks have been conclusively found or that a country's air operations
are being modified at this time, but rather only serves as notice that
the FAA initiated the IASA reassessment. The asterisk ``*'' will be
removed once a reassessment is complete and the country either retains
its Category 1, or the country is assessed as not meeting ICAO
standards and is subsequently assigned a Category 2 rating.
Change in the Timeframe for Country Removal From the IASA Category List
Due to Inactivity, and Clarification on ``Significant Activity''
Under the March 8, 2013, policy statement, a country can be removed
from the IASA category list after four years of inactivity. The three
criteria that must be met for the FAA to remove the country from the
IASA category list are: the country has no air carrier providing air
transport service to the United States; the country has no air carrier
that participates in a code-share arrangement with U.S. air carriers;
and the CAA does not ``interact significantly with the FAA.''
The FAA's experience and analysis indicates that IASA information
is not reliable after an initial assessment or reassessment without
significant safety oversight interaction between the FAA and foreign
CAA. Such interaction includes when a foreign air carrier is conducting
services to/from the United States with its own aircraft/crews and
holds FAA OpSpecs under part 129, operating under Sec. Sec. 375.42 and
375.70, and/or when a U.S. air carrier places its code on any of a
foreign air carrier's flight as authorized under the OST/FAA Code-Share
Safety Program Guidelines.
The FAA seeks to amend the criteria for removal as follows: the
country has no foreign operators holding OpSpecs under part 129, or
operating under Sec. Sec. 375.42 and 375.70 with service to the United
States nor foreign operators carrying the code of a U.S. operator as
authorized under the OST/FAA Code-Share Safety Program Guidelines, and
the country has not received technical assistance from the FAA for
identified ICAO safety oversight deficiencies within the prior two-year
period. The FAA seeks comment on these proposed additional or
clarifying criteria for
[[Page 66647]]
removal of a country from the IASA category list.
In addition, the FAA proposes to reduce the time for removal from
the IASA list from four years to two years. The removal criteria
published in 2013 no longer meet the need for timeliness and accuracy
of information on the IASA Category Rating list. The 2013 criteria
leave Category 1 countries on the list for an extended period of time
and may give the U.S. traveling public a false sense of safety. Also,
leaving Category 2 countries on the list for an extended period of time
can be perceived as unfairly penalizing those countries when there has
been no activity since the Category 2 rating was issued. As a result,
the FAA proposes to reduce the removal benchmark from four years to two
years absent the interaction described above. The FAA seeks comment on
the proposed change from four years to two years, or whether any other
timeframe would be appropriate.
Clarification as to When an IASA Will Be Performed in a Country With No
IASA Category Rating
The FAA will perform an IASA of a country with no IASA Category
rating after an operator from that country files an application with
OST for economic authority to conduct (1) services to/from the United
States with its own aircraft/crews, and/or (2) code-share operations
that involve the foreign air carrier displaying the code of a U.S. air
carrier on any services operated by the foreign air carrier. This would
ensure that an initial IASA is used to assess whether the CAA and its
operator(s) have each taken the necessary measures to manage and
oversee operations in accordance with ICAO standards.
Clarification of FAA and CAA Development of a Corrective Action Plan
Upon Notification of an IASA Category 2 Rating
If the FAA finds, as a result of an assessment, that a foreign CAA
is not overseeing aviation safety in accordance with ICAO standards,
the FAA will, prior to the conclusion of an assessment, state its
findings in an oral briefing to that foreign CAA. The FAA will also
deliver to the foreign CAA a written record of FAA findings and will
schedule a follow-up final discussion with the foreign CAA. The final
discussion shall take place no earlier than 15 calendar days following
the delivery of the written record of findings. In any case in which
the assessment finds an instance of non-compliance, the FAA will notify
the foreign CAA that is the subject of such finding. Within 90 days
after the transmission of such notification, the FAA will request and
initiate final discussions with the foreign country to recommend
actions by which the foreign country can mitigate the noncompliance. If
the FAA determines that the foreign CAA has not corrected its oversight
deficiencies after the conclusion of the final discussion, the country
will, upon formal communication from the United States Government,
receive an official determination of Category 2 status, and be subject
to restrictions on the operations of its air carriers to the United
States and on the placement of U.S. carrier codes on flights operated
by its carriers.
For additional communication and support for a country assigned an
IASA Category 2 rating, the FAA may conduct a virtual meeting with the
CAA to discuss the IASA findings. The FAA proposes to provide the CAA
with a Corrective Action Plan outline for the CAA to use to document
the actions needed to resolve safety deficiencies and the timelines for
resolution. This would allow the CAA to begin work to address its
safety oversight findings from the IASA in a timely manner.
Upon CAA request, the FAA may, under a technical assistance
agreement, assist the CAA in developing a Corrective Action Plan to
address its safety oversight deficiencies and timelines for completion.
FAA Actions To Address Safety Concerns Outside of the IASA Process
The FAA retains its authority to take action to address a known
safety concern to prevent further non-compliance or unsafe operation of
an aircraft by an air carrier, including limiting operations to/from
the United States by foreign air carriers with their own aircraft/
crews; placing limits on code share arrangements involving the display
of a U.S. air carrier code by foreign air carriers from countries for
which the FAA has identified safety oversight concerns and initiating
immediate IASA category changes when justified based on available
safety information. The FAA may also communicate with a CAA about
safety concerns the FAA may be aware of so that the CAA can immediately
take its own mitigating action. The FAA believes that immediate action
that results in the resolution of a safety concern or provides the
avenue for clarifying information from the CAA is in the best interest
of public safety.
Comments Invited
The FAA invites public comments on the proposed IASA policy
modifications and clarifications. The FAA will consider the public
comments submitted during this comment period in finalizing the IASA
policy.
Issued in Washington, DC.
Jodi L. Baker,
Deputy Administrator for Aviation Safety.
[FR Doc. 2024-18327 Filed 8-15-24; 8:45 am]
BILLING CODE 4910-13-P
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</html>Indexed from Federal Register on August 16, 2024.
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