FAA 14 CFR PART 11-2011 General rulemaking procedures《一般立法规程》.pdf

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1、22 SUBCHAPTER BPROCEDURAL RULES PART 11GENERAL RULEMAKING PROCEDURES Subpart ARulemaking Procedures Sec. 11.1 To what does this part apply? DEFINITION OF TERMS 11.3 What is an advance notice of proposed rulemaking? 11.5 What is a notice of proposed rule-making? 11.7 What is a supplemental notice of

2、pro-posed rulemaking? 11.9 What is a final rule? 11.11 What is a final rule with request for comments? 11.13 What is a direct final rule? 11.15 What is a petition for exemption? 11.17 What is a petition for rulemaking? 11.19 What is a special condition? GENERAL 11.21 What are the most common kinds o

3、f rulemaking actions for which FAA fol-lows the Administrative Procedure Act? 11.23 Does FAA follow the same procedures in issuing all types of rules? 11.25 How does FAA issue rules? 11.27 Are there other ways FAA collects specific rulemaking recommendations before we issue an NPRM? 11.29 May FAA ch

4、ange its regulations with-out first issuing an ANPRM or NPRM? 11.31 How does FAA process direct final rules? 11.33 How can I track FAAs rulemaking ac-tivities? 11.35 Does FAA include sensitive security information and proprietary information in the Federal Docket Management Sys-tem (FDMS)? 11.37 Whe

5、re can I find information about an Airworthiness Directive, an airspace des-ignation, or a petition handled in a re-gion? 11.38 What public comment procedures does FAA follow for Special Conditions? 11.39 How may I participate in FAAs rule-making process? 11.40 Can I get more information about a rul

6、emaking? WRITTEN COMMENTS 11.41 Who may file comments? 11.43 What information must I put in my written comments? 11.45 Where and when do I file my com-ments? 11.47 May I ask for more time to file my comments? PUBLIC MEETINGS AND OTHER PROCEEDINGS 11.51 May I request that FAA hold a public meeting on

7、 a rulemaking action? 11.53 What takes place at a public meeting? PETITIONS FOR RULEMAKING AND FOR EXEMPTIONS 11.61 May I ask FAA to adopt, amend, or re-peal a regulation, or grant relief from the requirements of a current regula-tion? 11.63 How and to whom do I submit my peti-tion for rulemaking or

8、 petition for ex-emption? 11.71 What information must I include in my petition for rulemaking? 11.73 How does FAA process petitions for rulemaking? 11.75 Does FAA invite public comment on petitions for rulemaking? 11.77 Is there any additional information I must include in my petition for desig-nati

9、ng airspace? 11.81 What information must I include in my petition for an exemption? 11.83 How can I operate under an exemption outside the United States? 11.85 Does FAA invite public comment on petitions for exemption? 11.87 Are there circumstances in which FAA may decide not to publish a summary of

10、 my petition for exemption? 11.89 How much time do I have to submit comments to FAA on a petition for ex-emption? 11.91 How does FAA inform me of its deci-sion on my petition for exemption? 11.101 May I ask FAA to reconsider my peti-tion for rulemaking or petition for ex-emption if it is denied? 11.

11、103 What exemption relief may be avail-able to federal, state, and local govern-ments when operating aircraft that are not public aircraft? Subpart BPaperwork Reduction Act Control Numbers 11.201 Office of Management and Budget (OMB) control numbers assigned under the Paperwork Reduction Act. APPEND

12、IX 1 TO PART 11ORAL COMMUNICA-TIONS WITH THE PUBLIC DURING RULE-MAKING AUTHORITY: 49 U.S.C. 106(g), 40101, 40103, 40105, 40109, 40113, 44110, 44502, 4470144702, 44711, and 46102. SOURCE: Docket No. 19996622, 65 FR 50863, Aug. 21, 2000, unless otherwise noted. EDITORIAL NOTE: Nomenclature changes to

13、part 11 appear at 61 FR 18052, April 24, 1996. VerDate Mar2010 14:10 Mar 01, 2011 Jkt 223043 PO 00000 Frm 00032 Fmt 8010 Sfmt 8010 Y:SGML223043.XXX 223043wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-23 Federal Avi

14、ation Administration, DOT 11.19 Subpart ARulemaking Procedures 11.1 To what does this part apply? This part applies to the issuance, amendment, and repeal of any regula-tion for which FAA (we) follows pub-lic rulemaking procedures under the Administrative Procedure Act (APA) (5 U.S.C. 553). DEFINITI

15、ON OF TERMS 11.3 What is an advance notice of proposed rulemaking? An advance notice of proposed rule-making (ANPRM) tells the public that FAA is considering an area for rule-making and requests written com-ments on the appropriate scope of the rulemaking or on specific topics. An advance notice of

16、proposed rulemaking may or may not include the text of po-tential changes to a regulation. 11.5 What is a notice of proposed rulemaking? A notice of proposed rulemaking (NPRM) proposes FAAs specific regu-latory changes for public comment and contains supporting information. It in-cludes proposed reg

17、ulatory text. 11.7 What is a supplemental notice of proposed rulemaking? On occasion, FAA may decide that it needs more information on an issue, or that we should take a different ap-proach than we proposed. Also, we may want to follow a commenters sugges-tion that goes beyond the scope of the origi

18、nal proposed rule. In these cases, FAA may issue a supplemental notice of proposed rulemaking (SNPRM) to give the public an opportunity to com-ment further or to give us more infor-mation. 11.9 What is a final rule? A final rule sets out new or revised requirements and their effective date. It also

19、may remove requirements. When preceded by an NPRM, a final rule will also identify significant sub-stantive issues raised by commenters in response to the NPRM and will give the agencys response. 11.11 What is a final rule with re-quest for comments? A final rule with request for com-ment is a rule

20、that the FAA issues in final (with an effective date) that in-vites public comment on the rule. We usually do this when we have not first issued an ANPRM or NPRM, because we have found that doing so would be impracticable, unnecessary, or con-trary to the public interest. We give our reasons for our

21、 determination in the preamble. The comment period often ends after the effective date of the rule. A final rule not preceded by an ANPRM or NPRM is commonly called an immediately adopted final rule. We invite comments on these rules only if we think that we will re-ceive useful information. For exa

22、mple, we would not invite comments when we are just making an editorial clarifica-tion or correction. 11.13 What is a direct final rule? A direct final rule is a type of final rule with request for comments. Our reason for issuing a direct final rule without an NPRM is that we would not expect to re

23、ceive any adverse com-ments, and so an NPRM is unnecessary. However, to be certain that we are cor-rect, we set the comment period to end before the effective date. If we receive an adverse comment or notice of intent to file an adverse comment, we then withdraw the final rule before it be-comes eff

24、ective and may issue an NPRM. 11.15 What is a petition for exemp-tion? A petition for exemption is a request to FAA by an individual or entity ask-ing for relief from the requirements of a current regulation. 11.17 What is a petition for rule-making? A petition for rulemaking is a re-quest to FAA by

25、 an individual or enti-ty asking the FAA to adopt, amend, or repeal a regulation. 11.19 What is a special condition? A special condition is a regulation that applies to a particular aircraft de-sign. The FAA issues special conditions when we find that the airworthiness VerDate Mar2010 14:10 Mar 01,

26、2011 Jkt 223043 PO 00000 Frm 00033 Fmt 8010 Sfmt 8010 Y:SGML223043.XXX 223043wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-24 14 CFR Ch. I (1111 Edition) 11.21 regulations for an aircraft, aircraft en-gine, or prop

27、eller design do not contain adequate or appropriate safety stand-ards, because of a novel or unusual de-sign feature. GENERAL 11.21 What are the most common kinds of rulemaking actions for which FAA follows the Administra-tive Procedure Act? FAA follows the Administrative Pro-cedure Act (APA) proced

28、ures for these common types of rules: (a) Rules found in the Code of Federal Regulations; (b) Airworthiness directives issued under part 39 of this chapter; and (c) Airspace Designations issued under various parts of this chapter. 11.23 Does FAA follow the same pro-cedures in issuing all types of ru

29、les? Yes, in general, FAA follows the same procedures for all rule types. There are some differences as to which FAA official has authority to issue each type, and where you send peti-tions for FAA to adopt, amend, or re-peal each type. Assume that the proce-dures in this subpart apply to all rules,

30、 except where we specify otherwise. 11.25 How does FAA issue rules? (a) The FAA uses APA rulemaking procedures to adopt, amend, or repeal regulations. To propose or adopt a new regulation, or to change a current reg-ulation, FAA will issue one or more of the following documents. We publish these rul

31、emaking documents in the FEDERAL REGISTER unless we name and personally serve a copy of a rule on every person subject to it. We also make all documents available to the public by posting them in the Federal Docket Management System at http:/ www.regulations.gov. (1) An advance notice of proposed ru

32、lemaking (ANPRM). (2) A notice of proposed rulemaking (NPRM). (3) A supplemental notice of proposed rulemaking (SNPRM). (4) A final rule. (5) A final rule with request for com-ments. (6) A direct final rule. (b) Each of the rulemaking docu-ments in paragraph (a) of this section generally contains th

33、e following infor-mation: (1) The topic involved in the rule-making document. (2) FAAs legal authority for issuing the rulemaking document. (3) How interested persons may par-ticipate in the rulemaking proceeding (for example, by filing written com-ments or making oral presentations at a public meet

34、ing). (4) Whom to call if you have ques-tions about the rulemaking document. (5) The date, time, and place of any public meetings FAA will hold to dis-cuss the rulemaking document. (6) The docket number and regulation identifier number (RIN) for the rule-making proceeding. Docket No. 19996622, 65 FR

35、 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007 11.27 Are there other ways FAA col-lects specific rulemaking rec-ommendations before we issue an NPRM? Yes, the FAA obtains advice and rec-ommendations from rulemaking advi-sory committees. One of these commit-tees is the Aviation Rulema

36、king Advi-sory Committee (ARAC), which is a formal standing committee comprised of representatives of aviation associa-tions and industry, consumer groups, and interested individuals. In con-ducting its activities, ARAC complies with the Federal Advisory Committee Act and the direction of FAA. We ta

37、sk ARAC with providing us with rec-ommended rulemaking actions dealing with specific areas and problems. If we accept an ARAC recommendation to change an FAA rule, we ordinarily pub-lish an NPRM using the procedures in this part. The FAA may establish other rulemaking advisory committees as needed t

38、o focus on specific issues for a limited period of time. 11.29 May FAA change its regulations without first issuing an ANPRM or NPRM? The FAA normally adds or changes a regulation by issuing a final rule after an NPRM. However, FAA may adopt, amend, or repeal regulations without VerDate Mar2010 14:1

39、0 Mar 01, 2011 Jkt 223043 PO 00000 Frm 00034 Fmt 8010 Sfmt 8010 Y:SGML223043.XXX 223043wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-25 Federal Aviation Administration, DOT 11.33 first issuing an ANPRM or NPRM in t

40、he following situations: (a) We may issue a final rule without first requesting public comment if, for good cause, we find that an NPRM is impracticable, unnecessary, or con-trary to the public interest. We place that finding and a brief statement of the reasons for it in the final rule. For example

41、, we may issue a final rule in response to a safety emergency. (b) If an NPRM would be unnecessary because we do not expect to receive ad-verse comment, we may issue a direct final rule. 11.31 How does FAA process direct final rules? (a) A direct final rule will take effect on a specified date unles

42、s FAA receives an adverse comment or notice of intent to file an adverse comment within the comment periodgenerally 60 days after the direct final rule is published in the FEDERAL REGISTER. An adverse comment explains why a rule would be inappropriate, or would be ineffective or unacceptable without

43、 a change. It may challenge the rules underlying premise or approach. Under the direct final rule process, we do not consider the following types of comments to be adverse: (1) A comment recommending an-other rule change, in addition to the change in the direct final rule at issue. We consider the c

44、omment adverse, however, if the commenter states why the direct final rule would be ineffec-tive without the change. (2) A frivolous or insubstantial com-ment. (b) If FAA has not received an ad-verse comment or notice of intent to file an adverse comment, we will pub-lish a confirmation document in

45、the FEDERAL REGISTER, generally within 15 days after the comment period closes. The confirmation document tells the public the effective date of the rule. (c) If we receive an adverse comment or notice of intent to file an adverse comment, we will advise the public by publishing a document in the FE

46、DERAL REGISTER before the effective date of the direct final rule. This document may withdraw the direct final rule in whole or in part. If we withdraw a di-rect final rule because of an adverse comment, we may incorporate the commenters recommendation into an-other direct final rule or may publish

47、a notice of proposed rulemaking. 11.33 How can I track FAAs rule-making activities? The best ways to track FAAs rule-making activities are with the docket number or the regulation identifier number. (a) Docket ID. We assign a docket ID to each rulemaking document pro-ceeding. Each rulemaking documen

48、t FAA issues in a particular rulemaking proceeding, as well as public comments on the proceeding, will display the same docket ID. This ID allows you to search the Federal Docket Manage-ment System (FDMS) for information on most rulemaking proceedings. You can view and copy docket materials during r

49、egular business hours at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12140, 1200 New Jersey Avenue, SE., Washington, DC 20590. Or you can view and download docketed materials through the Inter-net at http:/www.regulations.gov. If you cant find the material in the elec-tronic docket, contact the person listed under FOR FURTHER INFORMATION CONTACT in the document you are in-tere